organization · Reporting owner

Wynnefield Capital, Inc. Profit Sharing Plan

Disclosed activity across 13 companies

Tapewire entity: 86978
SEC CIK: 0001289453

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
DLH Holdings Corp.DLHC · Entity 7088	10% owner	March 14, 2023	March 16, 2023
GlyEco, Inc.GLYE · Entity 156109	10% owner	May 31, 2019	June 05, 2019
Jason Industries, Inc.JASN · Entity 149778	10% owner	August 14, 2019	August 16, 2019
LIFECORE BIOMEDICAL INCLFCR · Entity 120804	10% owner	January 09, 2023	January 11, 2023
LIFECORE BIOMEDICAL, INC. \DE\LFCR · Entity 6447	10% owner	October 03, 2024	October 07, 2024
MusclePharm CorpMSLP · Entity 125097	10% owner	September 27, 2019	October 01, 2019
NATURES SUNSHINE PRODUCTS INCNATR · Entity 1465	10% owner	September 15, 2022	September 19, 2022
Quest Resource Holding CorpQRHC · Entity 852	10% owner	March 13, 2024	March 15, 2024
Summer Infant, Inc.SUMR · Entity 125947	10% owner	May 25, 2021	May 27, 2021
TELOS CORPTLSRP · Entity 770	10% owner	October 06, 2020	October 08, 2020
Williams Industrial Services Group Inc.WLMS · Entity 114766	10% owner	August 31, 2022	September 02, 2022

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

DLH Holdings Corp.

Report date March 14, 2023 · Filed March 16, 2023

Jointly reported with WYNNEFIELD PARTNERS SMALL CAP VALUE LP, WYNNEFIELD PARTNERS SMALL CAP VALUE LP I, WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD, WYNNEFIELD CAPITAL MANAGEMENT LLC, WYNNEFIELD CAPITAL INC, OBUS NELSON, LANDES JOSHUA

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per share ("Common Stock")SEC Table I · non-derivative	Direct	1,028,495	Reported balance After 2023-03-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-03-14 · Sale · Disposed 40,000 · Balance 1,028,495 F5: This Form 4 is being filed as a result of sales related to portfolio management. F1: The Reporting Person directly beneficially owns 1,028,495 shares of Common Stock of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	2,652,926	Reported balance After 2023-03-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-03-14 · Sale · Disposed 210,000 · Balance 2,652,926 F5: This Form 4 is being filed as a result of sales related to portfolio management. F2: The Reporting Person has an indirect beneficial ownership interest in 1,854,044 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 672,395 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 1,028,495 shares of Common Stock of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 1,854,044 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 672,395 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 126,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

F5: This Form 4 is being filed as a result of sales related to portfolio management.

GlyEco, Inc.

Report date May 31, 2019 · Filed June 05, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock Purchase Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.55 · Expires 2024-05-31	Direct	417,843	Reported balance After 2019-05-31 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-05-31 · Other · Acquired 417,843 · Balance 417,843 F1: The warrant to purchase 417,843 shares of common stock, $0.0001 par value per share (the "Common Stock"), of GlyEco, Inc. (the "Issuer"), was issued to the Reporting Person in connection with an agreement to replace the Issuer's 10% Senior, Unsecured Promissory Note, which had been previously issued to the Reporting Person, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note. F3: The Reporting Person directly beneficially owns the warrant to purchase 417,843 shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns.
Common Stock Purchase Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.55 · Expires 2024-05-31	IndirectSee Footnote	646,981	Reported balance After 2019-05-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-05-31 · Other · Acquired 646,981 · Balance 646,981 F2: The warrant to purchase 646,981 shares of Common Stock was issued to Wynnefield Partners Small Cap Value, L.P. I in connection with an agreement to replace the Issuers's 10% Senior, Unsecured Promissory Note, which had been previously issued to Wynnefield Partners Small Cap Value, L.P. I, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note. F4: The Reporting Person has an indirect beneficial ownership interest in the warrant to purchase 646,981 shares of Common Stock that is directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The warrant to purchase 417,843 shares of common stock, $0.0001 par value per share (the "Common Stock"), of GlyEco, Inc. (the "Issuer"), was issued to the Reporting Person in connection with an agreement to replace the Issuer's 10% Senior, Unsecured Promissory Note, which had been previously issued to the Reporting Person, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note.

F2: The warrant to purchase 646,981 shares of Common Stock was issued to Wynnefield Partners Small Cap Value, L.P. I in connection with an agreement to replace the Issuers's 10% Senior, Unsecured Promissory Note, which had been previously issued to Wynnefield Partners Small Cap Value, L.P. I, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note.

F3: The Reporting Person directly beneficially owns the warrant to purchase 417,843 shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in the warrant to purchase 646,981 shares of Common Stock that is directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

Jason Industries, Inc.

