Document:

EXHIBIT 10.13

 

IPO SUPPORT SERVICES AGREEMENT

 

Support Services Agreement (this “Agreement”) dated as
of January 1, 2010 (the “Effective Date”) between Cardiff Partners, LLC, a
California limited liability company (“CP”) and S&W Seed Company., a
Delaware Corporation, (“S&W”).

 

WHEREAS, S&W wishes to engage CP to provide the Services
(as defined below) on the terms and conditions set forth herein and CP wishes
to be so retained;

 

NOW THEREFORE, in consideration of the premises and of the
mutual covenants, conditions and agreements contained herein, the parties agree
as follows:

 

ARTICLE ONE

SERVICES

 

1.1          IPO Management Services.  S&W hereby engages CP to perform the IPO
Management Services set forth in Schedule 1 hereto for the benefit of S&W,
and CP agrees to perform such IPO Management Services, on the terms and
conditions set forth herein.

 

1.2          Other Services.  S&W may, from time to time, engage CP to
perform other services for the benefit of S&W (“Other Services”).   The scope of, the applicable fee for, and
any additional terms and conditions relating to any such other services shall
be reflected in a Services Addendum to this Agreement in the form of Exhibit A
hereto.

 

1.3          Reporting.  S&W shall have the right to request
written reports at any time during the term of this Agreement, which shall be
furnished within one (1) day after such request, describing the progress,
status of, and other matters pertaining to the IPO Management Services and any
Other Services provided pursuant to Section 1.2 (collectively, the “Services”)
as S&W shall request. S&W may freely utilize all such information
arising out of the performance of the Services under this Agreement in any
manner desired.

 

ARTICLE TWO

COMPENSATION

 

2.1          Compensation.

 

(a) 
IPO Management Services.   For each
month during the term of this Agreement, S&W will pay to CP a fee in
respect of the IPO Management Services (the “MS Fee”) ranging from $7,000 to
$15,000 in cash.    The MS Fee will be
billed monthly and shall be paid promptly by S&W.  In the event of Termination pursuant to Section 6.2
and 6.3, the MS Fee will be adjusted pro-rata for the portion of the month that
services were provided by CP.  In
addition, S&W will issue stock purchase warrants to purchase 25,000 common
shares.  The stock purchase warrants will
vest 100% upon completion of IPO.  The
stock purchase warrants will have a strike price of $4.00 and have a 5 year
term and have a cashless exercise feature.

 

 

(b) 
Other Services.   IF S&W has
engaged to perform any Other Services, S&W will pay to CP the fee specified
for such Other Services in the applicable Services Addendum (the “Other
Services Fee”).  Unless otherwise
specified in the applicable Services Addendum, the Other Services Fee will be
due and payable in cash within fifteen (15) days following S&W’s receipt of
CP’s invoice therefore.

 

2.2          Reimbursement.  S&W will reimburse CP for any and all
reasonable  expenses incurred by CP in
connection with CP’s performance of the IPO Management Services and any Other
Services; provided, however, that any such expenses must be pre-approved
by S&W and otherwise adhere to control procedures implemented by S&W.
All requests for reimbursement for expenses must be accompanied by
documentation in form and detail satisfactory to S&W.  S&W will reimburse CP for expenses
incurred in compliance with this Section 2.2 within fifteen (15) days
following S&W’s receipt of CP’s invoice therefore.

 

ARTICLE THREE

REPRESENTATIONS, WARRANTIES AND COVENANTS

 

3.1          Representations and Warranties.  Each party represents and warrants to the
other that:

 

(a) It
has not entered into any agreement, whether written or oral, in conflict with
this Agreement; and

 

(b) It
has the full power and authority to enter into this Agreement.

 

3.2          CP’s Covenants.  CP:

 

(a) shall
act as an independent contractor with no authority to obligate S&W by
contract or otherwise;

 

(b) shall
exercise only such powers and perform such duties as may from time to time be
vested in CP or assigned to CP by S&W;

 

(c) shall
devote such time and effort as is reasonably necessary to provide the Services;

 

(d) shall
comply with all applicable laws in the performance including all applicable
securities laws and regulations of the Services; and

 

(e) shall
not assign or subcontract performance of this Agreement or any of the Services
to any person, firm, company or organization without S&W’s prior written
consent.

