Document:

Exhibit 10.1

 

LEAK-OUT AGREEMENT

 

October 25,
2019

 

This agreement (the
 “Leak-Out Agreement”) is being delivered to you in connection with an understanding by and between iBio, Inc.,
a Delaware corporation (the “Company”), and the person or persons named on the signature pages hereto (collectively,
the “Holder”).

 

Reference is hereby
made to (a) the Underwriting Agreement, dated October 24, 2019, by and among the Company and A.G.P./Alliance Global Partners (“AGP”),
as representative of the several underwriters, in connection with the follow-on underwritten public offering (the “Offering”)
of the Company (the “UA”) pursuant to which the Holder and certain other purchasers acquired (i) shares of Common
Stock of the Company (“Shares”) and/or Series C Convertible Preferred Stock (the “Preferred”),
whose terms are governed by a certain Certificate of Designation of Preferences, Rights and Limitations of Series C Convertible
Preferred Stock, dated October ●, 2019 (the “CoD”), and (ii) warrants of the Company to purchase Shares,
the “Firm Common Warrants,” and together with the Shares and Preferred, the “Securities”)
and (b) the registration statement on Form S-1 (File No. 333-233504) (“Registration Statement”). Capitalized
terms not defined herein shall have the meaning as set forth in the UA, unless otherwise set forth herein.

 

The
Holder agrees solely with the Company that, from the time of both (a) the Company’s public announcement of the final pricing
of the Offering (the “Pricing Date”) and (b) the Company or AGP notifying the Holder that each purchaser that
purchases of $50,000 or more of Securities in the Offering has executed this form of Leak-Out Agreement (the “Effective
Time”) and ending on the earlier of (i) 4:00 pm (New York City time) on November 28, 20191
and (ii) the date and time at which 25 million shares of the Company’s Common Stock (as adjusted for stock
splits, stock dividends, stock combinations, recapitalizations or other similar events occurring after the date hereof) having
traded since the Effective Time as reported by Bloomberg, LP (such period, the “Restricted Period”), neither
the Holder, nor any affiliate of such Holder which (x) had or has knowledge of the transactions contemplated by the UA, (y) has
or shares discretion relating to such Holder’s investments or trading or information concerning such Holder’s investments,
including in respect of the Securities, or (z) is subject to such Holder’s review or input concerning such affiliate’s
investments or trading (together, the “Holder’s Trading Affiliates”), collectively, shall sell, dispose
or otherwise transfer, directly or indirectly, (including, without limitation, any sales, short sales, swaps or any derivative
transactions that would be equivalent to any sales or short positions) on any Trading Day during the Restricted Period (any such
date, a “Date of Determination”), shares of Common Stock of the Company, or shares of common stock of the Company
underlying any Convertible Securities or Options (each as defined in the CoD), held by the Holder on the date hereof, as well
as the Shares and the shares of Common Stock of the Company issuable upon exercise of the Preferred and Firm Common Warrants (collectively,
the “Restricted Securities”), in an amount representing more than [ ]%2
of the cumulative percentage of composite trading volume of Common Stock for such date (including pre-market volume
on such date) as reported by Bloomberg, LP (“Leak-Out Percentage”); provided that the Leak-Out Percentage shall
not be in effect on any day on which the Common Stock trades at a price that exceeds 300% of the public offering price for the
Securities as announced on the Pricing Date; provided, further, that the foregoing restriction shall not apply to any actual “long”
(as defined in Regulation SHO of the Securities Exchange Act of 1934, as amended) sales by the Holder or any of the Holder’s
Trading Affiliates at a price greater than $0.● (in each case, as adjusted for stock splits, stock dividends, stock combinations,
recapitalizations or other similar events occurring after the date hereof) and provided, further, that the foregoing restriction
shall not apply to any actual “long” sales of shares of Common Stock purchased in open market transactions by the
Holder or any of the Holder’s Trading Affiliates during the Restricted Period. 

 

 

 

1
35 days

 

2 Pro rata
portion of 35% among investors executing Leak-Out Agreements, based on the aggregate amount to be paid by each such investor
for the Securities.

