0001209191-18-035110.txt : 20180604 0001209191-18-035110.hdr.sgml : 20180604 20180604163234 ACCESSION NUMBER: 0001209191-18-035110 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180529 FILED AS OF DATE: 20180604 DATE AS OF CHANGE: 20180604 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PRICE MICHAEL F CENTRAL INDEX KEY: 0000918537 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 18878580 MAIL ADDRESS: STREET 1: C/O MFP INVESTORS LLC STREET 2: 909 THIRD AVE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MFP INVESTORS LLC CENTRAL INDEX KEY: 0001105685 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 18878581 BUSINESS ADDRESS: STREET 1: 909 THIRD AVE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 752-7280 MAIL ADDRESS: STREET 1: 909 THIRD AVE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MFP PARTNERS LP CENTRAL INDEX KEY: 0001074749 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34719 FILM NUMBER: 18878582 BUSINESS ADDRESS: STREET 1: 667 Madison Avenue, 25th Floor CITY: New York STATE: NY ZIP: 10065 BUSINESS PHONE: 212-752-7250 MAIL ADDRESS: STREET 1: 667 Madison Avenue, 25th Floor CITY: New York STATE: NY ZIP: 10065 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: 106 K STREET, SUITE 300 CITY: SACRAMENTO STATE: CA ZIP: 95814 BUSINESS PHONE: 559 884 2535 MAIL ADDRESS: STREET 1: 106 K STREET, SUITE 300 CITY: SACRAMENTO STATE: CA ZIP: 95814 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-05-29 0 0001477246 S&W Seed Co SANW 0001074749 MFP PARTNERS LP C/O MFP INVESTORS LLC 909 THIRD AVENUE, 33RD FLOOR NEW YORK NY 10022 0 0 1 1 See remarks below 0001105685 MFP INVESTORS LLC 909 THIRD AVENUE, 33RD FLOOR NEW YORK NY 10022 0 0 1 1 See remarks below 0000918537 PRICE MICHAEL F C/O MFP INVESTORS LLC 909 THIRD AVENUE, 33RD FLOOR NEW YORK NY 10022 0 0 1 1 See remarks below Common Stock, par value $0.001 per share 2018-05-29 4 P 0 2500 3.35 A 6948839 D Common Stock, par value $0.001 per share 2018-05-31 4 P 0 20138 3.41 A 6968977 D Common Stock, par value $0.001 per share 2018-06-01 4 P 0 13495 3.42 A 6982472 D Common Stock, par value $0.001 per share 2018-06-04 4 P 0 38155 3.41 A 7020627 D This report is filed jointly by MFP Partners, L.P. ("MFP Partners"), MFP Investors LLC ("MFP Investors") and Michael F. Price (each, a "Reporting Person" and, collectively, the "Reporting Persons") in connection with their respective direct and indirect relationships with S&W Seed Company (the "Company"). MFP Investors is the general partner of MFP Partners. Mr. Price is the managing partner of MFP Partners and the managing member and controlling person of MFP Investors. MFP Partners is the direct beneficial owner of the shares of common stock of the Company ("Common Stock") reported herein. Each Reporting Person other than MFP Partners may be deemed to be the indirect beneficial owner of such shares of Common Stock; however, each such Reporting Person disclaims beneficial ownership of such shares of Common Stock except to the extent of such Reporting Person's pecuniary interest therein, and this report shall not be deemed an admission that any of these Reporting Persons is the beneficial owner of the shares of Common Stock described herein for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose. Mr. Alexander C. Matina (Vice President, Investments at MFP Investors), serves as a member of the board of directors of the Company as a nominee of MFP. Each of MFP Partners, MFP Investors and Mr. Price may be deemed a director of the Company by deputization on the basis of the relationships among such persons and Mr. Matina. MFP PARTNERS, L.P., By: MFP INVESTORS LLC, By: /s/ Michael F. Price, Name: Michael F. Price, Title: Managing Member 2018-06-04 MFP INVESTORS LLC, By: /s/ Michael F. Price, Name: Michael F. Price, Title: Managing Member 2018-06-04 /s/ Michael F. Price 2018-06-04