 

2

 

ARTICLE FOUR

CONFIDENTIAL INFORMATION

 

4.1          Confidentiality.  CP shall, during the term of this Agreement
and for a period of five years thereafter, keep all S&W Confidential
Information confidential and use such information only for the purposes
expressly set forth herein.  S&W
Confidential Information shall mean all information concerning S&W or its
current or planned business, which is disclosed to CP by S&W or which
results from, or in connection with, any Services performed pursuant to this
Agreement.

 

4.2          Access.  CP agrees to limit the access to S&W
Confidential Information to only those persons under CP’s direct control who,
with S&W’s knowledge and consent, are responsible for performing the
Services set forth in Article One.

 

4.3          Authorized Disclosure.  CP shall have no obligation of
confidentiality and non-use with respect to any portion of S&W Confidential
Information which (i) is or later becomes generally available to the
public by use, publication or the like, through no act or omission of CP; (ii) is
obtained from a third party who had the legal right to disclose the information
to CP; or (iii) CP already possesses as evidenced by CP’s written records
predating receipt thereof from S&W.

 

4.4          Return of Information.  Upon the termination of this Agreement, CP
will promptly return to S&W all materials, records, documents, and other
S&W Confidential Information in tangible form.  CP shall retain no copies except as required
by law of such materials and information and, if requested by S&W, will
delete all S&W Confidential Information stored in any magnetic or optical
disc or memory.

 

4.5          Third Party Information.  CP shall not, in connection with the Services
to be performed under this Agreement, disclose to S&W any information,
which is confidential or proprietary to CP, or any third party.

 

ARTICLE FIVE

INDEMNITY; LIMITATION OF LIABILITY

 

5.1          Indemnity.

 

(a) 
S&W will indemnify and hold harmless CP against any and all losses, claims,
damages, obligations, penalties, judgments, awards, liabilities, costs,
expenses and disbursements (and any and all actions, suits, proceedings and
investigations in respect thereof and any and all legal and other costs,
expenses and disbursements in giving testimony or furnishing documents in
response to a subpoena or otherwise), including, without limitation, the costs,
expenses and disbursements, reasonably incurred, as and when incurred, of
investigating, preparing or defending any such action, suit, proceeding or
investigation (whether or not in connection with litigation in which CP is a
party), directly or indirectly, caused by, relating to, based upon, arising out
of, or in connection with this Agreement or CP’s performance hereunder, except
to the extent primarily caused by the gross negligence or willful misconduct of
CP.

 

3

 

(b) 
The indemnification provisions shall be in addition to any liability which
S&W may otherwise have to CP or the persons indemnified below in this
sentence and shall extend to the following: CP, its affiliated entities,
members, employees, legal counsel, agents and controlling persons (within the
meaning of the federal securities laws) of any of them. All references to CP in
this Article Five shall be understood to include any and all of the
foregoing.

 

5.2          Limitation of Liability.  CP shall not have any liability (whether
direct or indirect, in contract or tort or otherwise) to S&W for or in
connection with this Agreement or CP’s performance hereunder, except to the
extent that any such liability is found in a final judgment by a court of
competent jurisdiction (not subject to further appeal) to have resulted
primarily from CP’s gross negligence or willful misconduct.

 

ARTICLE SIX

TERM AND TERMINATION

 

6.1          Term.  The initial term of this Agreement shall be
for a period of three (3) months from the Effective Date (the “Initial
Term”).  After the Initial Term, the term
of this Agreement will automatically be extended on a month to month basis
unless either party provides written notice to the other party of its intent
not to so extend the term at least 15 days before the expiration of the then
current term.

 

6.2          Termination.  (a) This Agreement may be terminated by
either party upon the breach of a material term hereof by the other party,
which breach remains uncured for 15 days after the date that the non-breaching
party has served written notice on the other party, which notice will set forth
the basis of such breach and the non-breaching party’s intent to terminate the
Agreement.

