Mark Wong - Oct 1, 2022 Form 4 Insider Report for S&W Seed Co (SANW)

Role
CEO and President, Director
Signature
/s/ Elizabeth Horton, Attorney-in-Fact
Stock symbol
SANW
Transactions as of
Oct 1, 2022
Transactions value $
-$3,316
Form type
4
Date filed
10/4/2022, 04:50 PM
Previous filing
Jul 6, 2022
Next filing
Oct 25, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SANW Common Stock Tax liability -$3.32K -4.54K -1.67% $0.73 267K Oct 1, 2022 Direct F1, F2
holding SANW Common Stock 36.6K Oct 1, 2022 By Starlight 4, LLLP F3
* 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 4,542 shares of common stock that vested on October 1, 2022 pursuant to RSU awards granted on October 14, 2019, October 1, 2020 and October 5, 2021, but that were not issued in order to satisfy the reporting person's tax withholding obligations upon settlement of the RSU awards.
F2 The total reflects 2 additional shares that were not reported on prior Forms 4. On July 6, 2021, the reporting person reported the withholding of an aggregate of 4,785 shares of common stock that vested on July 1, 2021. In fact, 4,786 shares were withheld on such date. On October 4, 2021, the reporting person reported the withholding of an aggregate of 3,881 shares of common stock that vested on October 1, 2021. In fact, 3,882 shares were withheld on such date.
F3 The Reporting Person is General Partner of Starlight 4, LLLP. The Reporting Person disclaims beneficial ownership of these securities except to the extent of Reporting Person's pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.