 

     

     

    

 

Notwithstanding anything
herein to the contrary, during the Restricted Period, the Holder may, directly or indirectly, sell or transfer all, or any part,
of any Restricted Securities to any Person (an “Assignee”) in a transaction which does not need to be reported
on the consolidated tape on the Principal Market, without complying with (or otherwise limited by) the restrictions set forth in
this Leak-Out Agreement; provided, that as a condition to any such sale or transfer an authorized signatory of the Company and
such Assignee duly execute and deliver a leak-out agreement in the form of this Leak-Out Agreement (an “Assignee Agreement”,
and each such transfer a “Permitted Transfer”) and, subsequent to a Permitted Transfer, sales of the Holder
and the Holder’s Trading Affiliates and all Assignees (other than any such sales that constitute Permitted Transfers) shall
be aggregated for all purposes of this Leak-Out Agreement and all Assignee Agreements.

 

Any notices, consents,
waivers or other communications required or permitted to be given under the terms of this Leak-Out Agreement must be in writing
and shall be given in accordance with the terms of the UA, provided that, with respect to any notices, consents, waivers or other
communications to be made by the Company to the Holder, such notice, consent, waiver or other communication shall be delivered
to the Holder at the e-mail address or facsimile number on the signature page hereto.

 

This Leak-Out Agreement
constitutes the entire agreement among the parties hereto with respect to the subject matter hereof and supersedes all prior negotiations,
letters and understandings relating to the subject matter hereof and are fully binding on the parties hereto.

 

This Leak-Out Agreement
may be executed simultaneously in any number of counterparts. Each counterpart shall be deemed to be an original, and all such
counterparts shall constitute one and the same instrument. This Leak-Out Agreement may be executed and accepted by facsimile or
PDF signature and any such signature shall be of the same force and effect as an original signature.

 

The terms of this Leak-Out
Agreement shall be binding upon and shall inure to the benefit of each of the parties hereto and their respective successors and
assigns.

 

This Leak-Out Agreement
may not be amended or modified except in writing signed by each of the parties hereto.

 

All questions concerning
the construction, validity, enforcement and interpretation of this Leak-Out Agreement shall be governed by the applicable provisions
of the UA.

 

Each party hereto acknowledges
that, in view of the uniqueness of the transactions contemplated by this Leak-Out Agreement, the other party or parties hereto
will not have an adequate remedy at law for money damages in the event that this Leak-Out Agreement has not been performed in accordance
with its terms, and therefore agrees that such other party or parties shall be entitled to seek specific enforcement of the terms
hereof in addition to any other remedy it may seek, at law or in equity.

 

Neither this Leak-Out
Agreement nor the transactions contemplated hereby are material to the Company and no material, non-public information has been
provided to the Holder by the Company or any of its Subsidiaries or any of their respective officers, directors, employees or agents
in connection with the transactions contemplated hereby. As of the date hereof, the Company acknowledges and agrees that any and
all confidentiality or similar obligations under any agreement, if any, whether written or oral, between the Company, any of its
Subsidiaries or any of their respective officers, directors, affiliates, employees or agents, on the one hand, and the Holder or
any of its affiliates, on the other hand, with respect to this Leak-Out Agreement and the transactions contemplated hereby shall
terminate. Notwithstanding anything contained in this Leak-Out Agreement to the contrary and without implication that the contrary
would otherwise be true, the Company expressly acknowledges and agrees that the Holder shall not have (unless expressly agreed
to by the Holder after the date hereof in a written definitive and binding agreement executed by the Company and the Holder), any
duty of confidentiality with respect to, or a duty to the Company not to trade on the basis of, any material, non-public information
regarding the Company or any of its Subsidiaries.

 

     

     

    

 

The Holder
acknowledges that it is not a party to the UA and AGP has acted as representative of the several underwriters in the
Offering. The obligations of the Holder under this Leak-Out Agreement are several and not joint with the obligations of any
other holder of any of the Securities issued under the UA (each, an “Other Holder”) or any other holder of
any of the Securities issued under the Registration Statement(each, a “Prospectus Purchaser Other Holder”)
under any other agreement, and the Holder shall not be responsible in any way for the performance of the obligations of any
Other Holder or any Prospectus Purchaser Other Holder under any such other agreement. Nothing contained in this Leak-Out
Agreement, and no action taken by the Holder pursuant hereto, shall be deemed to constitute the Holder and Other Holders or
any Prospectus Purchaser Other Holder as a partnership, an association, a joint venture or any other kind of entity, or
create a presumption that the Holder and the Other Holders or any Prospectus Purchaser Other Holder are in any way acting in
concert or as a group with respect to such obligations or the transactions contemplated by this Leak-Out Agreement and the
Company acknowledges that the Holder and the Other Holders or any Prospectus Purchaser Other Holder are not acting in concert
or as a group with respect to such obligations or the transactions contemplated by this Leak-Out Agreement or any other
agreement. The Company and the Holder confirm that the Holder has independently participated in the negotiation of the
transactions contemplated hereby with the advice of its own counsel and advisors. The Holder shall be entitled to
independently protect and enforce its rights, including, without limitation, the rights arising out of this Leak-Out
Agreement, and it shall not be necessary for any Other Holder or any Prospectus Purchaser Other Holder to be joined as an
additional party in any proceeding for such purpose.