Report date August 14, 2019 · Filed August 16, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	3,690,407	Reported balance After 2019-08-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-08-14 · Purchase · Acquired 20,000 · Balance 3,690,407 F2: The Reporting Person has an indirect beneficial ownership interest in 2,180,597 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest 1,161,833 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 347,977 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	Direct	1,568,833	Reported balance Holding disclosure · report date 2019-08-14 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,568,833 F1: The Reporting Person directly beneficially owns 1,568,833 shares of common stock, $0.0001 par value per share ("Common Stock") of Jason Industries, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 1,568,833 shares of common stock, $0.0001 par value per share ("Common Stock") of Jason Industries, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 2,180,597 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest 1,161,833 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 347,977 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

LIFECORE BIOMEDICAL INC

Report date January 09, 2023 · Filed January 11, 2023

Jointly reported with WYNNEFIELD PARTNERS SMALL CAP VALUE LP I, WYNNEFIELD PARTNERS SMALL CAP VALUE LP, WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD, WYNNEFIELD CAPITAL MANAGEMENT LLC, WYNNEFIELD CAPITAL INC, OBUS NELSON, LANDES JOSHUA

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	Direct	1,560	Reported balance After 2023-01-09 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-01-09 · Purchase · Acquired 1,560 · Balance 1,560 F1: Subject to adjustment, as described in the Certificate of Designations of the Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") filed by Lifecore Biomedical, Inc. (the "Company") with the Delaware Secretary of State on January 9, 2023 (the "Certificate of Designation"). F2: The shares of Convertible Preferred Stock are convertible into shares of the Company's Common Stock, $0.001 par value per share (the "Common Stock") upon the events specified in the Certificate of Designation. F3: Represents the number of shares of Common Stock issuable upon conversion of the Convertible Preferred Stock on the date of the reported transaction. Each holder of shares of Convertible Preferred Stock shall be entitled to convert all or any portion of the Conversion Amount (as defined in the Certificate of Designation) into that number of shares of Common Stock divided by the Conversion Price (as defined in the Certificate of Designation), initially $7.00, subject to the adjustments and limitations set forth in the Certificate of Designation, including, without limitation, the Beneficial Ownership Limit and the Exchange Cap (each as defined in the Certificate of Designation). F4: The shares of Convertible Preferred Stock accrue dividends at the rate of 7.5% per annum (on the basis of a 360-day calendar year) on the Stated Value (as defined in the Certificate of Designation), as specified in the Certificate of Designation. To the extent such dividends are paid in-kind, the number of shares of Convertible Preferred Stock and the shares of Common Stock underlying such Convertible Preferred Stock will increase accordingly. F5: Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the securities that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the securities that the Reporting Person directly beneficially owns.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	IndirectSee Footnote	1,040	Reported balance After 2023-01-09 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2023-01-09 · Purchase · Acquired 1,040 · Balance 1,040 F1: Subject to adjustment, as described in the Certificate of Designations of the Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") filed by Lifecore Biomedical, Inc. (the "Company") with the Delaware Secretary of State on January 9, 2023 (the "Certificate of Designation"). F2: The shares of Convertible Preferred Stock are convertible into shares of the Company's Common Stock, $0.001 par value per share (the "Common Stock") upon the events specified in the Certificate of Designation. F3: Represents the number of shares of Common Stock issuable upon conversion of the Convertible Preferred Stock on the date of the reported transaction. Each holder of shares of Convertible Preferred Stock shall be entitled to convert all or any portion of the Conversion Amount (as defined in the Certificate of Designation) into that number of shares of Common Stock divided by the Conversion Price (as defined in the Certificate of Designation), initially $7.00, subject to the adjustments and limitations set forth in the Certificate of Designation, including, without limitation, the Beneficial Ownership Limit and the Exchange Cap (each as defined in the Certificate of Designation). F4: The shares of Convertible Preferred Stock accrue dividends at the rate of 7.5% per annum (on the basis of a 360-day calendar year) on the Stated Value (as defined in the Certificate of Designation), as specified in the Certificate of Designation. To the extent such dividends are paid in-kind, the number of shares of Convertible Preferred Stock and the shares of Common Stock underlying such Convertible Preferred Stock will increase accordingly. F6: The Reporting Person has an indirect beneficial ownership interest in the securities, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the securities that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the securities that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	IndirectSee Footnote	650	Reported balance After 2023-01-09 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2023-01-09 · Purchase · Acquired 650 · Balance 650 F1: Subject to adjustment, as described in the Certificate of Designations of the Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") filed by Lifecore Biomedical, Inc. (the "Company") with the Delaware Secretary of State on January 9, 2023 (the "Certificate of Designation"). F2: The shares of Convertible Preferred Stock are convertible into shares of the Company's Common Stock, $0.001 par value per share (the "Common Stock") upon the events specified in the Certificate of Designation. F3: Represents the number of shares of Common Stock issuable upon conversion of the Convertible Preferred Stock on the date of the reported transaction. Each holder of shares of Convertible Preferred Stock shall be entitled to convert all or any portion of the Conversion Amount (as defined in the Certificate of Designation) into that number of shares of Common Stock divided by the Conversion Price (as defined in the Certificate of Designation), initially $7.00, subject to the adjustments and limitations set forth in the Certificate of Designation, including, without limitation, the Beneficial Ownership Limit and the Exchange Cap (each as defined in the Certificate of Designation). F4: The shares of Convertible Preferred Stock accrue dividends at the rate of 7.5% per annum (on the basis of a 360-day calendar year) on the Stated Value (as defined in the Certificate of Designation), as specified in the Certificate of Designation. To the extent such dividends are paid in-kind, the number of shares of Convertible Preferred Stock and the shares of Common Stock underlying such Convertible Preferred Stock will increase accordingly. F7: The Reporting Person has an indirect beneficial ownership interest in the securities, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the securities that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the securities that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: Subject to adjustment, as described in the Certificate of Designations of the Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") filed by Lifecore Biomedical, Inc. (the "Company") with the Delaware Secretary of State on January 9, 2023 (the "Certificate of Designation").

