Mark Wong - Oct 5, 2021 Form 4 Insider Report for S&W Seed Co (SANW)

Role
CEO and President, Director
Signature
/s/ Matthew Szot, Attorney-in-Fact
Stock symbol
SANW
Transactions as of
Oct 5, 2021
Transactions value $
$0
Form type
4
Date filed
10/7/2021, 05:43 PM
Previous filing
Oct 4, 2021
Next filing
Oct 19, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SANW Common Stock Award $0 +27.4K +10.9% $0.00 278K Oct 5, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SANW Stock option (right to buy) Award $0 +520K $0.00 520K Oct 5, 2021 Common Stock 520K $2.64 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents restricted stock unit award that vests in 12 quarterly installments over three years, commencing on January 1, 2022 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2024, subject to continued service with the Issuer on each respective vesting date.
F2 The options vest in 12 quarterly installments over three years, commencing on January 1, 2022 and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2024, subject to continued service with the Issuer on each respective vesting date.