| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SANW | Common Stock | Options Exercise | +3.13K | +1.22% | 260K | Jul 1, 2021 | Direct | F1, F2 | ||
| transaction | SANW | Common Stock | Tax liability | -$17.4K | -4.79K | -1.84% | $3.63 | 255K | Jul 1, 2021 | Direct | F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | SANW | Restricted Stock Units | Options Exercise | $0 | -3.13K | -100% | $0.00* | 0 | Jul 1, 2021 | Common Stock | 3.13K | Direct | F2, F4 |
| Id | Content |
|---|---|
| F1 | Represents the settlement of restricted stock units ("RSUs") that vested on July 1, 2021 through the issuance of shares of common stock. |
| F2 | Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on July 1, 2021 was $3.63. |
| F3 | The reporting person is reporting the withholding by the Issuer of an aggregate of 4,785 shares of common stock that vested on July 1, 2021 pursuant to RSU awards granted on August 31, 2018, October 14, 2019 and October 1, 2020, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU award. |
| F4 | On August 31, 2018, the reporting person was granted 37,500 RSUs, of which the remaining 3,125 vested on July 1, 2021. The RSU vested quarterly over three years on the first day of each fiscal quarter, commencing on October 1, 2018 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2021. |