F2: The shares of Convertible Preferred Stock are convertible into shares of the Company's Common Stock, $0.001 par value per share (the "Common Stock") upon the events specified in the Certificate of Designation.

F3: Represents the number of shares of Common Stock issuable upon conversion of the Convertible Preferred Stock on the date of the reported transaction. Each holder of shares of Convertible Preferred Stock shall be entitled to convert all or any portion of the Conversion Amount (as defined in the Certificate of Designation) into that number of shares of Common Stock divided by the Conversion Price (as defined in the Certificate of Designation), initially $7.00, subject to the adjustments and limitations set forth in the Certificate of Designation, including, without limitation, the Beneficial Ownership Limit and the Exchange Cap (each as defined in the Certificate of Designation).

F4: The shares of Convertible Preferred Stock accrue dividends at the rate of 7.5% per annum (on the basis of a 360-day calendar year) on the Stated Value (as defined in the Certificate of Designation), as specified in the Certificate of Designation. To the extent such dividends are paid in-kind, the number of shares of Convertible Preferred Stock and the shares of Common Stock underlying such Convertible Preferred Stock will increase accordingly.

F5: Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the securities that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the securities that the Reporting Person directly beneficially owns.

F6: The Reporting Person has an indirect beneficial ownership interest in the securities, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the securities that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the securities that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns.

F7: The Reporting Person has an indirect beneficial ownership interest in the securities, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the securities that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the securities that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

LIFECORE BIOMEDICAL, INC. \DE\

Report date October 03, 2024 · Filed October 07, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	Direct	2,095,783	Reported balance After 2024-10-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-10-03 · Purchase · Acquired 122,930 · Balance 2,095,783 F1: The Reporting Person directly beneficially owns 2,095,783 shares of common stock, $0.001 par value per share ("Common Stock") of Lifecore Biomedical, Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Does not include 243,814 shares of Common Stock issuable upon conversion of certain shares of Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") that are immediately convertible.
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectSee Footnotes	2,607,433	Reported balance After 2024-10-03 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2024-10-03 · Purchase · Acquired 169,753 · Balance 2,607,433 F2: The Reporting Person has an indirect beneficial ownership interest in 1,344,585 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. F3: Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. Does not include 162,543 shares of Common Stock issuable upon conversion of certain shares of Convertible Preferred Stock that are immediately convertible. F4: The Reporting Person has an indirect beneficial ownership interest in 895,498 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F5: Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Does not include 101,589 shares of Common Stock issuable upon conversion of certain shares of Convertible Preferred Stock that are immediately convertible. F6: The Reporting Person has an indirect beneficial ownership interest in 367,350 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 2,095,783 shares of common stock, $0.001 par value per share ("Common Stock") of Lifecore Biomedical, Inc. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Does not include 243,814 shares of Common Stock issuable upon conversion of certain shares of Series A Convertible Preferred Stock, par value $0.001 per share (the "Convertible Preferred Stock") that are immediately convertible.

F2: The Reporting Person has an indirect beneficial ownership interest in 1,344,585 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns.

F3: Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. Does not include 162,543 shares of Common Stock issuable upon conversion of certain shares of Convertible Preferred Stock that are immediately convertible.

F4: The Reporting Person has an indirect beneficial ownership interest in 895,498 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F5: Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Does not include 101,589 shares of Common Stock issuable upon conversion of certain shares of Convertible Preferred Stock that are immediately convertible.

F6: The Reporting Person has an indirect beneficial ownership interest in 367,350 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

MusclePharm Corp

Report date September 27, 2019 · Filed October 01, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	737,626	Reported balance After 2019-09-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-09-27 · Purchase · Acquired 2,444 · Balance 737,626 F1: The Reporting Person directly beneficially owns 737,626 shares of common stock, no par value per share ("Common Stock") of MusclePharm Corporation (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	1,198,679	Reported balance After 2019-09-27 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-09-27 · Purchase · Acquired 2,556 · Balance 1,198,679 F2: The Reporting Person has an indirect beneficial ownership interest in 539,587 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 552,092 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 107,000 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 737,626 shares of common stock, no par value per share ("Common Stock") of MusclePharm Corporation (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 539,587 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 552,092 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 107,000 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

