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Filing Details

Accession Number:: 0001249155-17-000028
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-04-04 20:30:13
Reporting Period:: 2017-04-01

Filing Date:: 2017-04-04
Accepted Time:: 2017-04-04 20:30:13
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1477246	S&W Seed Co	SANW	Agricultural Production-Crops (100)	271275784

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1573792	Charles Dennis Jury	5 Lochness Avenue Torrens Park Sa C3 5062	Evp Operations And Coo	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-04-01	643	$0.00	838	No	4	M	Direct
Common Stock	Acquisiton	2017-04-01	266	$0.00	1,104	No	4	M	Direct
Common Stock	Disposition	2017-04-03	1,500	$4.97	227,338	No	4	S	Indirect	By Retirement Fund

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	M	Direct
No	4	S	Indirect	By Retirement Fund

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2017-04-01	643	$0.00	643	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-04-01	266	$0.00	266	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
3,225			No	4	M	Direct
2,668			No	4	M	Direct

Footnotes

Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On July 15, 2015, the reporting person was granted 8,333 RSUs that were previously reported on Table II of Form 4, which report was filed with the Securities and Exchange Commission (the "SEC") on July 17, 2015.
Represents the conversion upon vesting of RSUs into common stock. On October 5, 2016, the reporting person was granted 3,200 RSUs that were previously reported on Table II of Form 4, which report was filed with the SEC on October 7, 2016.
The sales reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan established by the reporting person.
This transaction was executed in multiple trades at prices ranging from $4.95 to $5.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.
These shares are owned directly by the Jury Bain Superannuation Fund, a retirement fund of which the reporting person is a beneficiary.
Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on March 31, 2017 (the last trading day before April 1, 2017, which fell on a weekend) was $4.95.
On July 15, 2015, the reporting person was granted 8,333 RSUs, of which 643 vested on April 1, 2017. The common stock into which such vested RSUs converted on April 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in quarterly installments on the first day of each fiscal quarter to and including July 1, 2018, subject to the reporting person's continued service with the Issuer on each respective vesting date.
On October 5, 2016, the reporting person was granted 3,200 RSUs, of which 266 vested on April 1, 2017. The common stock into which such vested RSUs converted on April 1, 2017 is reported on Table I of this Form 4. The remaining unvested RSUs will continue to vest in quarterly installments on the first day of each fiscal quarter to and including October 1, 2019, subject to the reporting person's continued service with the Issuer on each respective vesting date.