SEC Form 4 · accession 0001249155-17-000090
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Grover T. Wickersham
Director
Period of report
Dec 22, 2017
Accepted (ET)
Dec 26, 2017 · 5:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001477246
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 22, 2017 | J | 50,000 | $3.65 | A | 216,477 | D | |
| Common StockF2 | holding | — | — | — | 23,723 | I | By corporation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person liquidated a portion of his limited partnership interest in a limited partnership, and pursuant to the provisions of the limited partnership agreement, the general partner elected to make the withdrawal payment by transferring shares of S&W Seed Company common stock owned by the partnership at a value of $3.65 per share.
- F2Owned directly by RWL Management, Inc. The reporting person is the majority owner, an officer and one of two directors of the corporation. He disclaims beneficial ownership except to the extent of his pecuniary interest in the corporation. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purposes.