NATURES SUNSHINE PRODUCTS INC

Report date September 15, 2022 · Filed September 19, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, no par value per share (the "Common Stock")SEC Table I · non-derivative	Direct	774,547	Reported balance After 2022-09-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-09-15 · Purchase · Acquired 1,569 · Balance 774,547 F1: The price reported in Column 4 is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $9.51-$9.53. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2: The Reporting Person directly beneficially owns 774,547 shares of Common Stock of the Issuer. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	1,699,139	Reported balance After 2022-09-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2022-09-15 · Purchase · Acquired 3,431 · Balance 1,699,139 F1: The price reported in Column 4 is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $9.51-$9.53. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F3: The Reporting Person has an indirect beneficial ownership interest in 1,277,536 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 366,490 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F5: The Reporting Person has an indirect beneficial ownership interest in 55,113 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares of Common Stock were sold in multiple transactions at prices ranging from $9.51-$9.53. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2: The Reporting Person directly beneficially owns 774,547 shares of Common Stock of the Issuer. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 1,277,536 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 366,490 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F5: The Reporting Person has an indirect beneficial ownership interest in 55,113 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Quest Resource Holding Corp

Report date March 13, 2024 · Filed March 15, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,294,093	Reported balance After 2024-03-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2024-03-13 · Purchase · Acquired 14,918 · Balance 1,294,093 F1: The Reporting Person directly beneficially owns 1,294,093 shares of common stock, $0.001 par value per share ("Common Stock") of Quest Resource Holding Corporation (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	1,440,256	Reported balance After 2024-03-13 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2024-03-13 · Purchase · Acquired 15,658 · Balance 1,440,256 F2: The Reporting Person has an indirect beneficial ownership interest in 843,247 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 340,006 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 257,003 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 1,294,093 shares of common stock, $0.001 par value per share ("Common Stock") of Quest Resource Holding Corporation (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 843,247 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 340,006 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 257,003 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Summer Infant, Inc.

Report date May 25, 2021 · Filed May 27, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	Direct	236,595	Reported balance After 2021-05-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-05-25 · Purchase · Acquired 1,291 · Balance 236,595 F1: The Reporting Person directly beneficially owns 236,595 shares of common stock, $0.0001 par value per share ("Common Stock") of Summer Infant, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	547,588	Reported balance After 2021-05-25 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2021-05-25 · Purchase · Acquired 2,822 · Balance 547,588 F2: The Reporting Person has an indirect beneficial ownership interest in 358,792 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 164,523 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 24,273 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 236,595 shares of common stock, $0.0001 par value per share ("Common Stock") of Summer Infant, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 358,792 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 164,523 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 24,273 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

TELOS CORP

Report date October 06, 2020 · Filed October 08, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Preferred Stock, par value $.01 per shareSEC Table I · non-derivative	Direct	165,760	Reported balance Holding disclosure · report date 2020-10-06 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 165,760 F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F2: The Partnership directly beneficially owns 165,760 shares of Preferred Stock. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Partnership, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns. F6: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement.
Preferred Stock, par value $.01 per shareSEC Table I · non-derivative	IndirectSee Footnote	261,456	Reported balance Holding disclosure · report date 2020-10-06 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 261,456 F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F3: Partnership-I directly beneficially owns 261,456 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. Partnership-I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. WCM, as the sole general partner of Partnership-I has indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns.
Preferred Stock, par value $.01 per shareSEC Table I · non-derivative	IndirectSee Footnote	112,549	Reported balance Holding disclosure · report date 2020-10-06 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 112,549 F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F4: The Fund directly beneficially owns 112,549 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Fund, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Fund, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns.
Preferred Stock, par value $.01 per shareSEC Table I · non-derivative	IndirectSee Footnote	15,000	Reported balance Holding disclosure · report date 2020-10-06 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 15,000 F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F5: The Plan directly beneficially owns 15,000 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the 15,000 shares of Preferred Stock that the Plan directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos").

F2: The Partnership directly beneficially owns 165,760 shares of Preferred Stock. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Partnership, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns.

F3: Partnership-I directly beneficially owns 261,456 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. Partnership-I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. WCM, as the sole general partner of Partnership-I has indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns.

F4: The Fund directly beneficially owns 112,549 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Fund, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Fund, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns.

F5: The Plan directly beneficially owns 15,000 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the 15,000 shares of Preferred Stock that the Plan directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Plan directly beneficially owns.

F6: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement.

Williams Industrial Services Group Inc.

