X0306 4 2017-09-18 0 0001477246 S&W Seed Co SANW 0001401385 Szot Matthew K 802 NORTH DOUTY STREET HANFORD CA 93230 0 1 0 0 EVP Finance & Admin and CFO Restricted Stock Units 2017-09-18 4 A 0 12066 0 A 2017-10-01 Common Stock 12066 12066 D Employee Stock Option (right to buy) 3.1 2017-09-18 4 A 0 29687 0 A 2017-10-01 2027-09-18 Common Stock 29687 29687 D East restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of that RSU. The closing price of the Issuer's common stock on the date of this RSU award was $3.10. The RSUs vest quarterly over three years on the first day of each fiscal quarter, commencing on October 1, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter through and including July 1, 2020, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 1,005 RSUs, and the 12th installment will vest an aggregate of 1,011 RSUs. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash, in the Issuer's sole discretion. The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. The options vest in 12 quarterly installments over three years, commencing on October 1, 2017 and continuing thereafter on the first day of each succeeding fiscal quarter to and including July 1, 2020, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 2,473 options, and the 12th installment will vest an aggregate of 2,484 options. Matthew K. Szot 2017-09-20