Mark Wong - 13 Oct 2023 Form 4 Insider Report for S&W Seed Co (SANW)

Role: Director
Signature: /s/ Vanessa Baughman, Attorney-in-Fact
Issuer symbol: SANW
Transactions as of: 13 Oct 2023
Net transactions value: $0
Form type: 4
Filing time: 15 Dec 2023, 17:03:06 UTC
Previous filing: 30 Aug 2023
Next filing: 27 Oct 2023
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	+65,727	+21%	$0.000000	372,385	13 Oct 2023	Direct	F1
transaction	SANW	Common Stock	Award	$0	+126,653	+34%	$0.000000	499,038	13 Dec 2023	Direct	F2
holding	SANW	Common Stock						36,630	13 Oct 2023	By Starlight 4, LLLP	F3

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 options (right to buy)	Award	$0	+277,675		$0.000000	277,675	13 Oct 2023	Common Stock	277,675	$0.7720	Direct	F4

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

Explanation of Responses:

Id	Content
F1	Represents the grant of restricted stock units ("RSUs"), each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in 12 quarterly installments over three years, commencing on January 1, 2024, and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2026, subject to the Reporting Person's continued service with the Issuer on each respective vesting date.
F2	Represents the grant of RSUs, each of which represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest in full on the earlier of (i) December 13, 2024 and (ii) the date of the Issuer's next Annual Meeting of Stockholders, in each case, subject to the Reporting Person's continued service with the Issuer on each respective vesting 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.
F4	The options vest in 12 quarterly installments over three years, commencing on January 1, 2024, and continuing thereafter on the first day of each succeeding fiscal quarter through and including October 1, 2026, subject to the Reporting Person's continued service on each respective vesting date.