EX-10.2 3 ex10-2.htm

 

附件10.2

 

此证券及此证券的可行权所涉及的证券均未经过美国证券交易委员会或任何国家证券委员会注册 , 或在证券法(已修订)的豁免下进行注册,并且因此,除遵守适用的州证券法规定外,可能不得以任何方式出售或出售。 持有本证券及其行权后发行的证券可作为担保质押,以获得诚信保证金账户或其他以以上证券为担保的贷款。

 

预先担保普通股购买认股权证

 

ETERNA 治疗公司。

 

认股证股份数: [__]   发行日期: [__]

 

这个 预先注资的普通股购买权证(”搜查令”) 证明,对于收到的价值,[__] 或其受让人( ”持有者”)根据条款、行使限制和下文设定的条件,有权这样做 第四,在本协议发布之日或之后的任何时候(”初始锻炼日期”) 直到本认股权证得到充分行使 (”终止日期”)但此后不行,向特拉华州的Eterna Therapeutics Inc. 订阅和购买 公司(”公司”),不超过上文 “认股权证” 旁边列出的普通股数量 股份”(根据下文可能进行调整,”认股权证”)。一股普通股的购买价格 根据第 2 (b) 节的定义,本认股权证下的股票应等于行使价。

 

部分 1. 定义本协议中使用但未另行定义的大写字词应按照《有关证券购买协议》(以下简称“购买协议公司和签署该协议的购买方之间于2024年9月24日签订的协议。

 

章节 2. 行权.

 

a) 权证行使行使此认股权证所代表的购买权可以在初始行使日期之后任何时间内全额或部分行使,并在终止日期之前通过电子邮件提交经正规执行的PDF副本(或电子邮件附件)的行使通知交付给公司,形式附于此的(本“行使通知”行使通知在(i)两个(2)交易日内或者(ii)标准结算期(在此定义的2(d)(i) 节中)的交易日数量之内的较早者一项。自上述行使日期,持有人应通过电汇或美国银行开出的现金支票支付适用行使通知中指定的认股权股票的总行使价格,除非在适用行使通知中指定了2(c)节下规定的无现金行使程序。不需要墨水原件行使通知,也不需要任何行使通知的印章担保(或其他类型的担保或公证)。尽管本合同另有规定,但持有人无需在将所有本合同下可购买的认股权股票全部购买并全额行使本合同之前将本认股权交付给公司,届时持有人应在交付最终行使通知至公司的日期后三(3)个交易日内将本认股权交付给公司予以注销。本合同部分行使将导致购买其下可购买的认股权股票总数的一部分,其效果是降低本合同下可购买的认股权股票的未行使数量,此数量等于已购买的认股权股票数。持有人和公司应保留记录,显示已购买的认股权股票数和购买日期。公司应在收到任何行使通知后一(1)个交易日内提出任何异议。 持有人和受让人在接受本权证时需承认,并同意,由于本段规定,根据本段,部分本权证股票的购买后,任何给定时间购买的本权证股票数量可能小于本权证面额中所述的金额。

 

 
 

 

b) 行使价格此认股权证的总行权价格,除每份认股权证股份的零点零零五美元的名义行权价格外, 已于最初行权日期或之前向公司预付,因此,行使该认股权证无需支付任何额外考虑(除每份认股权证股份的零点零零五美元的名义行权价格外)。持有人不得有权要求退还或退款任何已预付的总行权价格, 无论在任何情况下或任何理由下。本认股权证下普通股的剩余未支付行权价格为零点零零五美元,须按照本处所述进行调整(“行使价格”).

 

c) 无现金行权本权证还可以通过“无现金行使”的方式在任何时间进行全部或部分行使,持有人将有权获得一定数量的权证股票,其数量等于[(A-B) (X)] 除以 (A) 的商,其中:

 

  (A) = 根据适用情况:(i)如果相应的行权通知的日期不是交易日或在交易日的"regular trading hours"(定义见联邦证券法规下《NMS法规》第600(b)条规定)开盘前执行和送达,那么该通知执行之前的交易日的VWAP;(ii)投资者可以选择,要么是该通知执行之前交易日的VWAP,要么是彭博社报告的主要交易市场上的股票出价(Bid Price);(iii)如果行权通知的日期是交易日并且在当天"regular trading hours"(开盘后到收盘前)之后执行和送达,则是该行权通知的日期的VWAP。彭博社报道。在投资者行使通知在"regular trading hours"(交易日的开盘到收盘)期间执行并在两个小时内送达(包括交易日"regular trading hours"收盘后两小时内),要以投资者行使通知当时彭博社报告的主要交易市场上的股票出价(Bid Price)
       
  (B) = 在此处所确定的行权价格,经过此处之后的金额调整;和
       
  (X) = 根据本认股权的条款行使时,如以现金行使而非免现金行使,则按此免现金行使方式行使时将可发行的认股权份额的数量。

 

