(a)	[ ]	Broker or Dealer registered under Section 15 of the Act.

(b)	[ ]	Bank as defined in Section 3(a)(6) of the Act.

(c)	[ ]	Insurance Company as defined in Section 3(a)(19) of the Act.

(d)	[ ]	Investment Company registered under Section 8 of the Investment Company Act.

(e)	[X]	Investment Adviser registered in accordance with Rule 13d-1(b)(1)(ii)(E).

(f)	[ ]	Employee Benefit Plan or Endowment Fund in accordance with Rule 13d–1(b)(1)(ii)(F).

(g)	[ ]	Parent Holding Company or control person in accordance with Rule 13d-1(b)(1)(ii)(G).

(h)	[ ]	A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.

(i)	[ ]	A church plan that is excluded from the definition of an investment company under Section 3(c) (14) of the Investment Company Act of 1940.

(j)	[ ]	Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

		If this Statement is filed pursuant to Rule 13d-1(c), check this box [ ].

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Page 11 of 13

13G Filing: Wynnefield Capital and S&W Seed Company (SANW)

Page 11 of 13 – SEC Filing