i.行使后,认股权证股票将发送给持有人,通过其存托机构信托公司的存入或提取保管人系统(“Deposit or Withdrawal at Custodian”)将认股权证股票划入持有人或其指定人的余额账户中,而且前提是(A)公司成为该系统的参与者并且有有效的注册声明允许向持有人发行认股权证股票或再销售认股权证股票;或(B)认股权证股票符合第144号规则,允许持有人无限制地按现金失效行使认股权证股票。如果前提未满足,则通过向持有人指定的地址提供股票证书,以公司股份登记册上持有人或其指定人名下的名义,提供持有人根据该行使享有的认购权股票数量,并在接到行使通知书之后的一个交易日或标准交收期的交易日数之和更早的日期(“交付日期”)。此外,请注意,如果(除了无现金行使的情况外)聚合行权价的支付在认股权证交付日期之后12:00 P.m.纽约时间收到,则认股权证交付日期将延长一个交易日。通过提交行使通知书,持有人被视为已成为与本认股权证行使有关的认股权股票的记录持有人,无论认股权证股票的交付日期为何,只要在接到行使通知书后的一个交易日内接收到聚合行权价的支付或交易日数之和更早的标准交收期。如果由于任何原因,公司未能在认股权证股票交付日期之前向持有人交付认股权证股票,则公司应向持有人支付现金作为清偿货币,而不是罚款。对于每$1,000认股权证股票,公司应支付每个交易日$10的清偿货币(根据适用通用股票的加权平均价格(VWAP)),从认股权证股票交付日期后的交易日数逐日增加到第五个交易日为止,直至该认股权证股票交付或持有人撤回该行使。本节2(d)(i)中规定的清偿货币金额不应与购买协议中规定的相同清偿货币规定重复。公司同意保持参与FASt计划的转让代理,只要本认股权证有效并且可行使。此处“Standard Settlement Period”表示在行使通知书交付日生效的公司主要交易市场上拍卖,以交易日数表示的标准交收期。公司应通过信贷代理将此处购买的认股权证股份发送给持有人,方法是通过Depository Trust Company的存款或提款托管系统向持有人或其被指定人的账户存入资金,如果公司当时是该系统的参与者,并且(A)存在能够允许向持有人发行认股权证股份或将认股权证股份转售的有效注册声明,或者(B)此认股权正在通过无现金行使方式行使,否则将通过向持有人在行使通知中指定的地址交付一份由公司股份登记册登记的证书,注明持有人或其被指定人享有的根据该行使应获得的认股权证股份的数量,交付日期为提供行使通知之后的(i)押交通知给公司后的一个(1)交易日或(ii)押交通知给公司后的标准结算期的交易日数量,以较早者为准(该日期为“交付日期”)。在交付行使通知后,无论认股权证股份的交付日期为何,持有人在公司记录中均被视为由于该认股权已行使而成为认股权证股份的实际持有人,前提是(除无现金行使的情况外)应在(i)两(2)个交易日和(ii)交付行使通知后标准结算期(计入交付行使通知之日)之后的交易日数量内收到合计行使价款。如果因任何原因使公司未能在认股权交付日期前向持有人交付有关认股权证股份,公司应向持有人支付现金作为清偿损失而非罚款,每$1,000认股权证股份面值(基于通用股票的日期的成交均价)的每个交易日$10(在认股权交付日期后第三个交易日增至每个交易日$20),直至交付上述认股权证股份或持有人撤销该行使。公司同意只要该认股权仍然未解决且可以行使,就保持成为FASt计划的参与方转让代理。如本处使用,DWAC如果该公司是系统参与者,且(A)存在有效的注册声明允许向持有人发行认股权证股票或将认股权证股票作转售,或(B)认股权证股票符合144规则的转售要求(假设无现金行权),并且,通过向公司交付一份根据行使认股权的通知所需数量的认股权证股票的证书,以持有人或其指定人的名义在公司的股份注册册上登记,将认股权证股票交付给持有人指定的地址,交付日期为最早的(i)在通知行使期满两个(2)个交易日后,交付给公司通知书,(ii)在交付给公司的总行使价格后的一个(1)个交易日后,(iii)在向公司交付通知行使书后,由标准结算期的交易日数量确定的日期(该日期,”」)如果公司是该系统的参与者且(A)有生效的注册声明允许注册持有人发行认股权证的股票或通过注册持有人转售权证股票,或(B)认股权证股票符合144条规则的转售标准(假定认股证券是免费行权的),且注册持有人及其券商在此方面合理地向公司和其过户代理商提供一般性代表和文书记录之外的合乎情理的其他文件,则股票将通过物理交割交付一个证书,该证书已注册在该公司股份注册名册上,名称为注册持有人或其受让人,因此行使权证所述权利相应地发行的股票数量应在注册持有人在行使通知中指定的地址收到股票之日起的最早日期内交付证券交易日的第二个交易日之前,公告日期之后,一(1)个交易日后按照合格结算期的交易日数(3)公司收到行使通知之日后的交易日数,这些股票斥为“权证交付日期”。收到“行使通知”后,注册持有人将被认为已成为有关权证所述权利相应地发行的股票的名义持有人,而与股票交付的日期无关,前提是在前述情况下,除非(在非免费行权的情况下)支付相应的行使价格,否则必须在之早(一)两个交易日和(二)在交付行使价格之后构成合格结算期的交易日数内(除非是标准结算期的交易日数),必须接到注册持有人收到行使通知之后的交易日数,否则公司因任何原因未能将该行使通知所需的认股权证股票交付给注册持有人则在“权证交付日”之后第二个交易日,公司应支付该股票交付的公告日期之日的普通股证券的交易量加权平均价格(基于本条款中公开市场法人股票的VWAP)对于每个$1,000的认股权证股票,每交易日支付$10的违约赔偿金(在权证交付日期后的第五个交易日增加到$20的每交易日),直到其股票交付或持有人撤回此次行权。公司同意维持是最佳的快速证券过户系统参与的过户机构,只要此权证仍然是未行使的。在此中,“标准结算期”指公司在其主要股票交易所上所采用的与普通股票有关的结算规定,以股票的交易日数表示,其在转让通知之日有效。”). Upon delivery of the Notice of Exercise, the Holder shall be deemed for all corporate purposes to have become the holder of record of the Warrant Shares with respect to which this Warrant has been exercised, irrespective of the date of delivery of the Warrant Shares, provided that payment of the aggregate Exercise Price (other than in the case of a cashless exercise) is received within the earlier of (i) one (1) Trading Day and (ii) the number of Trading Days comprising the Standard Settlement Period following delivery of the Notice of Exercise. If the Company fails, for reasons within its control, to deliver to the Holder the Warrant Shares subject to a Notice of Exercise by the Warrant Share Delivery Date, the Company shall pay to the Holder, in cash, as liquidated damages and not as a penalty, for each $1,000 of Warrant Shares subject to such exercise (based on the VWAP of the Common Stock on the date of the applicable Notice of Exercise), $10 per Trading Day (increasing to $20 per Trading Day on the third Trading Day after the Warrant Share Delivery Date) for each Trading Day after such Warrant
