Document:

December 31, 2014 Exhibit 4.3

    EXHIBIT 4.3

S&W Seed Company

December __, 2014

Transfer Online, Inc.

   512 SW Salmon St.

   Portland, OR 97214

   Telephone: (503) 227-2950

   Facsimile: (503) 227-6874

   E-mail: carolyn@transferonline.com

   Attention: Carolyn Hall

 

 

Re:  S&W Seed Company - Lock-Up Agreement

Dear Sir or Madam:

This Lock-Up Agreement is being delivered to you in connection with the Securities Purchase Agreement (the "Purchase Agreement"), dated as
of December 30, 2014 (the "Subscription Date") by and among S&W Seed Company (the "Company") and the purchasers party thereto (the "Purchasers"),
with respect to the issuance of (i) senior secured convertible debentures of the Company (the "Debentures") pursuant to which shares of the Company's common stock, par value
$0.001 per share (the "Common Stock") may be issued and (ii) warrants (the "Warrants") which Warrants will be exercisable to purchase Common Stock.  Capitalized terms
used herein and not otherwise defined herein shall have the respective meanings set forth in the Purchase Agreement.

In order to induce the Purchasers to enter into the Purchase Agreement, the undersigned agrees that, commencing on the date hereof and ending on the date
that is 90 days after the earlier of (i) the Effective Date of the Registration Statement and (ii) provided that the Company is in compliance with its current public information requirement under
Rule 144(c)(1), the date on which sales of the shares of Common Stock issuable pursuant to the Debentures and the Warrants are available for resale under Rule 144 (the "Lock-Up
Period"), without the prior written consent of the Lead Investor, which consent may be withheld in its sole discretion for any reason or no reason, the undersigned will not, and will cause all
affiliates (as defined in Rule 144) of the undersigned or any person in privity with the undersigned or any affiliate of the undersigned not to, (i) sell, offer to sell, contract or agree to sell,
hypothecate, pledge, grant any option to purchase, make any short sale or otherwise dispose of or agree to dispose of, directly or indirectly, any shares of Common Stock or Common Stock
Equivalents, or establish or increase a put equivalent position or liquidate or decrease a call equivalent position within the meaning of Section 16 of the Exchange Act with respect to any
shares of Common Stock or Common Stock Equivalents owned directly by the undersigned (including holding as a custodian) or with respect to which the undersigned has beneficial
ownership within the rules and regulations of the Commission (which, for purposes of certainty, are the same shares of Common Stock that are subject to the Voting Agreement entered into
by the Undersigned on or about the date hereof) (collectively, the "Undersigned's Shares"), or (ii) enter into any swap or other arrangement that

transfers to another, in whole or in part, any of the economic consequences of ownership of any of the Undersigned's Shares, whether any such transaction described in clause (i) or (ii) above is to be settled by delivery of
shares of Common Stock or other securities, in cash or otherwise, (iii) make any demand or exercise any right to cause to be filed a registration statement, including any amendments thereto,
with respect to the registration of any shares of Common Stock or Common Stock Equivalents or (iv) publicly disclose the intention to do any of the foregoing.

The foregoing restriction is expressly agreed to preclude the undersigned, and any affiliate of the undersigned and any person in privity with the undersigned or
any affiliate of the undersigned, from engaging in any hedging or other transaction which is designed to or which reasonably could be expected to lead to or result in a sale or disposition of
the Undersigned's Shares even if the Undersigned's Shares would be disposed of by someone other than the undersigned.  Such prohibited hedging or other transactions would include,
without limitation, any short sale or any purchase, sale or grant of any right (including, without limitation, any put or call option) with respect to any of the Undersigned's Shares or with respect
to any security that includes, relates to, or derives any significant part of its value from the Undersigned's Shares.

Notwithstanding the foregoing, the undersigned may transfer the Undersigned's Shares (i) as a bona fide gift or gifts, provided that the donee or
donees thereof agree to be bound in writing by the restrictions set forth herein; (ii) to any trust for the direct or indirect benefit of the undersigned or the immediate family of the undersigned,
provided that the trustee of the trust agrees to be bound in writing by the restrictions set forth herein, and provided further that any such transfer shall not involve a
disposition for value; (iii) pursuant to any Rule 10b5-1 stock trading plans that are in effect as of September 1, 2014, provided that such Rule 10b5-1 stock trading plans are not
amended, modified or changed on or after such date; (iv) pursuant to a final decree of a divorce or upon death of the undersigned; or (v) that are issuable upon exercise of stock options
outstanding as of the Subscription Date that expire on March 9, 2015 and June 15, 2015, provided that such stock options are not amended, modified or changed on or after the
Subscription Date.  For purposes of this Lock-Up Agreement, "immediate family" shall mean any relationship by blood, marriage or adoption, not more remote than first cousin.  The
undersigned now has, and, except as contemplated by the immediately preceding sentence, for the duration of this Lock-Up Agreement will have, good and marketable title to the
Undersigned's Shares, free and clear of all liens, encumbrances, and claims whatsoever.  The undersigned also agrees and consents to the entry of stop transfer instructions with the
Company's transfer agent (the "Transfer Agent") and registrar against the transfer of the Undersigned's Shares except in compliance with the foregoing restrictions.

