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| Reporting Date | Major Shareholder Name | Shares Held | Market Value | Change in Shares | Ownership |
|---|---|---|---|---|---|
| 05/15/2024 | PRICE JENNIFER C. | 17.45 M | $8.44 M | 0.00% | 40.49% |
| 05/15/2024 | WYNNEFIELD CAPITAL INC | 4.25 M | $2.06 M | 0.00% | 9.86% |
| 04/30/2024 | CUTTER & CO BROKERAGE, INC. | 1.94 M | $932,712 | -0.29% | 4.51% |
| 05/10/2024 | VANGUARD GROUP INC | 727,224 | $351,759 | 0.00% | 1.69% |
| 05/10/2024 | PRESCOTT GROUP CAPITAL MANAGEMENT, L.L.C. | 715,357 | $346,000 | 95.53% | 1.66% |
| 05/03/2024 | ESSEX INVESTMENT MANAGEMENT CO LLC | 343,486 | $166,144 | 0.00% | 0.80% |
| 05/13/2024 | GEODE CAPITAL MANAGEMENT, LLC | 202,796 | $98,124 | 2.49% | 0.47% |
| 05/16/2024 | FIRST WESTERN TRUST BANK | 165,315 | $79,963 | 0.00% | 0.38% |
| 05/08/2024 | SHUFRO ROSE & CO LLC | 149,000 | $72,072 | -7.74% | 0.35% |
| 05/13/2024 | RENAISSANCE TECHNOLOGIES LLC | 128,635 | $62,000 | 126.86% | 0.30% |
| 04/24/2024 | OAK FAMILY ADVISORS, LLC | 97,608 | $47,213 | 0.00% | 0.23% |
| 05/14/2024 | TETON ADVISORS, INC. | 92,000 | $44,500 | -52.94% | 0.21% |
| 05/10/2024 | BLACKROCK INC. | 76,880 | $37,187 | -1.85% | 0.18% |
| 05/15/2024 | STATE STREET CORP | 59,687 | $28,871 | 0.00% | 0.14% |
| 05/07/2024 | SUSQUEHANNA INTERNATIONAL GROUP, LLP | 55,545 | $26,867 | -41.85% | 0.13% |
| 05/14/2024 | GABELLI FUNDS LLC | 48,000 | $23,218 | 0.00% | 0.11% |
| 05/02/2024 | THOMPSON DAVIS & CO., INC. | 47,250 | $22,855 | -20.92% | 0.11% |
| 05/15/2024 | TWO SIGMA SECURITIES, LLC | 37,383 | $18,082 | 100.00% | 0.09% |
| 05/15/2024 | CITADEL ADVISORS LLC | 35,942 | $17,385 | -45.50% | 0.08% |
| 05/14/2024 | NORTHERN TRUST CORP | 32,552 | $15,745 | -2.98% | 0.08% |
| 04/15/2024 | LEGATO CAPITAL MANAGEMENT LLC | 26,182 | $12,664 | 0.00% | 0.06% |
| 05/15/2024 | TOWER RESEARCH CAPITAL LLC (TRC) | 22,234 | $10,761 | 65.88% | 0.05% |
| 04/11/2024 | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | 20,000 | $9,438 | 100.00% | 0.05% |
| 04/30/2024 | COMMONS CAPITAL, LLC | 15,000 | $7,256 | 0.00% | 0.03% |
| 05/13/2024 | XTX TOPCO LTD | 10,498 | $5,078 | 100.00% | 0.02% |
| 05/02/2024 | WHITTIER TRUST CO | 8,000 | $3,840 | 0.00% | 0.02% |
| 05/15/2024 | MORGAN STANLEY | 414 | $200 | -3.94% | 0.00% |
| 05/10/2024 | ADVISOR GROUP HOLDINGS, INC. | 400 | $193 | 0.00% | 0.00% |
| 05/15/2024 | CITADEL ADVISORS LLC | 200 | $97 | -95.24% | 0.00% |
| 05/10/2024 | WELLS FARGO & COMPANY/MN | 185 | $89 | 1.65% | 0.00% |
| 05/10/2024 | GROUP ONE TRADING, L.P. | 80 | $39 | 0.00% | 0.00% |
| 05/10/2024 | JPMORGAN CHASE & CO | 58 | $28 | 56.76% | 0.00% |
| 05/15/2024 | BANK OF AMERICA CORP /DE/ | 0 | $0 | -100.00% | 0.00% |
| 05/15/2024 | MILLENNIUM MANAGEMENT LLC | 0 | $0 | -100.00% | 0.00% |
| 05/15/2024 | CAPTRUST FINANCIAL ADVISORS | 0 | $0 | -100.00% | 0.00% |
| 05/13/2024 | UBS GROUP AG | 0 | $0 | -100.00% | 0.00% |
| 05/08/2024 | KOSHINSKI ASSET MANAGEMENT, INC. | 0 | $0 | -100.00% | 0.00% |
A. During the previous two years, 56 institutional investors and hedge funds held shares of S&W Seed Company. The most heavily invested institutionals were:
Price Jennifer C.: 17.45 M
WYNNEFIELD CAPITAL INC: 4.25 M
Cutter & CO Brokerage, Inc.: 1.94 M
VANGUARD GROUP INC: 727,224
PRESCOTT GROUP CAPITAL MANAGEMENT, L.L.C.: 715,357
ESSEX INVESTMENT MANAGEMENT CO LLC: 343,486
A. 62.10% of S&W Seed Company stock is owned by institutional investors.
A. Institutional investors have bought a total of 45.45 M shares in the last 24 months. This purchase volume represents approximately $12.82 M in transactions.