Report date August 31, 2022 · Filed September 02, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01 per share (the "Common Stock")SEC Table I · non-derivative	Direct	2,508,402	Reported balance After 2022-08-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2022-08-31 · Purchase · Acquired 464 · Balance 2,508,402 F1: The Reporting Person directly beneficially owns 2,509,488 shares of Common Stock, of the Issuer. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	3,951,844	Last balance in matching sequence After 2022-09-01 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 2 · 2022-08-31 · Purchase · Acquired 487 · Balance 3,950,705 F2: The Reporting Person has an indirect beneficial ownership interest in 2,119,632 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 1,576,936 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 255,276 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Row 4 · 2022-09-01 · Purchase · Acquired 1,139 · Balance 3,951,844 F2: The Reporting Person has an indirect beneficial ownership interest in 2,119,632 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 1,576,936 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 255,276 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.
Common StockSEC Table I · non-derivative	Direct	2,509,488	Reported balance After 2022-09-01 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2022-09-01 · Purchase · Acquired 1,086 · Balance 2,509,488 F1: The Reporting Person directly beneficially owns 2,509,488 shares of Common Stock, of the Issuer. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 2,509,488 shares of Common Stock, of the Issuer. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 2,119,632 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 1,576,936 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 255,276 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, has the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

MAM SOFTWARE GROUP, INC.

Report date October 21, 2019 · Filed October 23, 2019

Section 16 reporting ended · disclosed 2019-10-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	0	Reported balance After 2019-10-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-10-21 · Disposition to issuer · Disposed 983,251 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of August 30, 2019, by and among Kerridge Commercial Systems Group Limited, Chickadee Holdings Inc. and the Company in exchange for $12.12 for each share of common stock, $0.0001 par value per share ("Common Stock") of MAM Software Group, Inc. (the "Issuer") held by the Reporting Owners. F2: The Reporting Person directly beneficially owned shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned.
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	0	Reported balance After 2019-10-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2019-10-21 · Disposition to issuer · Disposed 2,264,273 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of August 30, 2019, by and among Kerridge Commercial Systems Group Limited, Chickadee Holdings Inc. and the Company in exchange for $12.12 for each share of common stock, $0.0001 par value per share ("Common Stock") of MAM Software Group, Inc. (the "Issuer") held by the Reporting Owners. F3: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owned. F4: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned. F5: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Nelson Obus, as the portfolio manager of Wynnefield Capital, Inc. Profit Sharing Plan, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owned.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of August 30, 2019, by and among Kerridge Commercial Systems Group Limited, Chickadee Holdings Inc. and the Company in exchange for $12.12 for each share of common stock, $0.0001 par value per share ("Common Stock") of MAM Software Group, Inc. (the "Issuer") held by the Reporting Owners.

F2: The Reporting Person directly beneficially owned shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owned.

F3: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owned. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owned.

F4: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owned.

F5: The Reporting Person had an indirect beneficial ownership interest in shares of Common Stock, which were directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Nelson Obus, as the portfolio manager of Wynnefield Capital, Inc. Profit Sharing Plan, had an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owned.

S&W Seed Co

Report date February 07, 2023 · Filed February 09, 2023

Section 16 reporting ended · disclosed 2023-02-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	Direct	1,336,741	Reported balance After 2023-02-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-02-07 · Sale · Disposed 119,244 · Balance 1,336,741 F1: The Reporting Person directly beneficially owns 1,336,741 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee footnotes	2,776,209	Reported balance After 2023-02-07 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-02-07 · Sale · Disposed 260,756 · Balance 2,776,209 F2: The Reporting Person has an indirect beneficial ownership interest in 2,104,556 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3: The Reporting Person has an indirect beneficial ownership interest in 542,418 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4: The Reporting Person has an indirect beneficial ownership interest in 129,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person directly beneficially owns 1,336,741 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.

F2: The Reporting Person has an indirect beneficial ownership interest in 2,104,556 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.

F3: The Reporting Person has an indirect beneficial ownership interest in 542,418 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.