 

The Company hereby
represents and warrants as of the date hereof and covenants and agrees from and after the date hereof that it will use reasonable
best efforts to enforce the provisions of each Leak-Out Agreement in accordance with its terms. If the Company becomes aware that
any party to any Leak-Out Agreement has breached or failed to comply with any provision of such Leak-Out Agreement, the Company
shall use its reasonable best efforts to seek specific performance of the terms of such Leak-Out Agreement during the remainder
of the Restricted Period.

 

The Company hereby
represents and warrants as of the date hereof and covenants and agrees from and after the date hereof that none of the terms offered
to any Other Holder or any Prospectus Purchaser Other Holder that purchases $50,000 or more of the Securities in the Offering with
respect to any restrictions on the sale of Securities substantially in the form of this Leak-Out Agreement (or any amendment, modification,
waiver or release thereof) (each a “Settlement Document”), is or will be more favorable to such Other Holder
than those of the Holder and this Leak-Out Agreement. If, and whenever on or after the date hereof, the Company enters into a Settlement
Document with terms that are materially different from this Leak-Out Agreement, then (i) the Company shall provide notice thereof
to the Holder promptly following the occurrence thereof and (ii) the terms and conditions of this Leak-Out Agreement shall be,
without any further action by the Holder or the Company, automatically amended and modified in an economically and legally equivalent
manner such that the Holder shall receive the benefit of the more favorable terms and/or conditions (as the case may be) set forth
in such Settlement Document, provided that upon written notice to the Company at any time the Holder may elect not to accept the
benefit of any such amended or modified term or condition, in which event the term or condition contained in this Leak-Out Agreement
shall apply to the Holder as it was in effect immediately prior to such amendment or modification as if such amendment or modification
never occurred with respect to the Holder. The provisions of this paragraph shall apply similarly and equally to each Settlement
Document.

 

[The remainder of the page is intentionally
left blank]

 

     

     

    

 

The parties hereto have executed this Leak-Out Agreement as
of the date first set forth above.

 

	 	Sincerely,	 
	 	 	 
	 	IBIO, INC.	 
	 	 	 	 	 
	 	 	 	 	 
	 	By:	 	 
	 	 	Name: 	 	 
	 	 	Title: 	 	 

 

	Agreed to and Accepted: 
	 	 	 
	“HOLDER”	 
	 	 	 
	 	 	 
	By: 	      	 
	 	Name: 	 
	 	Title: 	 

 

	Acknowledged:
	 	 	 
	A.G.P./Alliance Global Partners
	By:  A.G.P./Alliance Global Partners
	 
	By:	                     	 
	Name: 	 	 
	Title:EX-10.83

 Exhibit 10.83 

 

			
	 Date:
	  	 October 22, 2018

		
	 To:
	  	 Mr. Donald M. Panter

		
	 Position:
	  	 Executive Vice President – Americas

 Thank you for your interest in employment with S&W Seed Company. Please accept this letter as our offer of at- will employment. The following summarizes the current terms and conditions of employment that are being offered at this time. Other conditions and policies that currently exist are spelled out in the Employee
Handbook. 
 The Executive Vice President – Americas position is full-time and an at-will position, reporting
to Mark Wong, President and CEO of S&W Seed Company. Compensation for this position is $260,000 per year, with a 100% of compensation bonus target, and 75,000 stock options. All bonus awards would be based on defined goals and would be paid 50%
in cash, 25% in RSU and 25% in common stock options. Additional terms of this offer letter are attached as Schedule 1. 
 In addition, the following is a
brief recap of the benefit package: 
 Health and Welfare –S&W Seed Company currently offers a choice of two PPO plans for medical
with Blue Shield covering you and any eligible dependents. Dental is provided through Guardian, there is optional vision coverage through Vision Service Plan (VSP), and Life Insurance through AXA. These Health & Welfare benefits are offered
for you and any eligible dependents beginning the first of the month following date of employment. The employee contribution for these benefits is outlined in the S&W Seed Company Employee Benefits booklet as attached. Should you wish to opt out
of the medical benefits, S&W Seed Company will provide you with a monthly opt out payment of $250 in compensation. A full recap of these benefits can be found in the S&W Seed Company Employee Benefit Booklet provided with this offer letter.

