SEC Form 4/A · accession 0001249155-18-000043
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Dennis Charles Jury
Officer — EVP Operations & COO
Period of report
Jul 1, 2018
Accepted (ET)
Aug 9, 2018 · 4:04 pm EDT
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 StockF1,F2 | holding | — | — | — | 225,838 | I | By Retirement Fund | |
| Common StockF1,F3 | holding | — | — | — | 15,000 | I | By Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The original Form 4, filed on July 3, 2018, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported the name of the transfer of 15,000 directly-held shares to indirect ownership of such shares. In all other respects the original Form 4 remains unchanged.
- F2These shares are owned directly by the Jury Bain Superannuation Fund, a retirement fund directed by the reporting person and under which he is a beneficiary.
- F3These shares are owned directly by Jury Family Nominees Pty Ltd., which is the corporate trustee of the Jury Bain Family Trust A/C. The reporting person is a joint trustee and a beneficiary of the family trust.