F4: The Reporting Person has an indirect beneficial ownership interest in 129,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 18, 2017 Filed May 19, 2017 20:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	684	$4.70	$3,214.80	Disclosure SEC source: 0001144204-17-028648 · v467499_form-4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,441,924 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 2,250,232 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,040,205 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 151,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
May 18, 2017 Filed May 19, 2017 20:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	316	$4.70	$1,485.20	Disclosure SEC source: 0001144204-17-028648 · v467499_form-4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,238,196 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,238,196 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
May 17, 2017 Filed May 19, 2017 20:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	863	$4.63	$3,995.69	Disclosure SEC source: 0001144204-17-028648 · v467499_form-4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,441,240 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 2,250,232 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,040,205 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 151,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
May 17, 2017 Filed May 19, 2017 20:15 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	398	$4.63	$1,842.74	Disclosure SEC source: 0001144204-17-028648 · v467499_form-4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,237,880 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,238,196 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
May 15, 2017 Filed May 16, 2017 20:30 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	148	$4.70	$695.60	Disclosure SEC source: 0001144204-17-027946 · v467202_form-4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,440,377 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 2,249,102 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,039,788 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 151,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
May 15, 2017 Filed May 16, 2017 20:30 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	69	$4.70	$324.30	Disclosure SEC source: 0001144204-17-027946 · v467202_form-4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,237,482 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,237,482 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
May 12, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	3,668	$4.20	$15,405.60	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 9 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 316,653 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 316,653 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
May 12, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	10,012	$4.20	$42,050.40	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 8 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,238,247 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,238,247 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
May 12, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	6,320	$4.20	$26,544.00	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 7 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 769,409 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 769,409 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 99,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
May 12, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	1,015	$4.18	$4,242.70	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 6 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 312,985 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 316,653 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
May 12, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	2,770	$4.18	$11,578.60	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 5 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,228,235 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,238,247 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
May 12, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	1,748	$4.18	$7,306.64	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 763,089 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 769,409 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 99,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
May 12, 2017 Filed May 16, 2017 20:30 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	1,041	$4.70	$4,892.70	Disclosure SEC source: 0001144204-17-027946 · v467202_form-4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,440,229 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 2,249,102 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,039,788 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 151,487 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
May 12, 2017 Filed May 16, 2017 20:30 UTC	DLH Holdings Corp. DLHC · Entity 7088	PurchaseCommon Stock, par value $0.001 per share	481	$4.70	$2,260.70	Disclosure SEC source: 0001144204-17-027946 · v467202_form-4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,237,413 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,237,482 shares of common stock, $0.001 par value per share ("Common Stock") of DLH Holdings Corp. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
May 12, 2017 Filed May 16, 2017 16:32 UTC	GlyEco, Inc. GLYE · Entity 156109	OtherWarrant (right to purchase) · Derivative	2,332,589	$0.00 Strike: $0.08	$0.00	Disclosure SEC source: 0001144204-17-027955 · v467201_4.xml · derivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,332,589 shares Expires 2019-12-27 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 15,942,637 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P.I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 6,697,477 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 461,540 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13 (d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Nelson Obus, as the portfolio manager of Wynnefield Capital, Inc. Profit Sharing Plan, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
May 12, 2017 Filed May 16, 2017 16:32 UTC	GlyEco, Inc. GLYE · Entity 156109	OtherWarrant (right to purchase) · Derivative	1,104,911	$0.00 Strike: $0.08	$0.00	Disclosure SEC source: 0001144204-17-027955 · v467201_4.xml · derivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,104,911 shares Expires 2019-12-27 F1 · ownership.direct: The Reporting Person directly beneficially owns 9,821,094 shares of common stock, $0.0001 par value per share ("Common Stock") of GlyEco, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
May 12, 2017 Filed May 16, 2017 16:32 UTC	GlyEco, Inc. GLYE · Entity 156109	OtherCommon Stock, par value $0.0001 per share	2,332,589	$0.08	$186,607.12	Disclosure SEC source: 0001144204-17-027955 · v467201_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 23,101,654 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 15,942,637 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P.I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 6,697,477 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 461,540 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13 (d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Nelson Obus, as the portfolio manager of Wynnefield Capital, Inc. Profit Sharing Plan, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
May 12, 2017 Filed May 16, 2017 16:32 UTC	GlyEco, Inc. GLYE · Entity 156109	OtherCommon Stock, par value $0.0001 per share	1,104,911	$0.08	$88,392.88	Disclosure SEC source: 0001144204-17-027955 · v467201_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,821,094 F1 · ownership.direct: The Reporting Person directly beneficially owns 9,821,094 shares of common stock, $0.0001 par value per share ("Common Stock") of GlyEco, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
May 11, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	2,112	$4.20	$8,870.40	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 311,970 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 316,653 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
May 11, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	5,763	$4.20	$24,204.60	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,225,465 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,238,247 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