如果采用无现金行权形式发行认股权证股票,则双方同意根据《证券法》第3(a)(9)条的规定,认股权证股票应承担认股权证的特征,而发行的认股权证股票的保留期可以加到本认股权证的保留期上。公司同意不采取与本文第2(c)条相反的立场。

 

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买盘 价格对于任何日期,“成交量”是指适用以下规定的第一个日期确定的价格:(a) 如果普通股当时在交易市场上市或报价,则为当时在交易市场上市或报价的普通股的买盘价格(或最接近的前一日期),由彭博社报告(基于纽约市时间上午9:30到下午4:02的交易日),(b) 如果OTCQb或OTCQX不是交易市场,则为当天(或最近的前一日期)在OTCQb或OTCQX上普通股的成交量加权平均价格,(c) 如果普通股当时未在OTCQb或OTCQX上交易且当时普通股的价格在The Pink Open Market(或其职能继任机构或组织)上报告,则报告的普通股每股最近的买盘价格,或(d) 在所有其他情况下,普通股的每股公允市场价由投资者诚信选择且公司合理接受的独立评估师确定,其费用由公司支付。

 

“VWAP”表示任何日期上任何证券的美元成交量加权平均价格,在纳斯达克资本市场(或如果纳斯达克资本市场不是该证券的主要交易市场,那么在该证券的主要证券交易所或证券市场上,在该证券上从美国东部时间上午9:30开始,到美国东部时间下午4:00结束,在该证券上由彭博社通过其“VAP”功能报告的美元成交量加权平均价格(设置为9:30开始时间和16:00结束时间);如果上述情况不适用,则为在该证券的场外市场上,该证券的电子公告板在美国东部时间上午9:30开始,到美国东部时间下午4:00,在彭博社报告的美元成交量加权平均价格,或者如果没有任何市场商报告该证券的美元成交量加权平均价格,则该证券市场制造商的最高收盘买入价与最低收盘卖出价的平均值从The Pink Open Market(或类似的机构或代理机构继承其报告价格的功能)或其他方式获得。如果无法计算该日期上该安全的VWAP,则该日期上该安全的VWAP将是我们和债券持有人共同确定的公平市场价值。如果我们和债券持有人无法就该证券的公平市场价值达成一致意见,那么这种争议应根据条款中规定的程序解决。对于所有这些决定应适当调整任何股票股利、股票分割、股票组合、资本重组或其他类似交易的加权平均价格。对于任何日期,“价格”指适用于以下第一款的价格:(a) 如果普通股当时在交易市场上市或报价,则普通股在该日期的每日成交量加权平均价格(或最近的前一日期)在当时普通股上市或报价的交易市场上由彭博社报告(根据9:30 a.m. (纽约时间) 到 4:02 p.m. (纽约时间) 的交易日计算出来的),(b) 如果OTCQb或OTCQX不是一个交易市场,则普通股在该日期的每日成交量加权平均价格(或最近的前一日期),适用于OTCQb或OTCQX,(c) 如果普通股当时未在OTCQb或OTCQX上上市或报价,并且如果当时普通股的价格是在“粉红开市”上报告的,最近报告的每股普通股的买盘价,或(d)在所有其他情况下,普通股每股的公允市值,由持有人诚信选择的独立评估师确定,并且对公司具有合理可接受性,其费用和开支由公司支付。

 

d) 运动的力学.

 

i. 行使后交付认股权证股份。本公司须使本公司下所购买的认股权证股份由 透过将持有人或其指定人的余额账户存入存款机构,向持有人转让代理人存入 信托公司通过存款或提款系统(」杜瓦克」) 如果转让代理是参与者 在该系统中,并且 (A) 有一份有效的注册声明,允许发行认股权证股份或转售 持有人的认股权证股份或 (B) 认股权证股份有资格由持有人转售,而不包括销售数量或方式 根据第 144 条(假设无现金行使认证)而根据规则的限制,以及以实体交付注册证明书的限制 在本公司的股份登记册中,以持有人或其指定的人名义,用于持有人的认股权证股份数目 根据该行使,可于最早的日期前往持有人在行使通知所指明的地址 为 (i) 交付行使通知后的两 (2) 个交易日,(ii)交付行使通知后的一 (1) 交易日 向本公司的总行使价及 (iii) 交付后标准结算期的交易日数 向公司发出行使通知(如日期,」认股权证交付日期」)。发出通知后 行使之后,持有人在所有公司用途中被视为已成为认股权证股份的记录持有人。 不论授权证股份的交付日期如何,否则已行使本认股权证的资料,但须支付总额 行使价(非现金行使的情况除外)在 (i) 两 (2) 交易日及 (ii) 交易日之前收到 交付行使通知后的标准结算期内的交易日数。如果公司失败 本公司在认股权证交付日期前提供行使通知的权证股份向持有人交付任何理由 须以现金支付持有人,以清算的损害,而不作为罚款,向持有人支付每一港币 1,000 元的认股权证股 (根据适用行使通知当日的普通股的 VWAP),每个交易日 10 美元(增加至每个 20 美元) 此类认股权证交付后的每个交易日,该等清算损害开始累积后的第五个交易日) 交付认股权证股份或持有人撤销该行使之日期。本公司同意维持一名转让代理人: 只要本认证仍未偿还及可行使,则参与 FaST 计划的参与者。如此所使用,」标准结算 期间」指本公司主要交易的标准结算期(以交易天数表示) 在发出行使通知之日起生效的普通股市场。

