X0306 4 2017-09-18 0 0001477246 S&W Seed Co SANW 0001573792 Jury Dennis Charles 5 LOCHNESS AVENUE TORRENS PARK SA C3 5062 AUSTRALIA 0 1 0 0 EVP Operations and COO Restricted Stock Units 2017-09-18 4 A 0 3025 0 A 2017-10-01 Common Stock 3025 3025 D Employee Stock Options (right to buy) 3.1 2017-09-18 4 A 0 7443 0 A 2017-10-01 2027-09-18 Common Stock 7443 7443 D Each 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 252 RSUs, and the 12th installment will vest an aggregate of 253 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 installments, 11 will vest an aggregate of 620 options, and the 12th installment will vest an aggregate of 623 options. Dennis C. Jury 2017-09-20