 

6.3          Effect of Termination.  Upon the expiration or termination of this
Agreement, each party shall be released from all obligations and liabilities
hereunder except those arising under Articles Four, Five and Eight; provided
that, following such termination, CP shall be entitled to receive all amounts
payable by S&W to CP through the date of expiration or termination of this
Agreement.

 

ARTICLE SEVEN

MISCELLANEOUS

 

7.1          Relationship of the Parties.

 

(a) 
S&W is a sophisticated business enterprise that has retained CP for the
limited purposes set forth in this letter agreement, and the parties
acknowledge and agree that their respective rights and obligations are
contractual in nature. S&W recognizes that the relationship contemplated
hereby is not an exclusive relationship for CP or any of its personnel.  Each party disclaims an intention to impose
fiduciary obligations on the other by virtue of the engagement contemplated by
this Agreement.

 

4

 

(b) 
The Services do not include requiring CP to engage in any activities for which
an investment advisor’s registration or license is required under the U.S.
Investment Advisors Act of 1940, or under any other applicable federal or state
law; or for which a “broker’s” or “dealer’s” registration or license is
required under the U.S. Securities Exchange Act of 1934, or under any other
applicable federal or state law.  CP’s
work on this engagement shall not constitute the rendering of legal advice, or
the providing of legal services, to S&W. 
Accordingly, CP shall not express any legal opinions with respect to any
matters affecting S&W.

 

7.2          Waiver.  None of the terms of this Agreement may be
waived except by an express agreement in writing signed by the party against
whom enforcement of such waiver is sought. 
The failure or delay of either party in enforcing any of its rights
under this Agreement shall not be deemed a continuing waiver of such right.

 

7.3          Entire Agreement.  This Agreement constitutes the entire
agreement between the parties with respect to the subject matter hereof and
supersedes all prior agreements and understandings among the parties (whether
written or oral) relating to said subject matter.

 

7.4          Amendments.  This Agreement may not be released,
discharged, amended or modified in any manner except by an instrument in
writing signed by a duly authorized officer of S&W and CP.

 

7.5          Assignment.  S&W has specifically contracted for the
Services of CP and, therefore, CP may not assign or delegate CP’s obligations
under this Agreement, either in whole or in part, without the prior written
consent of S&W.

 

7.6          Severability.  If any provision of this Agreement is,
becomes, or is deemed invalid, illegal or unenforceable in any jurisdiction,
such provision shall be deemed amended to conform to the applicable laws so as
to be valid and enforceable, or, if it cannot be so amended without materially
altering the intention of the parties hereto, it shall be stricken and the
remainder of this Agreement shall remain in full force and effect.

 

7.7          Headings.  Article and Section headings
contained in the Agreement are included for convenience only and are not to be
used in construing or interpreting this Agreement.

 

7.8          Notices.  All notices provided for in this Agreement shall be in writing and shall be deemed effective when either served by personal delivery or sent by express, registered or certified mail, postage prepaid, return receipt requested, to the other party at the corresponding mailing address set forth below or at such other address as such other party may hereafter designate by written notice in the manner aforesaid.
 

7.9          Force Majeure.  CP shall be excused for failure to provide
the Services hereunder to the extent that such failure is directly or
indirectly caused by an occurrence commonly known as force majeure, including,
without limitation, delays arising out of acts of God, acts or orders of a
government, agency or instrumentality thereof (whether 

 

5

 

of fact or law), acts of public enemy, riots, embargoes, strikes or
other concerted acts of workers (whether of CP or other persons), casualties or
accidents, delivery of materials, transportation or shortage of cars, trucks,
fuel, power, labor or materials or any other causes, circumstances or
contingencies that are beyond the control of CP; provided, however, that
CP shall use its best efforts to resume provision of the Services as soon as
possible. Notwithstanding any events operating to excuse performance by CP,
this Agreement shall continue in full force for the remainder of its term and
any renewals thereof.

 

7.10        Counterparts.  This Agreement may be executed in any number
of counterparts, each of which shall be an original and all of which together
shall constitute one and the same document, binding on all parties
notwithstanding that each of the parties may have signed different
counterparts.