May 11, 2017 Filed May 15, 2017 16:35 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	3,640	$4.20	$15,288.00	Disclosure SEC source: 0001144204-17-027534 · v467089_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 761,341 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 769,409 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 99,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
April 07, 2017 Filed Apr 11, 2017 20:31 UTC	TELOS CORP TLSRP · Entity 770	PurchasePreferred Stock, par value $.01 per share	426	$7.50	$3,195.00	Disclosure SEC source: 0001144204-17-020026 · v464043_form-4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 112,549 F1 · security: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F4 · ownership.nature: On April 7, 2017 Wynnefield Small Cap Value Offshore Fund (the "Fund") purchased 426 shares of Preferred Stock reported herein. As a consequence, the Fund directly beneficially owns 112,549 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. The Fund, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of the Fund, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Fund directly beneficially owns. Read SEC document
April 07, 2017 Filed Apr 11, 2017 20:31 UTC	TELOS CORP TLSRP · Entity 770	PurchasePreferred Stock, par value $.01 per share	1,149	$7.50	$8,617.50	Disclosure SEC source: 0001144204-17-020026 · v464043_form-4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 261,456 F1 · security: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F3 · ownership.nature: On April 7, 2017 Wynnefield Partners Small Cap Value, L.P. I ("Partnership-I") purchased 1,149 shares of Preferred Stock reported herein. As a consequence, Partnership-I directly beneficially owns 261,456 shares of Preferred Stock, to which the Partnership has an indirect beneficial ownership as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended. Partnership-I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. WCM, as the sole general partner of Partnership-I has indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that Partnership-I directly beneficially owns. Read SEC document
April 07, 2017 Filed Apr 11, 2017 20:31 UTC	TELOS CORP TLSRP · Entity 770	PurchasePreferred Stock, par value $.01 per share	725	$7.50	$5,437.50	Disclosure SEC source: 0001144204-17-020026 · v464043_form-4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,760 F1 · security: 12% Cumulative Exchangeable Redeemable Preferred Stock, par value $.01 per share (the "Preferred Stock"), of Telos Corporation (TLSRP) ("Telos"). F2 · ownership.direct: On April 7, 2017 Wynnefield Partners Small Cap Value, L.P. (the "Partnership") purchased 725 shares of Preferred Stock reported herein. As a consequence, the Partnership directly beneficially owns 165,760 shares of Preferred Stock. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Partnership, has an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of Preferred Stock that the Partnership directly beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
March 27, 2017 Filed Mar 29, 2017 17:04 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	97	$4.35	$421.95	Disclosure SEC source: 0001144204-17-017320 · v462895_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 309,858 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 309,858 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
March 27, 2017 Filed Mar 29, 2017 17:04 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	263	$4.35	$1,144.05	Disclosure SEC source: 0001144204-17-017320 · v462895_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,219,702 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,219,702 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
March 27, 2017 Filed Mar 29, 2017 17:04 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	167	$4.35	$726.45	Disclosure SEC source: 0001144204-17-017320 · v462895_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 757,701 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 757,701 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 99,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
March 23, 2017 Filed Mar 24, 2017 16:32 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	1,780	$4.35	$7,743.00	Disclosure SEC source: 0001144204-17-016528 · v462581_4.xml · nonDerivative · entry 6 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 309,761 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 309,761 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
March 23, 2017 Filed Mar 24, 2017 16:32 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	4,806	$4.35	$20,906.10	Disclosure SEC source: 0001144204-17-016528 · v462581_4.xml · nonDerivative · entry 5 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,219,439 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,219,439 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
March 23, 2017 Filed Mar 24, 2017 16:32 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	3,047	$4.35	$13,254.45	Disclosure SEC source: 0001144204-17-016528 · v462581_4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 757,534 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 757,534 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 99,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
March 22, 2017 Filed Mar 24, 2017 16:32 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	18	$4.35	$78.30	Disclosure SEC source: 0001144204-17-016528 · v462581_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 307,981 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 309,761 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
March 22, 2017 Filed Mar 24, 2017 16:32 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	50	$4.35	$217.50	Disclosure SEC source: 0001144204-17-016528 · v462581_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,214,633 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,219,439 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
March 22, 2017 Filed Mar 24, 2017 16:32 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	32	$4.35	$139.20	Disclosure SEC source: 0001144204-17-016528 · v462581_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 754,487 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 757,534 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 99,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
March 14, 2017 Filed Mar 16, 2017 20:30 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	1,617	$9.84	$15,911.28	Disclosure SEC source: 0001144204-17-015113 · v462002_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 428,559 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 428,559 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a 13D Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
March 14, 2017 Filed Mar 16, 2017 20:30 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	4,369	$9.84	$42,990.96	Disclosure SEC source: 0001144204-17-015113 · v462002_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,028,806 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,028,806 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "13D Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
March 14, 2017 Filed Mar 16, 2017 20:30 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	2,767	$9.84	$27,227.28	Disclosure SEC source: 0001144204-17-015113 · v462002_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 681,653 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 681,653 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products, Inc. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 45,311 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a 13D Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
March 13, 2017 Filed Mar 14, 2017 20:35 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	701	$9.83	$6,890.83	Disclosure SEC source: 0001144204-17-014525 · v461813_4.xml · nonDerivative · entry 6 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 426,942 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 426,942 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a 13D Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
March 13, 2017 Filed Mar 14, 2017 20:35 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	1,894	$9.83	$18,618.02	Disclosure SEC source: 0001144204-17-014525 · v461813_4.xml · nonDerivative · entry 5 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,024,437 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,024,437 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "13D Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
