0001144204-16-094837.txt : 20160418
0001144204-16-094837.hdr.sgml : 20160418
20160418163022
ACCESSION NUMBER: 0001144204-16-094837
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160414
FILED AS OF DATE: 20160418
DATE AS OF CHANGE: 20160418
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: S&W Seed Co
CENTRAL INDEX KEY: 0001477246
STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100]
IRS NUMBER: 271275784
STATE OF INCORPORATION: NV
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 7108 NORTH FRESNO STREET
STREET 2: SUITE 380
CITY: FRESNO
STATE: CA
ZIP: 93720
BUSINESS PHONE: 559 884 2535
MAIL ADDRESS:
STREET 1: 7108 NORTH FRESNO STREET
STREET 2: SUITE 380
CITY: FRESNO
STATE: CA
ZIP: 93720
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LANDES JOSHUA
CENTRAL INDEX KEY: 0001251568
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 161577182
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OBUS NELSON
CENTRAL INDEX KEY: 0001017043
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 161577183
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL INC
CENTRAL INDEX KEY: 0001251567
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 161577184
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2129600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0001056835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 161577185
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2127600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wynnefield Capital, Inc. Profit Sharing Plan
CENTRAL INDEX KEY: 0001289453
STATE OF INCORPORATION: NY
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 161577186
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0278
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP
CENTRAL INDEX KEY: 0000899083
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 161577189
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
CENTRAL INDEX KEY: 0001251565
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 161577188
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
CENTRAL INDEX KEY: 0001030806
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34719
FILM NUMBER: 161577187
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2127600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
4
1
v437231_form4.xml
OWNERSHIP DOCUMENT
X0306
4
2016-04-14
0
0001477246
S&W Seed Co
SANW
0000899083
WYNNEFIELD PARTNERS SMALL CAP VALUE LP
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251565
WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001030806
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001289453
Wynnefield Capital, Inc. Profit Sharing Plan
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001056835
WYNNEFIELD CAPITAL MANAGEMENT LLC
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251567
WYNNEFIELD CAPITAL INC
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001017043
OBUS NELSON
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251568
LANDES JOSHUA
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
Common Stock
2016-04-14
4
P
0
1274
4.15
A
663812
D
Common Stock
2016-04-14
4
P
0
1996
4.15
A
1071682
I
See footnote
Common Stock
2016-04-14
4
P
0
820
4.15
A
254497
I
See footnote
Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 663,812 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5).
The Reporting Person has an indirect beneficial ownership interest in 1,071,682 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns.
The Reporting Person has an indirect beneficial ownership interest in 254,497 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns.
The Reporting Person has an indirect beneficial ownership interest in 99,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns.
Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement.
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P., By: Wynnefield Capital Management, LLC, General Partner, /s/ Nelson Obus, Managing Member
2016-04-18
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I, By: Wynnefield Capital Management, LLC, General Partner, /s/ Nelson Obus, Managing Member
2016-04-18
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD., By: Wynnefield Capital, Inc., /s/ Nelson Obus, President
2016-04-18
WYNNEFIELD CAPITAL, INC. PROFIT SHARING PLAN, /s/ Nelson Obus, Authorized Signatory
2016-04-18
WYNNEFIELD CAPITAL MANAGEMENT, LLC, /s/ Nelson Obus, Managing Member
2016-04-18
WYNNEFIELD CAPITAL, INC., /s/ Nelson Obus, President
2016-04-18
/s/ Nelson Obus, Individually
2016-04-18
/s/ Joshua Landes, Individually
2016-04-18