 Pension–After one year of employment, S&W Seed Company offers a 401(k) plan administered by Ascensus/Vanguard. This 401(k) plan
includes an employer dollar for dollar match up to 4% of your compensation up to IRS maximums. After enrollment, you may also make pre-tax or after-tax contributions to
the 401(k) plan up to IRS maximums. 
 Vacation – 30 days per year. 

Holidays–S&W Seed Company currently provides 9 (nine) paid holidays as set forth in the Employee Handbook. 

As an employee, you will be required to read and sign the Employee Handbook, a copy of which is provided with this offer letter, and other
standalone company policies, and to strictly adhere to these policies. 
 Also, be advised that by agreeing to this offer of employment with
S&W Seed Company, you are agreeing to sign our Mutual Arbitration of Disputes Agreement, whereby both the employee and employer mutually agree that arbitration shall be the exclusive and binding remedy to resolve any controversy, claim, dispute,
or employment dispute between them. 

 At S&W Seed Company we greatly value our ability to work directly with employees in an environment of
trust, respect and integrity in all of our relationships and maintain an open-door policy in which to foster a mutually respectful working relationship. 

Neither this letter nor the Employee Handbook is intended as a contract of employment and does not provide in detail all of the Company’s policies.
S&W Seed Company retains the sole right to revise, modify, delete or add to any and all policies, procedures, work rules or benefits stated in this letter and the Employee Handbook, or any other document, except for the policy of at-will employment. Employment at S&W Seed Company is employment at-will. Employment at-will may be terminated with or without
cause and with or without notice at any time by the Company or the employee. 
 We extend our best wishes to you for a pleasant and successful future with
S&W Seed Company. Should you have any questions about this job offer or any of the Company’s policies, benefits or procedures, please contact Holly Misenhimer, Global Director Human Resources at hollymisenhimer@swseedco.com or via phone at 559- 799-7388. 
 I have read and agree to the terms and conditions above: 

S&W SEED COMPANY 
 Mark Wong

 President & Chief Executive Officer 
  

			
	 Attachments:
	  	 Mutual Arbitration of Disputes Agreement

		  	 Employee Handbook

		  	 S&W Employee Benefit
Booklet

  

			
	 ACCEPTANCE:
	 	
	 Acceptance Deadline:
	 	 October 26, 2018

	 Starting Date:
	 	 October 29, 2018

 

					
	     /s/ Donald M. Panter
	 		 	
        10/26/2018            

	 Donald M. Panter
	 		 	 Date

 SCHEDULE 1 – Additional Terms of Offer of Employment Letter – Don Panter 

October 22, 2018 
  

					
			
	 Start Date
	  		  	 •   Start Date – October 29, 2018

			
	 Employee Benefits Package
	  		  	 •   Generous Employee Benefits Package per Attached Employee Benefit Booklet,
including:
  
 •   Health
(Medical, Dental, Vision, ADD, STD, LTD) Insurance
  

•   401K Match
  

•   Life Insurance

			
	 Relocation
	  	 Office Location
	  	 •   Boulder, CO

 
 •   Employee Domicile
Location must be within fifty (50) miles of Office Location

			
		  	 Last date to relocate
	  	 •   12 months from Start Date; after 12 months, Company relocation benefits
expire

			
		  	 Moving Expenses included
	  	 •   Packing and moving all household goods from Ponte Vedra, FL to Domicile
Location
  

•   Professional transportation of up to two vehicles

 
 •   Storage of household
goods for up to 12 months
  

•   Direct expenses incurred during actual move from Ponte Vedra, FL to Domicile
Location

			
		  	 Moving Expense Cap $
	  	 •   Not to exceed (NTE) $30K

			
		  	 House hunting trips
	  	 •   Up to two trips from Ponte Vedra, FL to Denver, CO for employee and
spouse

			
		  	 Temporary Housing
	  	 •   Actual costs to move from Ponte Vedra, FL into temporary housing

 
 •   Up to 12 months from
Start Date; furnished 2 BR apartment NTE $3,000.00 per month. Other covered expenses will include utilities, Internet / Cable access, renter’s insurance premiums NTE $500.00 per month.

