S&W SEED CO Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows, 23 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-03-22: Reporting owner Price Jennifer C. | MFP INVESTORS LLC | MFP PARTNERS LP; Form 4; Security Common Stock Purchase Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-12-22: Reporting owner MFP INVESTORS LLC | Price Jennifer C. | MFP PARTNERS LP; Form 4; Security Common Stock Purchase Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-10-28: Reporting owner MFP PARTNERS LP | MFP INVESTORS LLC | Price Jennifer C.; Form 4; Security Common Stock Purchase Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-09-22: Reporting owner MFP PARTNERS LP | MFP INVESTORS LLC | Price Jennifer C.; Form 4; Security Common Stock Purchase Warrant; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-03-22 | Price Jennifer C. | MFP INVESTORS LLC | MFP PARTNERS LP 10% Owner, Other (See remarks) | 10% Owner, Other (See remarks) | 10% Owner, Other (See remarks) | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,300,000 1,300,000 owned after | $2.15 exercise price | 2023-03-24 | |
| 2022-12-22 | MFP INVESTORS LLC | Price Jennifer C. | MFP PARTNERS LP | | | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +666,700 666,700 owned after | $1.60 exercise price | 2022-12-23 | |
| 2022-10-28 | MFP PARTNERS LP | MFP INVESTORS LLC | Price Jennifer C. | | | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +166,700 166,700 owned after | $1.60 exercise price | 2022-11-01 | |
| 2022-09-22 | MFP PARTNERS LP | MFP INVESTORS LLC | Price Jennifer C. | | | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $1.60 exercise price | 2022-10-07 | |
| 2022-02-18 | PRICE MICHAEL F | MFP PARTNERS LP | MFP INVESTORS LLC | | | 4 | Common Stock Purchase Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +559,350 559,350 owned after | $2,950.00 | 2022-02-23 | |
| 2015-11-30 holding as of filing | PRICE MICHAEL F | MFP PARTNERS LP | MFP INVESTORS LLC | | | 3 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | Holding | $5.00 exercise price | 2015-11-30 | ||
| 2015-05-04 | Seidler Charles B Director | 4 | Class B Warrants (right to buy) Derivative · Direct | E Expiration of short derivative position | −19,000 0 owned after | $11.00 exercise price | 2015-05-06 | |
| 2015-05-04 | WICKERSHAM GROVER T Director | 4 | Class B Warrants (right to buy) Derivative · Indirect · By Trust | E Expiration of short derivative position | −1,500 0 owned after | $11.00 exercise price | 2015-05-06 | |
| 2015-05-04 | GREWAL MARK S Director, Officer (President and CEO) | 4 | Class B Warrants (right to buy) Derivative · Direct | E Expiration of short derivative position | −1,000 0 owned after | $11.00 exercise price | 2015-05-06 | |
| 2014-12-31 | MFP PARTNERS LP | PRICE MICHAEL F | MFP INVESTORS LLC | | | 4 | Common Stock Purchase Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $4.53 exercise price | 2016-09-28 | |
| 2013-04-15 | Seidler Charles B Director | 4 | Class A Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −19,000 0 owned after | $7.15 exercise price | 2013-04-16 | |
| 2013-04-12 | WICKERSHAM GROVER T Director, Officer (Chairman of the Board) | 4 | Class A Warrants (right to buy) Derivative · Indirect · By Trust | X Exercise of in-the-money or at-the-money derivative security | −1,500 0 owned after | $7.15 exercise price | 2013-04-16 | |
| 2012-11-28 | GREWAL MARK S Director, Officer (Presdient and CEO) | 4 | Class A Warrants (right to buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,000 0 owned after | $7.15 exercise price | 2012-11-29 | |
| 2010-06-17 holding as of filing | Seidler Charles B Director | 3 | Class A Common Stock Warrants (right to buy) Derivative · Direct | Holding | $7.15 exercise price | 2010-06-17 | ||
| 2010-06-17 holding as of filing | Seidler Charles B Director | 3 | Class B Common Stock Warrants (right to buy) Derivative · Direct | Holding | $11.00 exercise price | 2010-06-17 | ||
| 2010-05-14 | GREWAL MARK S Director, Officer (President and CEO) | 4 | Class A Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $7.15 exercise price | 2010-05-17 | |
| 2010-05-14 | GREWAL MARK S Director, Officer (President and CEO) | 4 | Class B Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000 1,000 owned after | $11.00 exercise price | 2010-05-17 | |
| 2010-05-13 | WICKERSHAM GROVER T Officer (Chairman of the Board) | 4 | Class A Common Stock Warrants (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +400 1,500 owned after | $7.15 exercise price | 2010-05-14 | |
| 2010-05-13 | WICKERSHAM GROVER T Officer (Chairman of the Board) | 4 | Class B Common Stock Warrants (right to buy) Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +400 1,500 owned after | $11.00 exercise price | 2010-05-14 | |
| 2010-05-12 | WICKERSHAM GROVER T Director, Officer (Chairman of the Board) | 4 | Class A Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +600 1,100 owned after | $7.15 exercise price | 2010-05-13 | |
| 2010-05-12 | WICKERSHAM GROVER T Director, Officer (Chairman of the Board) | 4 | Class B Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +600 1,100 owned after | $11.00 exercise price | 2010-05-13 | |
| 2010-05-11 | WICKERSHAM GROVER T Director, Officer (Chairman of the Board) | 4 | Class A Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +500 500 owned after | $7.15 exercise price | 2010-05-13 | |
| 2010-05-11 | WICKERSHAM GROVER T Director, Officer (Chairman of the Board) | 4 | Class B Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +500 500 owned after | $11.00 exercise price | 2010-05-13 |