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

Role
Chief Financial Officer
Signature
/s/ Elizabeth Horton
Stock symbol
SANW
Transactions as of
Nov 15, 2021
Transactions value $
-$8,977
Form type
4
Date filed
11/17/2021, 03:42 PM
Next filing
Oct 25, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SANW Common Stock Award $0 +7.55K $0.00 7.55K Nov 15, 2021 Direct
transaction SANW Common Stock Tax liability -$8.98K -2.71K -35.91% $3.31 4.84K Nov 15, 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 +15.7K $0.00 15.7K Nov 15, 2021 Common Stock 15.7K $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.