 

7.11        Governing Law.  This Agreement shall be governed by and
construed in accordance with the laws of the State of California and the
parties to this Agreement hereby submit to the exclusive jurisdiction of the
courts, both state and federal, in the County
of Orange, State of California.

 

IN
WITNESS WHEREOF, the parties have entered into this Agreement on
the date first above written.

 

	
  CARDIFF
  PARTNERS, LLC,

  	
   

  	
  S&W SEED COMPANY

  
	
  a
  California limited liability company

  	
   

  	
  a
  Delaware Corporation

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  /s/
  David Walters

  	
   

  	
  /s/
  Mark Grewal

  
	
  By:
  David Walters

  	
   

  	
  By:
  Mark Grewal

  
	
  Title:
  Managing Member

  	
   

  	
  Title:
  CEO

  
	
  Address:
  30950 Rancho Viejo Rd #120

  	
   

  	
  4408
  Hays Drive

  
	
  San Juan Capistrano, CA 92675

  	
   

  	
  Chowchilla, CA 93610

  

 

6

 

Schedule 1

IPO Management Services

 

·                  Support and provide guidance to senior
management team regarding equity issuances, technical accounting matters, and
overall offering process.

·                  Assist the Company in the preparation of the
Condensed Consolidated Financial Statement of Seed Holdings, LLC and S&W
Seed Company for the years ended June 30, 2008 and 2009 and the three
months ended September 30, 2009 for inclusion in the Form S-1.

·                  Draft the accompanying footnotes and pro
forma disclosures to be included in the financial statements above.

·                  Manage & oversee relationships with
independent auditors.

·                  Assist the Company in the drafting and
preparation of the Management’s Discussion and Analysis Section of the Form S-1.

·                  Assist the Company in the drafting and
preparation of the capitalization and dilution tables and disclosures included
in Form S-1.

 

7

 

Attachment A

Services Addendum

 

	
  Scope of Other Services:

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  Other Services Fee:

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  Other Terms and Conditions:

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  Acknowledged and agreed by:

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  S&W SEED COMPANY

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  By:

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  Date:

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  CARDIFF PARTNERS, LLC

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  By:

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  Date:

  	
   

  

 

8EXHIBIT
10.14

 

SUPPORT SERVICES AGREEMENT

 

Support Services Agreement (this “Agreement”) dated as
of March 1, 2010 (the “Effective Date”) between Cardiff Partners, LLC, a
California limited liability company (“CP”) and S&W Seed Company, a
Delaware Corporation, (“S&W”).

 

WHEREAS, S&W wishes to engage CP to provide the Services
(as defined below) on the terms and conditions set forth herein and CP wishes
to be so retained;

 

NOW THEREFORE, in consideration of the premises and of the
mutual covenants, conditions and agreements contained herein, the parties agree
as follows:

 

ARTICLE ONE

SERVICES

 

1.1          Management Services.  S&W hereby engages CP to provide Matt
Szot to perform the Management Services set forth in Schedule 1 hereto for the
benefit of S&W, and CP agrees to perform such Management Services, on the
terms and conditions set forth herein. 
All references to “CP” herein are deemed to refer solely to services
provided by Matt Szot.

 

1.2          Other Services.  S&W may, from time to time, engage CP to
perform other services for the benefit of S&W (“Other Services”).   The scope of, the applicable fee for, and
any additional terms and conditions relating to any such other services shall
be reflected in a Services Addendum to this Agreement in the form of Exhibit A
hereto.

 

1.3          Reporting.  S&W shall have the right to request
written reports at any time during the term of this Agreement, which shall be
furnished within three (3) days after such request, describing the
progress, status of, and other matters pertaining to the Management Services
and any Other Services provided pursuant to Section 1.2 (collectively, the
“Services”) as S&W shall request. S&W may freely utilize all such
information arising out of the performance of the Services under this Agreement
in any manner desired.

 

ARTICLE TWO

COMPENSATION

 

2.1          Compensation.

 

(a) 
Management Services.   For each month
during the term of this Agreement, S&W will pay to CP a fee in respect of
the Management Services (the “MS Fee”) equal to $8,000 in cash.    The MS Fee will be due and payable on the
last business day of such month.  
Additionally, Matt Szot will be issued 25,000 stock options with a
strike price of $4.00; 5 year term, and vest on the same schedule as the CEO
and Chairman of the Board of Directors.,.