 

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ii. 行使期权时领取新的认股权证如果此认股权部分行使,公司应在持有人要求并缴回本认股权时,交付认股股份时,向持有人交付一份新的认股权,证明持有人有权购买此认股权所要求但未购买的股份,该新认股权在其他所有方面应与本认股权相同。

 

iii. 撤销权若公司未能要求过户代理按照第2(d)(i)条文于认股股份交付日期将认股权股票转交予持有人,则持有人将有权在认股权股票交付日期前随时向公司发送书面通知来撤销该次认股。

 

iv. 行使时未能及时交付认股权证股份之买入赔偿。除了可用的任何其他权利之外 持有人,如果公司未能让转让代理人根据条文将认股权证股份转交给持有人 根据认股权证交付日期或之前行使,以上第 2 (d) (i) 条的行使,如果在该日期之后需要持有人 由其经纪人购买(以开放市场交易或其他方式进行)或持有人的经纪公司以其他方式购买 持有人,以满足持有人预期的认股权证股份买卖而交付普通股份 在此类行动时接收(a」买入」),则本公司应 (A) 以现金支付持有人的金额(如有), 其中 (x) 持有人所购买的普通股股份的总购买价格(包括经纪佣金(如有) 超过 (y) 乘以 (1) 公司必须交付给持有人的认股权证股数量而获得的金额 与发行时间 (2) 行使有关的执行导致该购买义务的卖出指令的价格, 及 (B) 根据持有人的选择,可以恢复认股权证的部分及相等数目的认股权证股份 行使未被履行(在这种情况下,该行使将被视为已撤销)或向持有人交付普通股数 如果本公司及时遵守本公司下的行使及交付义务,该股票将会发行的股票。例如, 如持有人购买总购买价为 11,000 元的普通股,以支付有关尝试行使的买入 根据立即第 (A) 条的普通股股份,其总售价引起该等购买义务为 10,000 元 前一句,公司须向持有人支付 $1,000。持有人须向公司提供书面通知,指明 有关买入向持有人应付的金额,以及根据公司的要求,证明该等损失金额的证据。没什么 本文将限制持有人根据本条文、法律或公平方式采取其他补救措施的权利,包括: 限制、有关本公司未能及时交付股份的特定表现及/或令救济的裁定 根据本条款的规定行使本认股权证时使用普通股票。

 

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v. 没有碎股或代码股不得发行碎股或代码股以代表此认股权的碎股。对于股东在行使此认股权时将否则有权购买的任何股票的一部份,公司可选择于现金进行调整,其调整金额相等于此部份股份乘上认股价,或者四舍五入至下一完整股份。

 

vi. 费用、税项和支出发行认股权证股份将不收持有人任何发行或转让税或其他相关费用,所有这些税费和费用由公司支付,这些认股权证股份将以持有人的名义或持有人指示的其他名称发行; 提供, 但是但是,如果认股权证股份将以持有人的名称以外的名称发行,则在行使认股权证时须附上本附属的转让表由持有人正式执行,并且公司可能作为条件要求支付足够的款项以偿还任何附带的转让税。公司将支付所有转让代理商费用,以便于当天处理任何行使通知,并支付所有与托管信托公司(或其他执行相似职能的建立的清算公司)相关之当天电子交付认股权证股份所需的费用。

 

vii. 结帐公司不得以任何方式关闭股东记录或帐目,以使根据本权证的条款及时行使权利。

 