			
		  	 Ponte Vedra, FL Home Sale
	  	 •   Realtor fees NTE 6% sale price or $40K

 
 •   Customary Seller
closing costs

  
 /s/ DMP –
10/26/18 1. 

					
			
		  	 Gross-up
	  	 •   All relocation reimbursements will be “grossed up” to account
for fringe benefit personal income tax withholdings

			
		  	Relocation Benefit Payback requirement	  	 •   75% if employee leaves the company w/in 12 months of Start Date
“Without Good Reason”
  

•   25% if employee leaves the company between 12-24
months from Start Date “Without Good Reason”

			
	 Reporting
	  	Report to	  	 •   President & Chief Executive Officer

			
	 Compensation
	  	Salary + Bonus	  	 •   As offered; $260K Base Salary + 100% of Base Salary Annual Bonus
Opportunity

			
		  	1st Year Bonus Guarantee	  	 •   50% of Bonus Ounity guaranteed and 50% paid in cash
($130,000)

			
	 Severance Package
	  	Without cause	  	 •   1.0x (annual Base Salary + 100% annual Bonus Opportunity at time of
separation)
  
 •   100%
Company Health Insurance premiums for 12 months after separation

			
		  	A liquidity event comprising of effective control of 90% of equity in S&W Seed Company	  	 •   1.5x (annual Base Salary + 100% annual Bonus Opportunity at time of
separation)
  
 •   100%
Company Health Insurance premiums for 18 months after separation

  
 /s/ DMP –
10/26/18 2. 

 MUTUAL ARBITRATION OF DISPUTES AGREEMENT 

This Mutual Agreement to Arbitrate Claims (“Agreement”) is entered into by and between S&W Seed Company
(“Employer”) and Donald M. Panter (“Employee”), effective on the date executed below. 

1.    In consideration of Employee’s employment with Employer, Employee and Employer mutually agree
that any controversy, claim, dispute, or employment dispute arising out of Employee’s employment or its termination, whether based on contract, statute or common law, between or among Employee and Employer, including Employer’s agents,
officers, directors, and/or shareholders, shall be determined by final and binding arbitration, except disputes or claims mentioned in paragraph 3 below. Nothing in this Agreement is in any way intended or should be construed to change the at-will employment relationship between Employee and Employer as set forth in Employer’s Company Handbook. 

2.    This Agreement shall apply to all claims or controversies arising out of Employee’s employment
or its termination (collectively, the “Claims”) that either party may have against the other, including Employer’s parent, subsidiaries, or affiliates or any of their officers, directors, shareholders, representatives, attorneys,
agents, or assigns in their capacity as such or otherwise. The Claims covered by this provision include, without limitation, claims arising out of contract law (which includes, but is not limited to, any claims for breach of contract—employment
or otherwise—and breach of fiduciary duty), tort law (which includes, but is not limited to, any claims for intentional or negligent infliction of emotional distress, defamation, libel, slander, conversion, tortious interference with contract,
tortious interference with business relations, disparagement of business reputation), common law, wrongful discharge law (which includes, but is not limited to, any claims for wrongful discharge or termination, constructive discharge, retaliatory
discharge), privacy rights, statutory protections, constitutional protections, wage and hour law, conspiracy, fraud, negligent misrepresentation, California Labor Code protections (which includes, but is not limited to, any claims for unpaid salary
or wages, severance, accrued vacation or sick pay, bonuses or any other type of compensation), the California Fair Employment and Housing Act (which includes claims for discrimination or harassment on the basis of age, race, color, ancestry,
national origin, disability, medical condition, marital status, religious creed, sex, pregnancy, sexual orientation, or any other protected class), any similar state discrimination law, any claims within any division of the California Department of
Industrial Relations, any claim, demand or cause of action arising under any provision of the California Labor Code or California Government Code, the California Family Rights Act, and any other similar State Codes as provided for in the States in
which S&W Seed Company conducts business in or in which the Employee resides, the federal Family and Medical Leave Act, the federal Civil Rights Acts of 1964 and 1991, as amended, the Age Discrimination in Employment Act, the Older Workers
Benefit Protection Act, the Americans with Disabilities Act, the Labor Management Relations Act, the Fair Labor Standards Act, the Equal Pay Act, the Employee Retirement Income Security Act, claims for benefits (except when a benefit or pension plan
specifies that its claims procedures shall culminate in an arbitration procedure different from this one), claims based on a violation of public policy, claims for violations of common law, and claims for violation of any federal, state, or other
governmental law, statute, regulation, or ordinance. Employee’s consent to this Agreement includes a waiver by Employee of Employee’s right to a hearing before the Labor Commissioner (Berman hearing). 