 

(b) 
Other Services.   IF S&W has
engaged to perform any Other Services, S&W will pay to CP the fee specified
for such Other Services in the applicable Services

 

 

Addendum
(the “Other Services Fee”).  Unless
otherwise specified in the applicable Services Addendum, the Other Services Fee
will be due and payable in cash within fifteen (15) days following S&W’s
receipt of CP’s invoice therefore.

 

2.2          Reimbursement.  S&W will reimburse CP for any and all
reasonable  expenses incurred by CP in
connection with CP’s performance of the Management Services and any Other
Services; provided, however, that any such expenses must be pre-approved
by S&W and otherwise adhere to control procedures implemented by S&W.
All requests for reimbursement for expenses must be accompanied by
documentation in form and detail satisfactory to S&W.  S&W will reimburse CP for expenses
incurred in compliance with this Section 2.2 within fifteen (15) days
following S&W’s receipt of CP’s invoice therefore.

 

ARTICLE THREE

REPRESENTATIONS, WARRANTIES AND COVENANTS

 

3.1          Representations and Warranties.  Each party represents and warrants to the
other that:

 

(a) It
has not entered into any agreement, whether written or oral, in conflict with
this Agreement; and

 

(b) It
has the full power and authority to enter into this Agreement.

 

3.2          CP’s Covenants.  CP:

 

(a) shall
act as an independent contractor with no authority to obligate S&W by
contract or otherwise;

 

(b) shall
exercise only such powers and perform such duties as may from time to time be
vested in CP or assigned to CP by S&W;

 

(c) shall
devote such time and effort as is reasonably necessary to provide the Services;

 

(d) shall
comply with all applicable laws in the performance including all applicable
securities laws and regulations of the Services; and

 

(e) shall
not assign or subcontract performance of this Agreement or any of the Services
to any person, firm, company or organization without S&W’s prior written
consent.

 

2

 

ARTICLE FOUR

CONFIDENTIAL INFORMATION

 

4.1          Confidentiality.  CP shall, during the term of this Agreement
and for a period of five years thereafter, keep all S&W Confidential
Information confidential and use such information only for the purposes
expressly set forth herein.  S&W
Confidential Information shall mean all information concerning S&W or its
current or planned business, which is disclosed to CP by S&W or which
results from, or in connection with, any Services performed pursuant to this
Agreement.

 

4.2          Access.  CP agrees to limit the access to S&W
Confidential Information to only those persons under CP’s direct control who,
with S&W’s knowledge and consent, are responsible for performing the
Services set forth in Article One.

 

4.3          Authorized Disclosure.  CP shall have no obligation of
confidentiality and non-use with respect to any portion of S&W Confidential
Information which (i) is or later becomes generally available to the
public by use, publication or the like, through no act or omission of CP; (ii) is
obtained from a third party who had the legal right to disclose the information
to CP; or (iii) CP already possesses as evidenced by CP’s written records
predating receipt thereof from S&W.

 

4.4          Return of Information.  Upon the termination of this Agreement, CP
will promptly return to S&W all materials, records, documents, and other
S&W Confidential Information in tangible form.  CP shall retain no copies except as required
by law of such materials and information and, if requested by S&W, will
delete all S&W Confidential Information stored in any magnetic or optical
disc or memory.

 

4.5          Third Party Information.  CP shall not, in connection with the Services
to be performed under this Agreement, disclose to S&W any information,
which is confidential or proprietary to CP, or any third party.

 

ARTICLE FIVE

INDEMNITY; LIMITATION OF LIABILITY

 

5.1          Indemnity.

 

(a) 
S&W will indemnify and hold harmless CP against any and all losses, claims,
damages, obligations, penalties, judgments, awards, liabilities, costs,
expenses and disbursements (and any and all actions, suits, proceedings and
investigations in respect thereof and any and all legal and other costs,
expenses and disbursements in giving testimony or furnishing documents in
response to a subpoena or otherwise), including, without limitation, the costs,
expenses and disbursements, reasonably incurred, as and when incurred, of
investigating, preparing or defending any such action, suit, proceeding or
investigation (whether or not in connection with litigation in which CP is a
party), directly or indirectly, caused by, relating to, based upon, arising out
of, or in connection with this Agreement or CP’s performance hereunder, except
to the extent primarily caused by the gross negligence or willful misconduct of
CP.

