X0306 4 2017-10-01 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 2017-10-01 4 M 0 4226 0 A 160714 D Common Stock 23723 I By corporation Restricted Stock Units 2017-10-01 4 M 0 4226 0 D 2017-10-01 2017-10-01 Common Stock 4226 0 D Represents the settlement of restricted stock units ("RSUs") that vested on October 1, 2017 through the issuance of shares of common stock. Owned 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 all of the reported shares for purposes of Section 16 or for any other purposes. Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on September 29, 2017 (the last trading day before the October 1, 2017 vesting date, which fell on a weekend) was $3.15. On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,226 vested on October 1, 2017. This is the final vesting installment of this RSU award. Grover T. Wickersham 2017-10-03