X0306 4 2016-10-21 0 0001477246 S&W Seed Co SANW 0001265078 WICKERSHAM GROVER T 430 CAMBRIDGE AVENUE, SUITE 100 PALO ALTO, CA 94306 1 0 0 0 Common Stock 2016-10-21 4 M 0 25000 4.2 A 231096 D Common Stock 2016-10-21 4 F 0 19811 5.3 D 211285 D Common Stock 472000 I By limited partnership Common Stock 34397 I By trust Common Stock 51022 I By corporation Common Stock 23723 I By corporation Stock options (right to buy) 4.2 2016-10-21 4 M 0 25000 0 D 2016-10-24 Common Stock 25000 0 D Owned directly by Glenbrook Capital Limited Partnership ("GBLP"). The reporting person is a limited partner, and a portfolio advisor and owner of the general partner. He disclaims beneficial ownership except to the extent of his pecuniary interest in the limited partnership. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Owned directly by The Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Trust"), a trust for the benefit of the reporting person's minor daughter. The reporting person is the trustee of the Trust, and he disclaims beneficial ownership of all of the securities owned by the Trust. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Owned directly by Glenbrook Capital Management ("GCM"). The reporting person is the sole owner of GCM and is one of four directors. He disclaims beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Owned directly by RWL Management. The reporting person is the majority owner, an officer and one of two directors of the corporation. He disclaims beneficial ownership except to the extent of his pecuniary interest in the corporation. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. Options vested and became exercisable in four quarterly installments over one year, commencing on January 1, 2012. Grover T. Wickersham 2016-10-25