Elizabeth Horton - 15 Nov 2021 Form 4 Insider Report for S&W Seed Co (SANW)

Role: Chief Financial Officer
Signature: /s/ Elizabeth Horton
Issuer symbol: SANW
Transactions as of: 15 Nov 2021
Net transactions value: -$8,977
Form type: 4
Filing time: 17 Nov 2021, 15:42:24 UTC
Next filing: 25 Oct 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SANW	Common Stock	Award	$0	+7,553		$0.000000	7,553	15 Nov 2021	Direct
transaction	SANW	Common Stock	Tax liability	$8,977	-2,712	-36%	$3.31	4,841	15 Nov 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	+15,739		$0.000000	15,739	15 Nov 2021	Common Stock	15,739	$3.31	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The Reporting Person is reporting the withholding by the Issuer of an aggregate of 2,712 shares of common stock that were issued to Reporting Person pursuant to an RSU award granted on November 15, 2021, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU award.
F2	The options shall be fully vested as of November 15, 2021.