John W. Shaw - 18 May 2023 Form 4 Insider Report for SAFE & GREEN HOLDINGS CORP. (SGBX)

Role
10%+ Owner
Signature
/s/ John William Shaw
Issuer symbol
SGBX
Transactions as of
18 May 2023
Net transactions value
+$923,200
Form type
4
Filing time
22 May 2023, 15:58:46 UTC
Previous filing
02 May 2023
Next filing
31 Aug 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SGBX Common Stock Exercise of in-the-money or at-the-money derivative security $22,100 +22,100 +0.5% $1.00* 4,454,600 18 May 2023 Direct F1, F4
transaction SGBX Common Stock Exercise of in-the-money or at-the-money derivative security $737,400 +368,700 +9% $2.00 4,454,600 19 May 2023 Direct F2, F4
transaction SGBX Common Stock Exercise of in-the-money or at-the-money derivative security $163,700 +163,700 +3.8% $1.00* 4,454,600 19 May 2023 Direct F3, F4

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 SGBX Put Option (obligation to buy) Exercise of in-the-money or at-the-money derivative security $0 -221 -100% $0.000000* 0 18 May 2023 Common Stock 22,100 $1.00 Direct F1, F5
transaction SGBX Put Option (obligation to buy) Exercise of in-the-money or at-the-money derivative security $0 -3,687 -100% $0.000000* 0 19 May 2023 Common Stock 368,700 $2.00 Direct F2, F5
transaction SGBX Put Option (obligation to buy) Exercise of in-the-money or at-the-money derivative security $0 -1,637 -100% $0.000000* 0 19 May 2023 Common Stock 163,700 $1.00 Direct F3, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The counterparty to certain of the Reporting Person's outstanding short put options exercised such options and the Reporting Person was obligated to purchase these shares at an exercise price of $1.00 per share.
F2 The counterparty to certain of the Reporting Person's outstanding short put options exercised such options and the Reporting Person was obligated to purchase these shares at an exercise price of $2.00 per share.
F3 The counterparty to certain of the Reporting Person's outstanding short put options exercised such options and the Reporting Person was obligated to purchase these shares at an exercise price of $1.00 per share.
F4 As of 05/19/2023 this amount includes the rights and/or the obligations to purchase 1,111,900 shares in the aggregate that are exercisable subject to various call and put option contracts.
F5 Denotes option exercisable at any time prior to the expiration date.