 

3

 

(b) 
The indemnification provisions shall be that S&W shall include Matt Szot in
S&W’s officers and directors indemnification program and directors and
officers insurance.

 

5.2          Limitation of Liability.  CP shall not have any liability (whether
direct or indirect, in contract or tort or otherwise) to S&W for or in
connection with this Agreement or CP’s performance hereunder, except to the
extent that any such liability is found in a final judgment by a court of
competent jurisdiction (not subject to further appeal) to have resulted
primarily from CP’s gross negligence or willful misconduct.

 

ARTICLE SIX

TERM AND TERMINATION

 

6.1          Term.  The initial term of this Agreement shall be
for a period of twelve (12) months from the Effective Date (the “Initial Term”).  After the Initial Term, the term of this
Agreement will automatically be extended for additional successive twelve month
periods unless either party provides written notice to the other party of its
intent not to so extend the term at least 30 days before the expiration of the
then current term.  Upon each annual
renewal the MS Fee shall be increased by five percent.

 

6.2          Termination.  (a) This Agreement may be terminated by
either party upon the breach of a material term hereof by the other party,
which breach remains uncured for 30 days after the date that the non-breaching
party has served written notice on the other party, which notice will set forth
the basis of such breach and the non-breaching party’s intent to terminate the
Agreement.

 

6.3          Effect of Termination.  Upon the expiration or termination of this
Agreement, each party shall be released from all obligations and liabilities
hereunder except those arising under Articles Four, Five and Eight; provided
that, following such termination, CP shall be entitled to receive all amounts
payable by S&W to CP through the date of expiration or termination of this
Agreement.

 

ARTICLE SEVEN

MISCELLANEOUS

 

7.1          Relationship of the Parties.

 

(a) 
S&W is a sophisticated business enterprise that has retained CP for the
limited purposes set forth in this letter agreement, and the parties
acknowledge and agree that their respective rights and obligations are
contractual in nature. S&W recognizes that the relationship contemplated
hereby is not an exclusive relationship for CP or any of its personnel.  Each party disclaims an intention to impose
fiduciary obligations on the other by virtue of the engagement contemplated by
this Agreement.

 

(b) 
The Services do not include requiring CP to engage in any activities for which
an investment advisor’s registration or license is required under the U.S.

 

4

 

Investment
Advisors Act of 1940, or under any other applicable federal or state law; or
for which a “broker’s” or “dealer’s” registration or license is required under
the U.S. Securities Exchange Act of 1934, or under any other applicable federal
or state law.  CP’s work on this
engagement shall not constitute the rendering of legal advice, or the providing
of legal services, to S&W. 
Accordingly, CP shall not express any legal opinions with respect to any
matters affecting S&W.

 

7.2          Waiver.  None of the terms of this Agreement may be
waived except by an express agreement in writing signed by the party against
whom enforcement of such waiver is sought. 
The failure or delay of either party in enforcing any of its rights
under this Agreement shall not be deemed a continuing waiver of such right.

 

7.3          Entire Agreement.  This Agreement constitutes the entire
agreement between the parties with respect to the subject matter hereof and
supersedes all prior agreements and understandings among the parties (whether
written or oral) relating to said subject matter.

 

7.4          Amendments.  This Agreement may not be released,
discharged, amended or modified in any manner except by an instrument in
writing signed by a duly authorized officer of S&W and CP.

 

7.5          Assignment.  S&W has specifically contracted for the
Services of CP and, therefore, CP may not assign or delegate CP’s obligations
under this Agreement, either in whole or in part, without the prior written
consent of S&W.