Share Delivery Date until such Warrant Shares are delivered or Holder rescinds such exercise. The Company agrees to maintain a transfer agent that is a participant in the FASt program so long as this Warrant remains outstanding and exercisable. As used herein, “标准结算期” 意指根据行使通知书送达之日适用于公司主要交易市场上关于普通股的标准交割期,表示为交易日数。本处不应限制持有人按照本协议规定要求及时交付普通股的公司的权利,也不排除持有人根据法律或公平法寻求其他途径,包括但不限于就公司未按照本协议规定及时交付普通股的情况寻求具体履行和/或禁令救济。
ii.允许持有人进行行权的通知. If (A) the Company shall declare a dividend (or any other distribution in whatever form) on the Common Stock, (B) the Company shall declare a special nonrecurring cash dividend on or a redemption of the Common Stock, (C) the Company shall authorize the granting to all holders of the Common Stock rights or warrants to subscribe for or purchase any shares of capital stock of any class or of any rights, (D) the approval of any stockholders of the Company shall be required in connection with any reclassification of the Common Stock, any consolidation or merger to which the Company (or any of its Subsidiaries) is a party, any sale or transfer of all or substantially all of its assets, or any compulsory share exchange whereby the Common Stock is converted into other securities, cash or property, or (E) the Company shall authorize the voluntary or involuntary dissolution, liquidation or winding up of the affairs of the Company, then, in each case, the Company shall cause to be delivered by email to the Holder at its last email address as it shall appear upon the Warrant Register of the Company, at least 20 calendar days prior to the applicable record or effective date hereinafter specified, a notice stating (x)
the date on which a record is to be taken for the purpose of such dividend, distribution, redemption, rights or warrants, or if a record is not to be taken, the date as of which the holders of the Common Stock of record to be entitled to such dividend, distributions, redemption, rights or warrants are to be determined or (y) the date on which such reclassification, consolidation, merger, sale, transfer or share exchange is expected to become effective or close, and the date as of which it is expected that holders of the Common Stock of record shall be entitled to exchange their shares of the Common Stock for securities, cash or other property deliverable upon such reclassification, consolidation, merger, sale, transfer or share exchange; provided that the failure to deliver such notice or any defect therein or in the delivery thereof shall not affect the validity of the corporate action required to be specified in such notice. To the extent that any notice provided in this Warrant constitutes, or contains, material, non-public information regarding the Company or any of the Subsidiaries, the Company shall simultaneously file such notice with the Commission pursuant to a Current Report on Form 8-k. The Holder shall remain entitled to exercise this Warrant during the period commencing on the date of such notice to the effective date of the event triggering such notice except as may otherwise be expressly set forth herein.
b)权证遗失、被盗、毁损或毁纸
本公司承诺,在收到适当的证据证明本权证或任何与之有关的股票证明已遗失、被盗、毁损或毁纸,并在被盗、遗失或毁损的情况下,提供合理满意的安全或担保(在本权证的情况下,不包括任何债券型),并在退回和注销这样的权证或股票证明、如有毁损,公司将予以更换,发出新权证或股票证明,与上述注销日期相同,以取代权证或股票证明。. The Company covenants that upon receipt by the Company of evidence reasonably satisfactory to it of the loss, theft, destruction or mutilation of this Warrant or any stock certificate relating to the Warrant Shares, and in case of loss, theft or destruction, of indemnity or security reasonably satisfactory to it (which, in the case of the Warrant, shall not include the
posting of any bond), and upon surrender and cancellation of such Warrant or stock certificate, if mutilated, the Company will make and deliver a new Warrant or stock certificate of like tenor and dated as of such cancellation, in lieu of such Warrant or stock certificate.