a.    This Agreement shall not apply to any action brought pursuant to the Labor Code
Private Attorneys General Act of 2004 (Labor Code § 2699 et seq.), except for any such claims that may be compelled to arbitration under California law. If any action is composed of claims or causes of actions arising from the Labor Code
Private Attorneys General Act of 2004 (i.e. “PAGA Claims”) and other laws, the Parties hereby agree that, pursuant to California Civil Code § 1281.4, the judicial resolution of the PAGA Claims that are not subject to arbitration shall
be stayed until the resolution of all claims or causes of actions that are arbitrable pursuant to this Agreement. 

3.    The only disputes or claims that are not subject to this Mutual Arbitration of Disputes Agreement
are: a) any claim by Employee for workers’ compensation or state unemployment benefits; b) disputes arbitrable under a collective bargaining agreement or covered by the National Labor Relations Act; and c) any claim by Employee for benefits
under an Employer plan, which provides for its own arbitration procedure. Each party has the right to go to court to seek an injunction or similar equitable relief, as provided by Code of Civil Procedure section 1281.8(b). 

4.    The Parties understand that, by this Agreement, they are waiving their rights to have a Claim
adjudicated by a court or jury. The Parties understand and agree that, by this Agreement and to the extent permissible by law, they are waiving any right to join or consolidate claims in arbitration or in any court with others or to make claims in
arbitration or in any court as a representative or as a member of a class, unless such procedures are agreed to by both Parties. Should this provision be held to be unenforceable for any reason, Employee and Employer agree that any consolidated
action shall proceed via arbitration. Any determination that this provision is unenforceable shall in no way act to invalidate the remainder of this Agreement, and will apply solely to that dispute pursuant to which a determination of
unenforceability is rendered. 

 5.    This arbitration provision shall provide the
exclusive remedy and each party expressly waives any right he, she or it might have to seek redress in any other forum, except as otherwise specified herein. The arbitration shall be conducted as follows: 

a.    The arbitration shall be conducted in Fresno, California and in accordance with the
California Employment Dispute Resolution Rules of the American Arbitration Association then in effect. Any decision or award or order of the arbitrator shall be final and binding between the parties as to all claims which were or could have been
raised in connection with the dispute to the fullest extent permitted by law, and judgment on the award rendered by the arbitrator may be entered in any court having jurisdiction. The American Arbitration Association Rules can be found at
www.adr.org. In addition, you may request a copy from your supervisor or any member of management. 

b.    There shall be a single neutral arbitrator, who is selected in accordance with the
Rules and who is licensed to practice law in California. The arbitrator shall apply the substantive law of California, or federal law, or both, as applicable to the Claim asserted. Each party shall have the right to conduct discovery. Such discovery
shall be limited to disclosure of relevant documents and production of the personnel file, upon request, with each party under a continuing obligation to supplement its initial disclosure. Further, each party is limited to twenty
(20) interrogatories and three (3) depositions. On request of any party and a showing of substantial need, the arbitrator may allow additional discovery if it is not unduly burdensome and will not unduly delay the conclusion of the
arbitration. 
 c.    The arbitrator shall not consolidate claims of different employees
into one proceeding, nor shall the arbitrator have the power to hear an arbitration as a class or collective action (a class or collective action involves an arbitration or lawsuit where representative members of a large group who claim to share a
common interest seek relief on behalf of the group). 
 d.    The arbitration (including
the hearing and record of the proceeding) shall be confidential and not open to the public unless the parties agree otherwise, or as appropriate in any subsequent proceeding between the parties, or as otherwise may be appropriate in response to
governmental or legal process. 
 e.    The arbitrator shall have the exclusive authority
to resolve any dispute relating to the formation, interpretation, applicability, or enforceability of this Agreement, including, without limitation, any Claim that all or any part of this Agreement is void or voidable. The arbitrator’s decision
shall be in writing. In the Arbitrator’s discretion, the decision may include findings of fact and conclusions of law. The decision shall be final and binding on the parties. 