March 13, 2017 Filed Mar 14, 2017 20:35 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	1,200	$9.83	$11,796.00	Disclosure SEC source: 0001144204-17-014525 · v461813_4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 678,886 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 678,886 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products, Inc. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 45,311 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a 13D Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
March 10, 2017 Filed Mar 14, 2017 20:35 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	1,720	$9.89	$17,010.80	Disclosure SEC source: 0001144204-17-014525 · v461813_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 426,241 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 426,942 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a 13D Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
March 10, 2017 Filed Mar 14, 2017 20:35 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	4,644	$9.89	$45,929.16	Disclosure SEC source: 0001144204-17-014525 · v461813_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,022,543 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,024,437 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "13D Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
March 10, 2017 Filed Mar 14, 2017 20:35 UTC	NATURES SUNSHINE PRODUCTS INC NATR · Entity 1465	PurchaseCommon Stock	2,941	$9.89	$29,086.49	Disclosure SEC source: 0001144204-17-014525 · v461813_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,686 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 678,886 shares of common stock, no par value per share ("Common Stock") of Nature's Sunshine Products, Inc. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 45,311 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a 13D Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
March 10, 2017 Filed Mar 14, 2017 16:32 UTC	Summer Infant, Inc. SUMR · Entity 125947	PurchaseCommon Stock, par value $0.0001 per share	6,839	$1.90	$12,994.10	Disclosure SEC source: 0001144204-17-014518 · v461799_4.xml · nonDerivative · entry 2 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,040,921 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 2,693,582 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,194,033 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 153,306 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
March 10, 2017 Filed Mar 14, 2017 16:32 UTC	Summer Infant, Inc. SUMR · Entity 125947	PurchaseCommon Stock, par value $0.0001 per share	3,161	$1.90	$6,005.90	Disclosure SEC source: 0001144204-17-014518 · v461799_4.xml · nonDerivative · entry 1 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,748,873 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,748,873 shares of common stock, $0.0001 par value per share ("Common Stock") of Summer Infant, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
March 09, 2017 Filed Mar 10, 2017 16:30 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	1,525	$4.35	$6,633.75	Disclosure SEC source: 0001144204-17-014010 · v461607_form4.xml · nonDerivative · entry 6 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 307,963 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 307,963 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document
March 09, 2017 Filed Mar 10, 2017 16:30 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	4,119	$4.35	$17,917.65	Disclosure SEC source: 0001144204-17-014010 · v461607_form4.xml · nonDerivative · entry 5 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,214,583 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,214,583 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I ("WPSCVI"), as members of a group (a "Group") under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). WPSCVI, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCM, as the sole general partner of WPSCVI, has an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that WPSCVI directly beneficially owns. Read SEC document
March 09, 2017 Filed Mar 10, 2017 16:30 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	2,608	$4.35	$11,344.80	Disclosure SEC source: 0001144204-17-014010 · v461607_form4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 754,455 F1 · ownership.direct: Wynnefield Partners Small Cap Value, L.P. (the "Reporting Person") directly beneficially owns 754,455 shares of common stock, $0.0001 par value per share ("Common Stock") of S&W Seed Company. Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the reporting Person directly beneficially owns. WCM, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Nelson Obus and Joshua Landes as co-managing members of WCM have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Mr. Obus and Mr. Landes, each located at the same address as the Reporting Person, are filing this Form jointly with the Reporting person (see footnote 5). F4 · ownership.direct: The Reporting Person has an indirect beneficial ownership interest in 99,235 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan (the "Plan"), as members of a Group. The Plan, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. WCI, as the sole investment manager of the Plan, has an indirect beneficial ownership interest in the shares of Common Stock that the Plan directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that the Plan beneficially owns. F5 · ownership.direct: Mr. Obus and Mr. Landes disclaim beneficial ownership of the securities described in this statement, except to the extent of their individual pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that Mr. Obus and Mr. Landes are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement. Read SEC document
March 09, 2017 Filed Mar 10, 2017 16:15 UTC	Summer Infant, Inc. SUMR · Entity 125947	PurchaseCommon Stock, par value $0.0001 per share	29,486	$1.88	$55,433.68	Disclosure SEC source: 0001144204-17-013999 · v461610_4.xml · nonDerivative · entry 4 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,034,082 F2 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 2,688,591 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns. F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 1,192,185 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. F4 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 153,306 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13(d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as co-trustees, have the power to vote and dispose of Wynnefield Capital, Inc. Profit Sharing Plan's investments in securities and have indirect beneficial ownership interests in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns. Read SEC document
March 09, 2017 Filed Mar 10, 2017 16:15 UTC	Summer Infant, Inc. SUMR · Entity 125947	PurchaseCommon Stock, par value $0.0001 per share	13,629	$1.88	$25,622.52	Disclosure SEC source: 0001144204-17-013999 · v461610_4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,745,712 F1 · ownership.direct: The Reporting Person directly beneficially owns 1,745,712 shares of common stock, $0.0001 par value per share ("Common Stock") of Summer Infant, Inc. (the "Issuer"). Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Read SEC document
March 08, 2017 Filed Mar 10, 2017 16:30 UTC	S&W Seed Co SANW · Entity 81242	PurchaseCommon Stock	428	$4.35	$1,861.80	Disclosure SEC source: 0001144204-17-014010 · v461607_form4.xml · nonDerivative · entry 3 WYNNEFIELD PARTNERS SMALL CAP VALUE LP · CIK 0000899083 · 10% owner WYNNEFIELD PARTNERS SMALL CAP VALUE LP I · CIK 0001251565 · 10% owner WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD · CIK 0001030806 · 10% owner Wynnefield Capital, Inc. Profit Sharing Plan · CIK 0001289453 · 10% owner WYNNEFIELD CAPITAL MANAGEMENT LLC · CIK 0001056835 · 10% owner WYNNEFIELD CAPITAL INC · CIK 0001251567 · 10% owner OBUS NELSON · CIK 0001017043 · 10% owner LANDES JOSHUA · CIK 0001251568 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 306,438 F3 · ownership.nature: The Reporting Person has an indirect beneficial ownership interest in 307,963 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd. ("Offshore"), as members of a Group. Offshore, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. WCI, located at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of Common Stock that Offshore directly beneficially owns. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.