- Initial Statement of Beneficial Ownership (3)
May 03 2010 - 9:25PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
YELLOWJACKET, LP
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/3/2010
|
3. Issuer Name
and
Ticker or Trading Symbol
S&W Seed Co [SANW]
|
(Last)
(First)
(Middle)
430 CAMBRIDGE AVENUE, SUITE 100
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Street)
PALO ALTO, CA 94306
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Common Stock
|
2566000
|
D
(1)
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
These shares are owned directly by Yellowjacket, LP. Glenbrook Capital Management ("GCM") is the general partner of Yellowjacket, LP and in that capacity is deemed to be the beneficial owner of the limited partnership's portfolio securities. Robert W. Lishman, Jr. is the President and sole director of GCM and in that capacity is deemed to be the beneficial owner of the portfolio securities of GCM. Both GCM and Mr. Lishman disclaim beneficial ownership of the securities owned directly by Yellowjacket, LP except to the extent of their respective pecuniary interests therein and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
|
Remarks:
This report is filed jointly by Yellowjacket, LP, Glenbrook Capital Management ("GCM") and Robert W. Lishman, Jr. ("Lishman"). Yellowjacket is a 10% owner. GCM is the general partner of Yellowjacket, LP and is deemed to be the beneficial owner of Yellowjacket's portfolio securities. Lishman is the sole executive officer and director of GCM and is therefore deemed to be the beneficial owner of GCM's portfolio securities.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
YELLOWJACKET, LP
430 CAMBRIDGE AVENUE, SUITE 100
PALO ALTO, CA 94306
|
|
X
|
|
|
GLENBROOK CAPITAL MANAGEMENT
430 CAMBRIDGE AVENUE, SUITE 100
PALO ALTO, CA 94306
|
|
X
|
|
|
LISHMAN ROBERT W
430 CAMBRIDGE AVENUE, SUITE 100
PALO ALTO, CA 94306
|
|
X
|
|
|
Signatures
|
/s/ Robert W. Lishman, Jr., President of Glenbrook Capital Management, General Partner
|
|
5/3/2010
|
**
Signature of Reporting Person
|
Date
|
/s/ Robert W. Lishman, Jr., President
|
|
5/3/2010
|
**
Signature of Reporting Person
|
Date
|
/s/ Robert W. Lishman, Jr
|
|
5/3/2010
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
S&W Seed Company (MM) (NASDAQ:SANWU)
Historical Stock Chart
From Jun 2024 to Jul 2024
S&W Seed Company (MM) (NASDAQ:SANWU)
Historical Stock Chart
From Jul 2023 to Jul 2024