 

7.6          Severability.  If any provision of this Agreement is,
becomes, or is deemed invalid, illegal or unenforceable in any jurisdiction,
such provision shall be deemed amended to conform to the applicable laws so as
to be valid and enforceable, or, if it cannot be so amended without materially
altering the intention of the parties hereto, it shall be stricken and the
remainder of this Agreement shall remain in full force and effect.

 

7.7          Headings.  Article and Section headings
contained in the Agreement are included for convenience only and are not to be
used in construing or interpreting this Agreement.

 

7.8          Notices.  All notices provided for in this Agreement shall be in writing and shall be deemed effective when either served by personal delivery or sent by express, registered or certified mail, postage prepaid, return receipt requested, to the other party at the corresponding mailing address set forth below or at such other address as such other party may hereafter designate by written notice in the manner aforesaid.
 

7.9          Force Majeure.  CP shall be excused for failure to provide
the Services hereunder to the extent that such failure is directly or
indirectly caused by an occurrence commonly known as force majeure, including,
without limitation, delays arising out of acts of God, acts or orders of a
government, agency or instrumentality thereof (whether 

 

5

 

of fact or law), acts of public enemy, riots, embargoes, strikes or
other concerted acts of workers (whether of CP or other persons), casualties or
accidents, delivery of materials, transportation or shortage of cars, trucks,
fuel, power, labor or materials or any other causes, circumstances or
contingencies that are beyond the control of CP; provided, however, that
CP shall use its best efforts to resume provision of the Services as soon as
possible. Notwithstanding any events operating to excuse performance by CP,
this Agreement shall continue in full force for the remainder of its term and
any renewals thereof.

 

7.10        Counterparts.  This Agreement may be executed in any number
of counterparts, each of which shall be an original and all of which together
shall constitute one and the same document, binding on all parties
notwithstanding that each of the parties may have signed different
counterparts.

 

7.11        Governing Law.  This Agreement shall be governed by and
construed in accordance with the laws of the State of California and the
parties to this Agreement hereby submit to the exclusive jurisdiction of the
courts, both state and federal, in the County
of Orange, State of California.

 

IN
WITNESS WHEREOF, the parties have entered into this Agreement on
the date first above written.

 

	
  CARDIFF
  PARTNERS, LLC,

  	
   

  	
  S&W SEED COMPANY

  
	
  a
  California limited liability company

  	
   

  	
  a
  Delaware Corporation

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  /s/
  David Walters

  	
   

  	
  /s/
  Mark Grewal

  
	
  By:
  David Walters

  	
   

  	
  By:
  Mark Grewal

  
	
  Title:
  Managing Member

  	
   

  	
  Title:
  CEO

  
	
  Address:
  30950 Rancho Viejo Rd #120

  	
   

  	
  4408
  Hays Drive

  
	
  San Juan Capistrano, CA 92675

  	
   

  	
  Chowchilla, CA 93610

  

 

6

 

Schedule 1

Management Services

 

·                  Make available an individual acceptable to
S&W in its sole discretion to serve as Chief Financial Officer of S&W.

·                  Perform all principal accounting and
financial officer duties.

·                  Direct all finance, accounting and treasury
functions including SEC filings, audits, cash forecasting, cash management,
operational budgeting, month-end closing, and ensure accuracy and compliance in
accounting/financial reporting.

·                  Analyze financial and operating information
for management to facilitate decision-making and provide input for corrective
action, where applicable.

·                  Forecast and monitor financial information
against goals and operating strategy.

·                  Manage/oversee relationships with independent
auditors, banks and investment banking community.

·                  Handle financial negotiations with other
third party relationships.

·                  Prepare quarterly updates to the financial
forecast.

·                  Support and evaluate all corporate capital
formation activities including debt, equity, and debt issuance transactions.

 

7

 

Attachment A

Services Addendum

 

	
  Scope of Other Services:

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  Other Services Fee:

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  Other Terms and Conditions:

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  Acknowledged and agreed by:

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  S&W SEED COMPANY

  	
   

  
	
   

  	
   

  
	
   

  	
   

  
	
  By:

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  Date:

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  CARDIFF PARTNERS, LLC

  	
   

  
	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  By:

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
  Date:

  	
   

  

 

8

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00170-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00170-of-00352.parquet"}]]