0001209191-18-038225.txt : 20180618
0001209191-18-038225.hdr.sgml : 20180618
20180618094431
ACCESSION NUMBER: 0001209191-18-038225
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180614
FILED AS OF DATE: 20180618
DATE AS OF CHANGE: 20180618
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: 18903747
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
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: 18903748
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: 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: 18903749
MAIL ADDRESS:
STREET 1: C/O MFP INVESTORS LLC
STREET 2: 909 THIRD AVE, 33RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
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
2018-06-14
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
2018-06-14
4
P
0
2270
3.29
A
7102300
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
2018-06-18
MFP INVESTORS LLC, By: /s/ Michael F. Price, Name: Michael F. Price, Title: Managing Member
2018-06-18
/s/ Michael F. Price
2018-06-18