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e) 持有人行使限制公司不得行使本认股权,持有人也没有权利行使本认股权的任何部分,根据第2条或其他途径行使认股权的部分,从发出行使通知书进行行使后的发行(如适用的行使通知书中所载),持有人(连同持有人的关联企业以及与持有人或任何持有人关联企业组成集团的任何其他人(这些人,“其他”))将持有超过有利持股的限制(如下所定义)。对于上述句子,持有人及其关联企业和归因方所持有的普通股的数量将包括进行该决定所需的行使本认股权的普通股数量,但不包括持有人或其关联企业或归因方尚未行使的本认股权的剩余未行使部分以及受限于本认股权所载类似限制的其他公司证券(包括但不限于其他普通股等)的剩余未行使或未转换部分的行使或转换的普通股数量。除上述句子所述外,对于本第2条(e)条条款的目的,有利持有权将按照交易所法第13(d)条以及其下颁布的规则和法规进行计算,持有人承认公司不是在向持有人保证此种计算符合交易所法第13(d)条的要求,持有人对根据该法要求提交的任何资料负有独立责任。在本2(e)条的限制适用范围内,本认股权是否可行使(与持有人或其关联企业和归因方拥有的其他证券相关)以及本认股权的哪一部分可行使的决定将由持有人自行决定,行使通知书的提交将被视为持有人对本认股权是否可行使(与持有人或其关联企业和归属方持有的其他证券相关)以及本认股权的哪一部分可行使的确定,但需受有利持股限制的限制,而公司无义务核实或确认该确定的准确性。此外,如上所述,有关以上任何集团身份的确定将按照交易所法第13(d)条及其下颁布的规则和法规进行确定。对于本第2(e)条的目的,在确定普通股的已发行股份的数量时,持有人可以依赖以下信息:(A)公司提交给委员会的最新定期或年度报告,(B)公司的最新公告,或(C)公司或过户代理最新的书面通知,列明已发行的普通股的数量。在持有人的书面或口头请求下,公司将在一个交易日内口头和书面确认持有人当时的普通股数量。在任何情况下,发行普通股的数量应在考虑到自该普通股数量报告以来持有人或其关联企业或归属方根据本认股权的转换或行使,包括该日以来的日期,以及其他公司证券的转换或行使的影响下进行确定。归属者若本文件中所定义的受益拥有限制超过其受益性拥有之普通股数量。对于前述句子而言,由持有人及其联属方和归因方受益拥有之普通股股数将包括根据进行该决定的本认股权行使所能获得的普通股股数,但将不包括持有人或其联属方或归因方受益拥有之本认股权未行使部分的普通股股数,以及可能出现的(一)持有人或其联属方或归因方受益拥有之其他公司证券的未行使或未转换部分,包括但不限于受限于类似于此处所含限制之转换或行使的其他普通股同等物所受益拥有之普通股股数。除本区别于上述句子中载明之事项外,拥有权之计算将根据《交易法》第13(d)条及相应的规则和条例进行,持有人确认公司并未向持有人保证此种计算符合《交易法》第13(d)条的要求,并且持有人承担任何依据其所需档案及依照本区别所需进行之计算。在适用本区别的范围内,关于本认股权是否可行使(与持有人及其联属方和归因方共同拥有之其他证券有关)及哪一部分本认股权可行使的决定将由持有人独自裁定,并提交行使通知应视为持有人对本认股权是否可行使(与持有人及其联属方和归因方共同拥有之其他证券有关)及哪一部分本认股权可行使的决定,皆受受益拥有限制之约束,并且公司无义务验证或确认该决定之准确性。此外,如上所述,任何上述群体状态之决定将按照《交易法》第13(d)条及相应的规则和条例进行。对于本区别,于确定普通股的现有股数时,持有人可以依赖(A)公司向证券交易委员会提交的最近周期性或年度报告,(B)公司最近公开发布的声明,或(C)公司或转让代理提供的最近书面通知中列出的现有普通股股数。在持有人书面请求时,公司将在一个交易日内向持有人口头和书面确认当时现有的普通股股数。在任何情况下,普通股的现有股数将在报告此类现有普通股股数的日期之后,考虑到自那日期以来持有人或其联属方或归因方转换或行使公司证券(包括本认股权)后的情况来确定。《有益所有权限制》”应为已发行的普通股股份的9.99%,即在对此认股权行使后立即有效。持有人可在书面通知公司后,增加或减少本第2(e)条所规定的持有权利限制条款,但持有权利限制在任何情况下均不得超过对此认股权行使后持有的普通股股份总数的9.99%,本第2(e)条的规定将继续适用。 增加持有权限制条款将自书面通知交付给公司后61天生效。如果根据《证券交易法》第13(d)条确定,此认股权行使后向持有人发行普通股将使持有人和其他归属方的聚合受益所有权超过持有权限制,则应将已发行的股份中的将使持有人和其他归属方的聚合受益所有权超过持有权限制的股份("超额股份")视为无效并将自始无效,任何这种认股权的部分即将得以行使,并且持有人将不具有投票权或转让超额股份。 为明确起见,根据此认股权条款发行的普通股股份超出持有权限制将不被视为任何目的的持有权,包括《证交法》第13(d)条或Exchange Act规则16a-1(a)(1)的目的。本第2(e)条的条款在解释和实施时应与所记载的内容不严格一致,以更正本第2(e)条(或其任何部分)中可能存在的缺陷或不一致性,请做出必要或适当的改变或补充来正确实现此限制。本第2(e)条的限制将适用于此认股权的继任持有人。st 在这些书面通知交付给公司后61天生效。如果根据《证券交易法》第13(d)条确定,根据此认股权行使向持有人发行普通股股份将导致持有人和其他归因方从聚合上被认定属有更多的受益所有权限制(根据交易所法第13(d)条确定),则超额股份将被视为无效并将被从始至终取消,并且已行使本认股权的任何部分应予恢复,持有人将无权投票或转让超额股份。 为了明确起见,根据本认股权条款发行的普通股股份超出受益所有权限制将不被视为持有人不得利用的任何目的,包括根据《证券交易法》第13(d)条或交易所法规16a-1(a)(1)的目的。本第2(e)条的规定将按照一种与此处载明的期限并不严格一致的方式来解释和实施,以更正本第2(e)条(或其任何部分)可能存在的缺陷或与本意受益拥有权限制背越或对其进行必要或有必要进行变更或补充以使之正确实施此限制。本第2(e)条的限制将适用于此认股权的继任持有人。

 

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第三部分 3. 特定的调整.

