SANW

S&W Seed Company SANW

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Wynnefield Capital, Inc. Profit Sharing Plan Delaware 129235 0 129235 0 129235 0.3 % 16/02/2023
Wynnefield Partners Small Cap Value, L.P.   13-3688497 Delaware 1336741 0 1336741 0 1336741 3.1 % 16/02/2023
Wynnefield Partners Small Cap Value, L.P. I   13-3953291 Delaware 2104556 0 2104556 0 2104556 4.9 % 16/02/2023
Nelson Obus United States 0 4112950 0 0 4112950 9.7 % 16/02/2023
Joshua Landes United States 0 4112950 0 0 4112950 9.7 % 16/02/2023
Wynnefield Capital Management, LLC   13-4018186 New York 3441297 0 3441297 0 3441297 8.1 % 16/02/2023
( Cayman Islands 542418 0 542418 0 542418 1.3 % 16/02/2023
Wynnefield Capital, Inc.   13-3688495 Delaware 542418 0 542418 0 542418 1.3 % 16/02/2023
MFP Investors LLC 0 0 0 19716228 19716228 45 % 27/06/2022
MFP Partners, L.P. 0 0 0 19716228 19716228 45 % 27/06/2022
Jennifer Cook Price 0 0 0 19716228 19716228 45 % 27/06/2022
MFP Investors LLC 0 0 0 19710728 19710728 45 % 24/06/2022
Jennifer Cook Price 0 0 0 19710728 19710728 45 % 24/06/2022
MFP Partners, L.P. 0 0 0 19710728 19710728 45 % 24/06/2022
MFP Investors LLC 0 0 0 19137726 19137726 47.1 % 28/02/2022
MFP Partners, L.P. 0 0 0 19137726 19137726 47.1 % 28/02/2022
Michael F. Price 0 0 0 19137726 19137726 47.1 % 28/02/2022
23-3025935 Delaware 0 0 0 0 10 12 % 14/02/2018
RMB Capital Holdings, LLC Delaware Limited Liability Company 0 0 0 0 0 0 % 13/02/2018
RMB Capital Management, LLC Delaware Limited Liability Company 0 0 0 0 0 0 % 13/02/2018
Iron Road Capital Partners LLC Delaware Limited Liability Company 0 0 0 0 0 0 % 13/02/2018
WYNNEFIELD Delaware 99235 0 99235 0 99235 0.6 % 12/06/2017
JoSHUA Landes Delaware 2717144 0 2717144 0 2717144 15.1 % 12/06/2017
NELSON OBUS Delaware 2717144 0 2717144 0 2717144 15.1 % 12/06/2017
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. 13-3688497 Delaware 862037 0 862037 0 862037 4.8 % 12/06/2017
PARTNERS SMALL CAP VALUE, L.P. I 13-3953291 Delaware 1384853 0 1384853 0 1384853 7.7 % 12/06/2017
WYNNEFIELD Delaware 371019 0 371019 0 371019 2.1 % 12/06/2017
CAPITAL MANAGEMENT, LLC 13-4018186 Delaware 2246890 0 2246890 0 2246890 12.5 % 12/06/2017
CAPITAL, INC. 13-3688495 Delaware 371019 0 371019 0 371019 2.1 % 12/06/2017
Christopher L. Gust Illinois 0 108954 0 108954 108954 2.9 % 13/02/2017
Robert R. Bellick Illinois 0 108954 0 108954 108954 2.9 % 13/02/2017
Wolverine Asset Management, LLC Illinois 0 103154 0 103154 103154 2.9 % 13/02/2017
Wolverine Holdings, L.P. Illinois 0 108954 0 108954 108954 2.9 % 13/02/2017
Wolverine Trading Partners, Inc. Illinois 0 108954 0 108954 108954 2.9 % 13/02/2017
RMB Capital Management, LLC Delaware Limited Liability Company 0 1377596 0 0 1377596 7.7 % 13/02/2017
RMB Capital Holdings, LLC Delaware Limited Liability Company 0 1377596 0 0 1377596 7.7 % 13/02/2017
Iron Road Capital Partners L.L.C. Delaware Limited Liability Company 0 1377596 0 0 1377596 7.7 % 13/02/2017
Hudson Bay Capital Management, L.P. Delaware 0 0 13 683993 683993 3.68 % 30/01/2017
Sander Gerber Delaware 0 0 13 683993 683993 3.68 % 30/01/2017
NorthPointe Capital, LLC Delaware 847905 0 929802 0 929802 5.21 % 25/01/2017
2 Delaware 0 1699964 1699964 0 1699964 10.1 % 04/03/2016
2 Delaware 245565 0 245565 0 245565 1.5 % 04/03/2016
2 Delaware 245565 0 245565 0 245565 1.5 % 04/03/2016
2 Delaware 0 0 99235 0 99235 0.1 % 04/03/2016
2 Delaware 2044764 0 0 2044764 2044764 12.2 % 04/03/2016
2 Delaware 1945529 0 1945529 0 1945529 11.6 % 04/03/2016
2 Delaware 649969 0 649969 0 649969 3.9 % 04/03/2016
2 Delaware 1049995 0 1049995 0 1049995 6.2 % 04/03/2016
NELSON OBUS Delaware 767700 0 767700 0 767700 5.4 % 16/02/2016
WYNNEFIELD CAPITAL MANAGEMENT, LLC 13-4018186 Delaware 690109 0 690109 0 690109 4.9 % 16/02/2016
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I 13-3953291 Delaware 426520 0 426520 0 426520 3 % 16/02/2016