f.    The arbitrator shall award only those remedies which are: authorized by law and
requested by the parties and which the arbitrator determines to be supported by credible, relevant evidence. 

g.    Unless otherwise provided by law, the parties will be responsible for their own
attorneys’ fees and expenses. Nothing in this Agreement is to be construed as limiting either Party’s ability to recover attorneys’ fees and expenses when specifically authorized by statute or contract. The costs of the arbitrator
will be paid by the Employer. The party who initiates arbitration will pay the filing fee, if any, charged by the American Arbitration Association. However, the amount of any filing fee the Employee is required to pay shall not exceed filing fees
charged by state or federal courts for the county where the arbitration will be held. 
 6.    In the
event that one or more of the provisions contained herein should for any reason be held to be unlawful or unenforceable, such provisions shall be severed from the Agreement and any unlawfulness or unenforceability shall not affect any other
provision, and the procedures set forth herein. This Agreement is the complete agreement of the parties relating to the arbitration of disputes. This agreement supersedes all previous oral, written or implied understanding about the subject matter
of this agreement. This agreement cannot be changed without the specific signed, written consent of both parties and shall remain in force should Employee’s employment terminate. Notwithstanding any other provision of this agreement, to give
maximum effect to this agreement, if necessary, the court or arbitrator shall reform the agreement to the extent necessary to comply with the applicable law. 

7.    Employee may withdraw his or her consent to this Agreement within thirty (30) days from the
date on which he or she signs below by notifying Employer, in writing. This notification must be sent via US certified mail, return receipt to the attention of Holly Misenhimer, 106 K Street, Suite 300, Sacramento, CA 95814. Employee will be
reimbursed for the cost of such mailing upon presentation of a genuine receipt of cost of mailing. 

8.    Employee understands that if he or she signs the Agreement and does not withdraw his or her consent
to this Agreement within thirty (30) days of signing it, he or she will be required to arbitrate, as explained above, employment-related claims that he or she may have against Employer. 

 NOTICE: BY SIGNING IN THE SPACE BELOW, THE PARTIES ARE AGREEING TO HAVE ANY DISPUTE
ARISING OUT OF THE MATTERS INCLUDED IN THE ABOVE ARBITRATION OF DISPUTES POLICY DECIDED BY BINDING ARBITRATION AS PROVIDED BY FEDERAL LAW AND THEY ARE GIVING UP ANY RIGHTS THEY MIGHT POSSESS TO HAVE THE DISPUTE LITIGATED IN A COURT OR JURY TRIAL. BY
SIGNING IN THE SPACE BELOW, THEY ARE GIVING UP THEIR RIGHTS TO JUDICIAL ADJUDICATION OF THEIR CLAIMS. THIS MUTUAL ARBITRATION OF DISPUTES AGREEMENT IS ENTERED INTO KNOWINGLY AND VOLUNTARY BY THE PARTIES HERETO. YOU MAY WISH TO SEEK LEGAL ADVICE
BEFORE SIGNING THIS DISPUTE RESOLUTION AGREEMENT. 
 EMPLOYEE HAS READ AND UNDERSTANDS THAT FINAL AND BINDING ARBITRATION WILL
BE THE SOLE AND EXCLUSIVE REMEDY FOR ANY SUCH CLAIM OR DISPUTE AGAINST EMPLOYER AND THAT, BY AGREEING TO USE ARBITRATION TO RESOLVE MY DISPUTE, BOTH EMPLOYER AND I AGREE TO FOREGO ANY RIGHT WE EACH MAY HAVE HAD TO A JURY TRIAL ON ISSUES COVERED BY
THIS AGREEMENT, AND FOREGO ANY RIGHT TO BRING CLAIMS ON A REPRESENTATIVE OR A CLASS MEMBER BASIS. 
  

									
	 EMPLOYER
	 		 		 	   EMPLOYEE
	 	
	 S&W Seed Company
	 		 		 		 	

									
					
	 Date
	 	 October 26, 2018
	 	     
	 	 Date
	 	 October 26, 2018

					
	 By
	 	 /s/ Mark Wong
	 		 	 Signature
	 	 /s/ Donald M. Panter

					
	 Title
	 	 President and Chief Executive Officer
	 		 	 Print Name
	 	 Donald M. Panter

					
		 		 		 	 Witness
	 	 /s/ Janet Panter

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00301-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00301-of-00352.parquet"}]]