 

a) 送转股和股票分割如果公司在本认股权仍有效期间的任何时间:(i) 发放股息或以其他方式进行派息,派发公司普通股或任何其他权益或权益等价证券,支付普通股(但明确排除公司于本权证行使时发行的任何普通股),(ii) 把现有的普通股细分为更多的股份,(iii) 合并(包括通过逆向股票拆分方式) 将现有的普通股合并为少量的股份,或(iv) 通过将普通股重新分类而发行任何公司资本股,则在每种情况下,行使价格将乘以一个分数,分子为该事件前(不包括如有的库存股份)的普通股(如果有)的股份数,分母为该事件后(不包括如有的库存股份)的普通股(如果有)的股份数,并将根据比例调整本认股权的行使股份数,以确保本认股权的总行使价保持不变。根据本第3(a)条进行的任何调整将立即生效,在确定有权收到此类股息或分派的股东的记录日期后立即生效,并在细分、合并或重新分类的情况下在生效日期后立即生效。

 

b) 随后的权益发行除了根据上述第3(a)条进行的任何调整外,如果公司在任何时候按比例向普通股记录持有人发放、发行或出售任何普通股相当物或购买权、认股权证、证券或其他财产(“ 其他权益 ”) ,则持有人有权根据适用于该购买权的条款收购持有人在认股权完全行使之前拥有的普通股数量(不考虑对本认股权的任何行使限制,包括但不限于有利権限制) ,无论是在为了发放、发行或出售该购买权而采取记录的日期之前,或者如果没有采取此类记录,则应该决定普通股记录持有人以用于发放、发行或出售该购买权的日期之前,购买权,则持有人将有权根据适用于该购买权的条款收购持有人在完全行使本认股权时可以收购的累计购买权,而不考虑任何对本认股权的行使限制(包括但不限于有利権限制),就在采取记录的日期之前,该记录是为了发放、发行或出售该购买权,或者如果没有采取此类记录,则用于决定普通股记录持有人以进行发放、发行或出售该购买权的日期(提供, 但是,使股票持有人的参与任何此类购股权益的权利导致持有人超过受益所有权限制,则持有人将无权参与此类购股权利至该程度(或因此类购股权益而导致对 Common Stock 的受益所有权至此程度)并应将该等购股权益至该程度暂停等候股票持有人,直至其具有享有该权益而不会导致股票持有人超过受益所有权限制的时候(如果有的话)。

 

c) 按比例分配在本期权有效期之内,如果公司宣布或进行任何资产派息或其他分配(或权利)给持有普通股的股东,以资本返还或其他方式(包括但不限于以股息、红利分派、重新分类、重组、安排计划或其他类似交易的现金、股票、其他证券、财产或期权分配),则本「分配如果本认股权证发行后公司任何时候宣布或发布为普通股股东宣布或分配其资产(或购买资产的权利)的股息或其他分配,包括但不限于通过股息分派、剥离、重分类、公司重组、安排计划或类似交易而分配现金、股票、其他证券、财产或期权,那么在每种情况下,持有人应有权按照持有人的普通股股份行使完整全部认股权证(不考虑任何行使条款限制,包括但不限于享益股份限制)可以获得的普通股份所应享有的参与权利,与公司将其股东记录下来的股东按持有比例及以前所述基础确定的纪录股东受益的比例相同。但是,如果持有人参与任何此类分配的权利会导致其超过享益股份限制,那么持有人将不被允许参与任何此类分配,其中的相应股份将被暂停,以使持有人不会超过享益股份限制。提供, 但是在Holder的权利参与任何上述分配的范围内将导致Holder超出利益所有权限制的程度,则Holder将不得参与该等分配的该等范围(或因该等分配的结果导致普通股股份的任何有利所有权以及该等范围内),并且该等分配的部分将被搁置,以利于Holder,直到在任何情况下,直到其享有该等权利不会导致Holder超出利益所有权限制为止)。

 