In order to enforce this covenant, the Company shall impose irrevocable stop-transfer instructions preventing the Transfer Agent from effecting any actions in
violation of this Lock-Up Agreement.

The undersigned acknowledges that the execution, delivery and performance of this Lock-Up Agreement is a material inducement to each Purchaser to complete
the transactions contemplated by the Purchase Agreement and that the Company shall be entitled to specific performance of the undersigned's obligations hereunder.  The undersigned
hereby represents that the undersigned has the power and authority to execute, deliver and perform this Lock-Up Agreement, that the undersigned has received adequate consideration therefor and that the

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undersigned will indirectly benefit from the closing of the transactions contemplated by the Purchase Agreement.  

The undersigned understands and agrees that this Lock-Up Agreement is irrevocable and shall be binding upon the undersigned's heirs, legal representatives,
successors, and assigns.

This Lock-Up Agreement may be executed in two counterparts, each of which shall be deemed an original but both of which shall be considered one and the
same instrument.

All questions concerning the construction, validity, enforcement and interpretation of this  Lock-Up Agreement shall be governed by and construed and enforced in
accordance with the internal laws of the State of New York, without regard to principles of conflicts of law thereof.

[Remainder of page intentionally left blank]

   

   

   

   

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Very truly yours,

______________________________

                   Exact Name of Shareholder

______________________________

                   Authorized Signature

______________________________

                   Title

Agreed to and Acknowledged:

 

S&W SEED COMPANY

 

 

By:  _______________________

                          Name:  

                          Title:

 

 

 

 

                                                                4December 31, 2014 Exhibit 4.4

    EXHIBIT 4.4

TRANSFER AGENT INSTRUCTIONS

S&W SEED COMPANY 

December 30, 2014

Transfer Online, Inc.

   512 SW Salmon St.

   Portland, OR 97214

   Telephone: (503)227-2950

   Facsimile: (503) 227-6874

   E-mail: carolyn@transferonline.com

   Attention: Carolyn Hall

 

Ladies and Gentlemen:

Reference is made to that certain Securities Purchase Agreement, dated as of December 30, 2014 (the "Purchase Agreement"), by and among
S&W Seed Company, a Nevada corporation (the "Company"), and each purchaser identified on the signature pages thereto (collectively, the "Holders"), pursuant to which
the Company is issuing to the Holders (i) senior secured convertible debentures (the "Debentures"), which are convertible into shares of the common stock of the Company, par value
$0.001 per share (the "Common Stock"), and (ii) warrants (the "Warrants"), which are exercisable to purchase shares of Common Stock. 

This letter shall serve as our irrevocable authorization and direction to you (provided that you are the transfer agent of the Company at such time):

(i) to issue shares of Common Stock upon conversion of the Debentures (the "Conversion Shares") to or upon the order of a Holder from time to time upon
delivery to you of a properly completed and duly executed Notice of Conversion, in the form attached hereto as Exhibit I; and

(ii) to issue shares of Common Stock upon exercise of the Warrants (the "Warrant Shares") to or upon the order of a Holder from time to time upon delivery to
you of a properly completed and duly executed Notice of Exercise, in the form attached hereto as Exhibit II.

You acknowledge and agree that so long as you have previously received (a) written confirmation from the Company's legal counsel that
either (i) a registration statement covering resales of the Conversion Shares and the Warrant Shares has been declared effective by the Securities and Exchange Commission (the
"Commission") under the Securities Act of 1933, as amended (the "Securities Act"), or (ii) sales of the Conversion Shares and/or the Warrant Shares may be made in
conformity with Rule 144 under the Securities Act ("Rule 144") and (b) if applicable, a copy of such registration
statement, then within three (3) business days of your receipt of a notice of transfer, Notice of Conversion or
Notice of Exercise, you shall issue the

certificates representing the Conversion Shares and/or the Warrant Shares, as applicable, registered in the names of such
transferees, and such certificates shall not bear any legend restricting transfer of the Conversion Shares and/or the Warrant Shares thereby and should not be
subject to any stop-transfer restriction; provided, however, that if such Conversion Shares and Warrant Shares are not registered for resale under the Securities Act or able to
be sold under Rule 144, then the certificates for such Conversion Shares and/or Warrant Shares shall bear the following legend:

THIS SECURITY HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN
RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "SECURITIES ACT"), AND, ACCORDINGLY, MAY
NOT BE OFFERED OR SOLD (I) EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT, (II) PURSUANT TO AN AVAILABLE EXEMPTION
FROM, OR IN A TRANSACTION NOT SUBJECT TO, THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT AND IN ACCORDANCE WITH APPLICABLE STATE SECURITIES
LAWS, AS EVIDENCED BY A LEGAL OPINION OF COUNSEL SELECTED BY THE HOLDER TO SUCH EFFECT, THE SUBSTANCE OF WHICH SHALL BE REASONABLY ACCEPTABLE
TO THE COMPANY OR (III) UNLESS SOLD PURSUANT TO RULE 144 OR RULE 144A UNDER SAID ACT. THIS SECURITY MAY BE PLEDGED IN CONNECTION WITH A BONA FIDE
MARGIN ACCOUNT OR OTHER LOAN SECURED BY SUCH SECURITIES.