No.) Delaware 77591 0 77591 0 77591 0.5 % 16/02/2016
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. 13-3688497 Delaware 263589 0 263589 0 263589 1.9 % 16/02/2016
JoSHUA Landes Delaware 767700 0 767700 0 767700 5.4 % 16/02/2016
WYNNEFIELD CAPITAL, INC. 13-3688495 Delaware 77591 0 77591 0 77591 0.5 % 16/02/2016
Christopher L. Gust Illinois 0 557207 0 557207 557207 5.9 % 16/02/2016
Wolverine Asset Management, LLC Illinois 0 551207 0 551207 551207 5.8 % 16/02/2016
Wolverine Holdings, L.P. Illinois 0 557207 0 557207 557207 5.9 % 16/02/2016
Robert R. Bellick Illinois 0 557207 0 557207 557207 5.9 % 16/02/2016
Wolverine Trading Partners, Inc. Illinois 0 557207 0 557207 557207 5.9 % 16/02/2016
Sander Gerber Delaware 0 0 13 1320635 1320635 8.25 % 08/02/2016
Hudson Bay Capital Management, L.P. Delaware 0 0 13 1320635 1320635 8.25 % 08/02/2016
DRH Investments, Inc.12100 Wilshire Blvd.Suite 1020Los Angeles, CA 90025 California 0 0 0 0 0 0 % 08/07/2015
Wolverine Trading Partners, Inc. US Citizen 0 724589 0 724589 724589 7.7 % 17/02/2015
Wolverine Holdings, L.P. US Citizen 0 724589 0 724589 724589 7.7 % 17/02/2015
Wolverine Asset Management, LLC US Citizen 0 700000 0 700000 700000 7.5 % 17/02/2015
Christopher L. Gust US Citizen 0 724589 0 724589 724589 7.7 % 17/02/2015
Robert R. Bellick US Citizen 0 724589 0 724589 724589 7.7 % 17/02/2015
Wellington Trust Company, National Association Multiple Common Trust Funds Trust, Micro Cap Equity P Massachusetts 0 333997 0 0 333997 2.86 % 12/02/2015
Wellington Trust Company, NA United States 0 384900 0 0 384900 3.3 % 12/02/2015
Hudson Bay Capital Management, L.P. Delaware 0 1200000 0 1200000 1200000 9.99 % 10/02/2015
Sander Gerber Delaware 0 1200000 0 1200000 1200000 9.99 % 10/02/2015
MFP Investors LLC(1) Citizenship or Place of Organization 0 0 0 0 1294000 9.99 % 02/02/2015
Michael F. Price(1) Citizenship or Place of Organization 0 0 0 0 1294000 9.99 % 02/02/2015
MFP Partners, L.P.(1) Citizenship or Place of Organization 0 0 0 0 1294000 9.99 % 02/02/2015
Los Angeles, CA 90025 California 0 716238 0 0 716238 5.53 % 16/01/2015
MFP Partners, L.P.(1) Citizenship or Place of Organization 0 0 0 0 1294000 9.99 % 07/01/2015
MFP Investors LLC(1) Citizenship or Place of Organization 0 0 0 0 1294000 9.99 % 07/01/2015
Michael F. Price(1) Citizenship or Place of Organization 0 0 0 0 1294000 9.99 % 07/01/2015
Iron Road Capital Partners L.L.C. 20-4493541 Delaware 0 1153318 0 0 1153318 9.89 % 10/11/2014
59-3792751 Delaware 0 1169318 0 0 1169318 10.02 % 10/11/2014
26-1080669 Delaware 11080 0 309375 0 309375 2.7 % 10/11/2014
04-3542621 Delaware 0 0 298295 0 298295 2.6 % 10/11/2014
04-3543039 Delaware 11080 0 11080 0 11080 0.1 % 10/11/2014
04-3543039 Delaware 197332 0 208986 0 208986 1.8 % 10/07/2014
26-1080669 Delaware 199952 0 1169834 0 1169834 10 % 10/07/2014
04-3542621 Delaware 2620 0 960848 0 960848 8.2 % 10/07/2014
26-1080669 Delaware 167691 0 1114463 0 1114463 9.6 % 14/02/2014
04-3543039 Delaware 164976 0 176766 0 176766 1.5 % 14/02/2014
04-3542621 Delaware 2715 0 937697 0 937697 8.1 % 14/02/2014
22-2859704 United States 0 883500 0 0 883500 7.6 % 14/02/2014
04-2683227 Massachusetts 0 883500 0 0 883500 7.6 % 14/02/2014
RILEY McCORMACK USA 425000 0 425000 0 425000 3.66 % 11/02/2014
UBS AG United States America 0 420000 0 420000 1471 5.09 % 19/02/2013
RILEY McCORMACK USA 675000 0 675000 0 675000 7.28 % 18/01/2013
IMPERIAL VALLEY SEEDS, INC. California 400000 0 400000 0 400000 5.1 % 11/10/2012
RILEY McCORMACK USA 600000 0 600000 0 600000 8 % 28/09/2012
Manulife Financial Corporation Delaware 350548 0 0 % 23/03/2011
PAULSON CAPITAL CORP United States of America 0 420000 0 420000 420000 6.7524 % 07/03/2011
Chester L.F. Paulson and Jacqueline M. Paulson as Joint Tenants United States of America 0 420000 0 420000 420000 6.7524 % 07/03/2011

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District