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d) 基本交易。如果在本认证尚未偿还期的任何时间,(i) 本公司直接或间接在一或 更多相关交易会影响本公司与或成为其他人士、(ii) 公司(或任何附属公司)的任何合并或合并, 直接或间接影响全部或主要的任何销售、租赁、授权、转让、转让、转让或其他处置 其在一笔或一系列相关交易中的所有资产,(iii) 任何直接或间接的购买发售、招标或交换 根据该公司或其他人士进行的发售,根据公司股份持有人可以出售、投标 或将其股份兑换其他证券、现金或财产,并已被持有 50% 或以上未偿还款项的持有人接受 普通股股份,(iv) 本公司直接或间接在一或多个相关交易中进行任何重新分类、重组 或根据该普通股有效转换的普通股或任何强制性股份交易所重资本化 进入或兑换其他证券、现金或财产,或 (v) 本公司直接或间接在一或多个相关交易中 完成股票或股份购买协议或其他业务合并(包括但不限于重组、资本资本化、 与另一个人或一组人士分配、合并或安排计划),而该等其他人或集团收购超过 未发行普通股的 50%(不包括其他人或其他人所持有的任何普通股股份 或与该等股票或股份购买协议或其他业务的其他人士或与其他人士相关联或关联 组合)(每个 a」基本交易」),然后,在任何后续行使本认证时,持有人须 有权针对于事件发生前立即可发行时可发行的每份认股证股份获得 根据持有人的选择进行该基本交易(不考虑第 2 (e) 条对行使此项有关的任何限制。 认股权证),继承人或收购公司或本公司(如果是存在的公司)的普通股数目, 以及任何额外考量(」替代考虑」) 因此基本交易所得的应收 由于该基本交易前可立即行使本认股权证的普通股份数目的持有人 (不考虑第 2 (e) 条对行使本令的任何限制)。就任何此类行动而作出的目的,决定 行使价须根据替代代价金额适当调整,以适当适用于该等替代代价 可就该基本交易中发行一股普通股,并且本公司须分配行使价 以合理的方式,反映替代考虑的任何不同组成部分的相对价值。 如普通股持有人在基本交易中获得的证券、现金或财产有任何选择, 持有人在此后行使本认股权证时,须与其获得的替代代价格相同的选择 基本交易。本公司应在基本交易中造成任何继承实体,而该公司不是幸存者 (」继承实体」) 以书面承担本公司根据本认股证及其他责任 根据本第 3 (e) 条的条文,根据合理的形式和内容的书面协议进行交易文件 在进行该基本交易之前,对持有人满意并获持有人批准(不合理的延迟),并须于 持有人的选择,向持有人交换本认股证,以书面证明继承人实体的证券 文书在形式和内容上与本认股权证相似,可以对相应数目的资本行使的文书 该继承实体(或其母公司)的股票,相等于行使时可获得和应收的普通股股份 在进行该基本交易前的本认证(不考虑本认证的行使任何限制),以及 将下述行使价适用于此类资本股份的行使价(但考虑相对价值) 根据该基本交易所发出的普通股份及该等资本股份的价值,该数目: 为了保障本认股权证的经济价值之前的资本股份及该等行使价 至完成该基本交易),并对持有人的形式和实质合理满意。在 如发生任何此类基本交易,继承实体应取代并取代(以便从后开始和之后) 该基本交易的日期、本认股权证的条文及有关「本公司」的其他交易文件 应代替代替代人实体),并可行使本公司的所有权利和权力,并应承担所有义务 根据本认股权证及其他交易文件,该公司的效力与该继任实体已被命名时相同 作为本公司。

 

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e) 计算。根据本第三条款的所有计算,应四舍五入至最接近的分(cent)或最接近的1/100股份,具体情况而定。根据本第三条款的规定,截至特定日期,被视为发行和流通的普通股份数量,应为发行和流通的普通股份数量之总和(如有库藏股,则不计)。

 

f) Notice to Holder.

 

i. Adjustment to Exercise Price. Whenever the Exercise Price is adjusted pursuant to any provision of this Section 3, the Company shall promptly deliver to the Holder by email a notice setting forth the Exercise Price after such adjustment, any resulting adjustment to the number of Warrant Shares, and a brief statement of the facts requiring such adjustment.

 

ii. Notice to Allow Exercise by Holder. 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 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 email address as it shall appear upon the Warrant Register, 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 by the Company to the Holder under this Warrant constitutes, or contains, material, non-public information regarding the Company or any of the Subsidiaries, the Company shall simultaneously disclose such information in a report filed with the Commission. 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.

 

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Section 4. Transfer of Warrant.

 

a) Transferability. Subject to compliance with any applicable securities laws and the conditions set forth in Section 4(d) hereof and to the provisions of Section 4.1 of the Purchase Agreement, this Warrant and all rights hereunder (including, without limitation, any registration rights) are transferable, in whole or in part, upon surrender of this Warrant at the principal office of the Company or its designated agent, together with a written assignment of this Warrant substantially in the form attached hereto duly executed by the Holder or its agent or attorney and funds sufficient to pay any transfer taxes payable upon the making of such transfer. Upon such surrender and, if required, such payment, the Company shall execute and deliver a new Warrant or Warrants in the name of the assignee or assignees, as applicable, and in the denomination or denominations specified in such instrument of assignment, and shall issue to the assignor a new Warrant evidencing the portion of this Warrant not so assigned, and this Warrant shall promptly be cancelled. Notwithstanding anything herein to the contrary, the Holder shall not be required to physically surrender this Warrant to the Company unless the Holder has assigned this Warrant in full, in which case, the Holder shall surrender this Warrant to the Company within three (3) Trading Days of the date on which the Holder delivers an assignment form to the Company assigning this Warrant in full. The Warrant, if properly assigned in accordance herewith, may be exercised by a new holder for the purchase of Warrant Shares without having a new Warrant issued.