The Holders and Company expressly understand and agree that nothing in this irrevocable Transfer Instruction Agreement shall require or be construed in any way to
require the transfer agent to do, take or not do take any action that would be contrary to any federal or state law, rule, or regulation including but expressly not limited to both the Securities Act of
1933, as amended, and the Securities and Exchange Act of 1934 as amended, and the rule and regulations promulgated there under.

Notwithstanding anything herein contained to the contrary, Transfer Online, Inc. is not a party to the Agreement and is acting only in the capacity of an
administrator.  In addition, the Company must be current in all amounts owed to Transfer Online, Inc. and in good financial standing with Transfer Online Inc., before the issuance of any
shares of the Common Stock herein.

In the event of any dispute or ligation between the Company and the Holders as a result of the failure to be current in all amounts owed to Transfer Online, Inc. and in
good standing with Transfer Online, Inc.,  which might cause a delay in the issuance of shares of the Common Stock hereunder, Transfer Online, Inc. shall not be included in any litigation
between the Company and the Holders nor have any liability to the Company or the Holders.

Please execute this letter in the space indicated to acknowledge your agreement to act in accordance with these instructions.  Should you have any questions concerning this matter, please
contact me at (858) 337-0766.

Very truly yours,

S&W SEED COMPANY

 

By:  ___________________________

   Name:

Title:

THE FOREGOING INSTRUCTIONS ARE

  ACKNOWLEDGED AND AGREED TO

this 30th day of December, 2014

TRANSFER ONLINE, INC.

 

By: _________________________

Name:  __________________________

Title: ____________________________

Enclosures
cc: Hudson Bay Master Fund Ltd.

Eleazer Klein, Esq.

EXHIBIT I

NOTICE OF CONVERSION

The undersigned hereby elects to convert principal under the 8% Senior Secured Convertible Debenture due ________ of S&W Seed Company, a Nevada
corporation (the "Company"), into shares of common stock (the "Common Stock"), of the Company according to the conditions hereof, as of the date
written below.  If shares of Common Stock are to be issued in the name of a person other than the undersigned, the undersigned will pay all transfer taxes payable with respect thereto and is
delivering herewith such certificates and opinions as reasonably requested by the Company in accordance therewith.  No fee will be charged to the holder for any conversion, except for such
transfer taxes, if any.

By the delivery of this Notice of Conversion the undersigned represents and warrants to the Company that its ownership of the Common Stock does not exceed the
amounts specified under Section 4 of this Debenture, as determined in accordance with Section 13(d) of the Exchange Act.

The undersigned agrees to comply with any applicable prospectus delivery requirements under the applicable securities laws (or an exemption therefrom) in
connection with any transfer of the aforesaid shares of Common Stock.  

Conversion calculations:

Date to Effect Conversion:

Principal Amount of Debenture to be Converted:

Number of shares of Common Stock to be issued:

Signature:

Name:

Address for Delivery of Common Stock Certificates:

Or

DWAC Instructions:

Broker No: _________________

                              Account No: ____________________

EXHIBIT II

 

NOTICE OF EXERCISE

To:S&W Seed Company

(1) The undersigned hereby elects to purchase ________ Warrant Shares of the Company pursuant to the terms of the attached Warrant (only if exercised in full), and
tenders herewith payment of the exercise price in full, together with all applicable transfer taxes, if any.

(2) Payment shall take the form of (check applicable box):

[  ] in lawful money of the United States; or

[  ] if permitted, the cancellation of such number of Warrant Shares as is necessary, in accordance with the formula set forth in subsection 2(c), to exercise this Warrant
with respect to the maximum number of Warrant Shares purchasable pursuant to the cashless exercise procedure set forth in subsection 2(c).

(3) Please issue said Warrant Shares in the name of the undersigned or in such other name as is specified below:

_______________________________

The Warrant Shares shall be delivered to the following DWAC Account Number:

_______________________________

_______________________________

_______________________________

(4)  Accredited Investor.  The undersigned is an "accredited investor" as defined in Regulation D promulgated under the Securities Act of 1933, as amended.

[SIGNATURE OF HOLDER]

Name of Investing Entity: _______________________________

 Signature of Authorized Signatory of Investing Entity:
 ____________________________________________________

   Name of Authorized Signatory: __________________________

   Title of Authorized Signatory: __________________________

   Date: _____________________

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