S&W SEED CO Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows, 22 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-07-19: Reporting owner WILLITS ALAN D; Form 3; Security No securities are beneficially owned; Transaction Holding.
- 2018-01-12: Reporting owner Straus Robert D; Form 3; Security No securities beneficially owned; Transaction Holding.
- 2018-01-12: Reporting owner Madere Consuelo E.; Form 3; Security No securities beneficially owned; Transaction Holding.
- 2017-12-22: Reporting owner WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | Wynnefield Capital, Inc. Profit Sharing Plan | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA; Form 4; Security Subscription Rights to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-07-19 holding as of filing | WILLITS ALAN D Director | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2018-07-19 | |
| 2018-01-12 holding as of filing | Straus Robert D Director | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2018-01-12 | |
| 2018-01-12 holding as of filing | Madere Consuelo E. Director | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2018-01-12 | |
| 2017-12-22 | WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | Wynnefield Capital, Inc. Profit Sharing Plan | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subscription Rights to Purchase Common Stock Derivative · Direct · (m) | X Exercise of in-the-money or at-the-money derivative security | −68,507 0 owned after | $3.50 exercise price | 2017-12-27 | |
| 2017-12-22 | WYNNEFIELD CAPITAL MANAGEMENT LLC | WYNNEFIELD CAPITAL INC | OBUS NELSON | WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD | Wynnefield Capital, Inc. Profit Sharing Plan | WYNNEFIELD PARTNERS SMALL CAP VALUE LP | WYNNEFIELD PARTNERS SMALL CAP VALUE LP I | LANDES JOSHUA 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subscription Rights to Purchase Common Stock Derivative · Indirect · (m) | X Exercise of in-the-money or at-the-money derivative security | −145,778 0 owned after | $3.50 exercise price | 2017-12-27 | |
| 2017-12-22 | Jury Dennis Charles Officer (EVP Operations and COO) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $3.50 exercise price | 2017-12-26 | |
| 2017-12-22 | Harvey Mark James Director, Officer (Chairman of the Board) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,570 0 owned after | $3.50 exercise price | 2017-12-26 | |
| 2017-12-22 | Szot Matthew K Officer (EVP Finance & Admin and CFO) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $3.50 exercise price | 2017-12-26 | |
| 2017-12-22 | Wong Mark Director, Officer (President & CEO) | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,174 0 owned after | $3.50 exercise price | 2017-12-26 | |
| 2017-12-22 | MFP PARTNERS LP | PRICE MICHAEL F | MFP INVESTORS LLC | | | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,401,384 0 owned after | $3.50 exercise price | 2017-12-22 | |
| 2016-12-16 holding as of filing | Fischhoff David A Director | 3 | No securities are beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2016-12-16 | |
| 2016-02-29 | WICKERSHAM GROVER T Director | 4 | Subscription Rights (right to buy) Derivative · Indirect · By trust | X Exercise of in-the-money or at-the-money derivative security | −10,000 0 owned after | $4.15 exercise price | 2016-03-02 | |
| 2016-02-29 | WICKERSHAM GROVER T Director | 4 | Subscription Rights (right to buy) Derivative · Indirect · By limited partnership | X Exercise of in-the-money or at-the-money derivative security | −50,000 0 owned after | $4.15 exercise price | 2016-03-02 | |
| 2016-02-29 | Harvey Mark James Director, Officer (Chairman of the Board) | 4 | Subscription Rights (right to buy) Derivative · Indirect · By retirement fund | X Exercise of in-the-money or at-the-money derivative security | −24,096 0 owned after | $4.15 exercise price | 2016-03-02 | |
| 2016-02-29 | PRICE MICHAEL F | MFP INVESTORS LLC | MFP PARTNERS LP | | | 4 | Subscription Rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −638,701 0 owned after | $4.15 exercise price | 2016-02-29 | |
| 2015-08-13 holding as of filing | Wong Mark Director | 5 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2015-08-13 | |
| 2015-03-19 holding as of filing | NORDSTROM MICHAEL N. Director | 3 | Common Stock Derivative · Direct | Holding | $3.61 exercise price | 2015-03-19 | ||
| 2015-03-09 | WICKERSHAM GROVER T Director | 4/A | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $4.00 exercise price | 2015-03-18 | |
| 2014-01-31 | Seidler Charles B Director | 4 | Common Stock (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $6.23 exercise price | 2014-02-04 | |
| 2014-01-31 | FLEMING MICK Director | 4 | Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $6.23 exercise price | 2014-02-04 | |
| 2014-01-31 | Szot Matthew K Officer (SVP Finance and CFO) | 4/A | Common Stock (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.23 exercise price | 2014-02-04 | |
| 2012-10-23 holding as of filing | GARDNER DANIELSON B. Officer (VP Breeding and Genetics) | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2012-10-23 |