 

b) New Warrants. This Warrant may be divided or combined with other warrants issued under the Purchase Agreement upon delivery of this Warrant to the principal executive offices of the Company, together with a written notice specifying the names and denominations in which new Warrants are to be issued, signed by the Holder or its agent or attorney. Subject to compliance with Section 4(a), as to any transfer which may be involved in such division or combination, the Company shall execute and deliver a new Warrant or Warrants in exchange for the Warrant or Warrants to be divided or combined in accordance with such notice. All Warrants issued on transfers or exchanges shall be dated the Issue Date first set forth above and shall be identical with this Warrant except as to the number of Warrant Shares issuable pursuant thereto.

 

c) Warrant Register. The Company shall register this Warrant, upon records to be maintained by the Company for that purpose (the “Warrant Register”), in the name of the record Holder hereof from time to time. The Company may deem and treat the registered Holder of this Warrant as the absolute owner hereof for the purpose of any exercise hereof or any distribution to the Holder, and for all other purposes, absent actual notice to the contrary.

 

d) Transfer Restrictions. If, at the time of the surrender of this Warrant in connection with any transfer of this Warrant, the transfer of this Warrant shall not be either (i) registered pursuant to an effective registration statement under the Securities Act and under applicable state securities or blue sky laws or (ii) permitted under Rule 144 without volume or manner-of-sale restrictions or current public information requirements, the Company may require, as a condition of allowing such transfer, that the Holder or transferee of this Warrant, as the case may be, comply with the provisions of Section 4.1 of the Purchase Agreement.

 

e) Representation by the Holder. The Holder, by the acceptance hereof, represents and warrants that it is acquiring this Warrant and, upon any exercise hereof, will acquire the Warrant Shares issuable upon such exercise, for its own account and not with a view to or for distributing or reselling such Warrant Shares or any part thereof in violation of the Securities Act or any applicable state securities law, except pursuant to sales registered or exempted under the Securities Act.

 

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Section 5. Miscellaneous.

 

a) No Rights as Stockholder Until Exercise; No Settlement in Cash. This Warrant does not entitle the Holder to any voting rights, dividends or other rights as a stockholder of the Company prior to the exercise hereof as set forth in Section 2(d)(i), except as expressly set forth in Section 3. Without limiting any rights of a Holder to receive Warrant Shares on a “cashless exercise” pursuant to Section 2(c) or to receive cash payments pursuant to Section 2(d)(i) and Section 2(d)(iv) herein, in no event shall the Company be required to net cash settle an exercise of this Warrant.

 

b) Loss, Theft, Destruction or Mutilation of Warrant. 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.

 

c) Saturdays, Sundays, Holidays, etc. If the last or appointed day for the taking of any action or the expiration of any right required or granted herein shall not be a Trading Day, then such action may be taken, or such right may be exercised on the next succeeding Trading Day.

 

d) Authorized Shares.

 

The Company covenants that, during the period the Warrant is outstanding, it will reserve from its authorized and unissued Common Stock a sufficient number of shares to provide for the issuance of the Warrant Shares upon the exercise of any purchase rights under this Warrant. The Company further covenants that its issuance of this Warrant shall constitute full authority to its officers who are charged with the duty of issuing the necessary Warrant Shares upon the exercise of the purchase rights under this Warrant. The Company will take all such reasonable action as may be necessary to assure that such Warrant Shares may be issued as provided herein without violation of any applicable law or regulation, or of any requirements of the Trading Market upon which the Common Stock may be listed. The Company covenants that all Warrant Shares which may be issued upon the exercise of the purchase rights represented by this Warrant will, upon exercise of the purchase rights represented by this Warrant and payment for such Warrant Shares in accordance herewith, be duly authorized, validly issued, fully paid and nonassessable and free from all taxes, liens and charges created by the Company in respect of the issue thereof (other than taxes in respect of any transfer occurring contemporaneously with such issue).

 

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Except and to the extent as waived or consented to by the Holder, the Company shall not by any action, including, without limitation, amending its certificate of incorporation or through any reorganization, transfer of assets, consolidation, merger, dissolution, issue or sale of securities or any other voluntary action, avoid or seek to avoid the observance or performance of any of the terms of this Warrant, but will at all times in good faith assist in the carrying out of all such terms and in the taking of all such actions as may be necessary or appropriate to protect the rights of Holder as set forth in this Warrant against impairment. Without limiting the generality of the foregoing, the Company will (i) not increase the par value of any Warrant Shares above the amount payable therefor upon such exercise immediately prior to such increase in par value, (ii) take all such action as may be necessary or appropriate in order that the Company may validly and legally issue fully paid and nonassessable Warrant Shares upon the exercise of this Warrant and (iii) use commercially reasonable efforts to obtain all such authorizations, exemptions or consents from any public regulatory body having jurisdiction thereof, as may be, necessary to enable the Company to perform its obligations under this Warrant.

 

Before taking any action that would result in an adjustment in the number of Warrant Shares for which this Warrant is exercisable or in the Exercise Price, the Company shall obtain all such authorizations or exemptions thereof, or consents thereto, as may be necessary from any public regulatory body or bodies having jurisdiction thereof.

 

e) Jurisdiction. All questions concerning the construction, validity, enforcement and interpretation of this Warrant shall be determined in accordance with the provisions of the Purchase Agreement.

 

f) Restrictions. The Holder acknowledges that the Warrant Shares acquired upon the exercise of this Warrant, if not registered, and the Holder does not utilize cashless exercise, will have restrictions upon resale imposed by state and federal securities laws.

 

g) Nonwaiver and Expenses. No course of dealing or any delay or failure to exercise any right hereunder on the part of Holder shall operate as a waiver of such right or otherwise prejudice the Holder’s rights, powers or remedies. Without limiting any other provision of this Warrant or the Purchase Agreement, if the Company willfully and knowingly fails to comply with any provision of this Warrant, which results in any material damages to the Holder, the Company shall pay to the Holder such amounts as shall be sufficient to cover any costs and expenses including, but not limited to, reasonable attorneys’ fees, including those of the appellate proceedings, incurred by the Holder in collecting any amounts due pursuant hereto or in otherwise enforcing any of its rights, powers or remedies hereunder.

 

h) Notices. Any notice, request or other document required or permitted to be given or delivered to the Holder by the Company shall be delivered in accordance with the notice provisions of the Purchase Agreement.

 

i) Limitation of Liability. No provision hereof, in the absence of any affirmative action by the Holder to exercise this Warrant to purchase Warrant Shares, and no enumeration herein of the rights or privileges of the Holder, shall give rise to any liability of the Holder for the purchase price of any Common Stock or as a stockholder of the Company, whether such liability is asserted by the Company or by creditors of the Company.

 

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j) Remedies. The Holder, in addition to being entitled to exercise all rights granted by law, including recovery of damages, will be entitled to specific performance of its rights under this Warrant. The Company agrees that monetary damages would not be adequate compensation for any loss incurred by reason of a breach by it of the provisions of this Warrant and hereby agrees to waive and not to assert the defense in any action for specific performance that a remedy at law would be adequate.

 

k) Successors and Assigns. Subject to applicable securities laws, this Warrant and the rights and obligations evidenced hereby shall inure to the benefit of and be binding upon the successors and permitted assigns of the Company and the successors and permitted assigns of Holder. The provisions of this Warrant are intended to be for the benefit of any Holder from time to time of this Warrant and shall be enforceable by the Holder or holder of Warrant Shares.

 

l) Amendment. This Warrant may be modified or amended, or the provisions hereof waived, only with the written consent of the Company and the Holder.

 

m) Severability. Wherever possible, each provision of this Warrant shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this Warrant shall be prohibited by or invalid under applicable law, such provision shall be ineffective to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions or the remaining provisions of this Warrant.

 

n) Headings. The headings used in this Warrant are for the convenience of reference only and shall not, for any purpose, be deemed a part of this Warrant.

 

o) Execution. This Warrant may be executed and delivered by e-mail delivery of a “.pdf” or similar format data file, in which case such signature shall create a valid and binding obligation of the party executing (or on whose behalf such signature is executed) with the same force and effect as if such “.pdf” or similar format signature page were an original thereof.

 

********************

 

(Signature Page Follows)

 

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IN WITNESS WHEREOF, the Company has caused this Warrant to be executed by its officer thereunto duly authorized as of the date first above indicated.

 

  ETERNA THERAPEUTICS INC.
     
  By:                   
  Name:  
  Title:  

 

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NOTICE OF EXERCISE

 

To: ETERNA THERAPEUTICS INC.

 

(1) The undersigned hereby elects to purchase ________ Warrant Shares pursuant to the terms of the Warrant with an Issue Date of _________ and tenders herewith payment of the exercise price in full, together with all applicable transfer taxes, if any. The Warrant accompanies this Notice of Exercise if the Warrant is being exercised in full.

 

(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: ___________________________________________________________________________________________

 

 
 

 

EXHIBIT B

 

ASSIGNMENT FORM

 

(To assign the foregoing Warrant, execute this form and supply required information. Do not use this form to exercise the Warrant to purchase shares.)

 

FOR VALUE RECEIVED, the foregoing Warrant and all rights evidenced thereby are hereby assigned to

 

Name:    
Address:    
     
Phone Number:    
Email Address:    
Dated:    
Holder’s Name:    
Holder’s Signature:    
Holder’s Address: