附件10.2
此證券及此證券的可行權所涉及的證券均未經過美國證券交易委員會或任何國家證券委員會註冊 , 或在證券法(已修訂)的豁免下進行註冊,並且因此,除遵守適用的州證券法規定外,可能不得以任何方式出售或出售。 持有本證券及其行權後發行的證券可作爲擔保質押,以獲得誠信按金帳戶或其他以以上證券爲擔保的貸款。
預先擔保普通股購買認股權證
ETERNA 治療公司。
認股證股份數: | [__] | 發行日期: | [__] |
這個 預先注資的普通股購買權證(”搜查令”) 證明,對於收到的價值,[__] 或其受讓人( ”持有者”)根據條款、行使限制和下文設定的條件,有權這樣做 第四,在本協議發佈之日或之後的任何時候(”初始鍛鍊日期”) 直到本認股權證得到充分行使 (”終止日期”)但此後不行,向特拉華州的Eterna Therapeutics Inc. 訂閱和購買 公司(”公司”),不超過上文 「認股權證」 旁邊列出的普通股數量 股份”(根據下文可能進行調整,”認股權證”)。一股普通股的購買價格 根據第 2 (b) 節的定義,本認股權證下的股票應等於行使價。
部分 1. 定義本協議中使用但未另行定義的大寫字詞應按照《有關證券購買協議》(以下簡稱“購買協議公司和簽署該協議的購買方之間於2024年9月24日簽訂的協議。
章節 2. 行權.
a) 權證行使行使此認股權證所代表的購買權可以在初始行使日期之後任何時間內全額或部分行使,並在終止日期之前通過電子郵件提交經正規執行的PDF副本(或電子郵件附件)的行使通知交付給公司,形式附於此的(本「行使通知」行使通知在(i)兩個(2)交易日內或者(ii)標準結算期(在此定義的2(d)(i) 節中)的交易日數量之內的較早者一項。自上述行使日期,持有人應通過電匯或美國銀行開出的現金支票支付適用行使通知中指定的認股權股票的總行使價格,除非在適用行使通知中指定了2(c)節下規定的無現金行使程序。不需要墨水原件行使通知,也不需要任何行使通知的印章擔保(或其他類型的擔保或公證)。儘管本合同另有規定,但持有人無需在將所有本合同下可購買的認股權股票全部購買並全額行使本合同之前將本認股權交付給公司,屆時持有人應在交付最終行使通知至公司的日期後三(3)個交易日內將本認股權交付給公司予以註銷。本合同部分行使將導致購買其下可購買的認股權股票總數的一部分,其效果是降低本合同下可購買的認股權股票的未行使數量,此數量等於已購買的認股權股票數。持有人和公司應保留記錄,顯示已購買的認股權股票數和購買日期。公司應在收到任何行使通知後一(1)個交易日內提出任何異議。 持有人和受讓人在接受本權證時需承認,並同意,由於本段規定,根據本段,部分本權證股票的購買後,任何給定時間購買的本權證股票數量可能小於本權證面額中所述的金額。
b) 行使價格此認股權證的總行權價格,除每份認股權證股份的零點零零五美元的名義行權價格外, 已於最初行權日期或之前向公司預付,因此,行使該認股權證無需支付任何額外考慮(除每份認股權證股份的零點零零五美元的名義行權價格外)。持有人不得有權要求退還或退款任何已預付的總行權價格, 無論在任何情況下或任何理由下。本認股權證下普通股的剩餘未支付行權價格爲零點零零五美元,須按照本處所述進行調整(“行使價格”).
c) 無現金行權本權證還可以通過「無現金行使」的方式在任何時間進行全部或部分行使,持有人將有權獲得一定數量的權證股票,其數量等於[(A-B) (X)] 除以 (A) 的商,其中:
(A) | = | 根據適用情況:(i)如果相應的行權通知的日期不是交易日或在交易日的"regular trading hours"(定義見聯邦證券法規下《NMS法規》第600(b)條規定)開盤前執行和送達,那麼該通知執行之前的交易日的VWAP;(ii)投資者可以選擇,要麼是該通知執行之前交易日的VWAP,要麼是彭博社報告的主要交易市場上的股票出價(Bid Price);(iii)如果行權通知的日期是交易日並且在當天"regular trading hours"(開盤後到收盤前)之後執行和送達,則是該行權通知的日期的VWAP。彭博社報道。在投資者行使通知在"regular trading hours"(交易日的開盤到收盤)期間執行並在兩個小時內送達(包括交易日"regular trading hours"收盤後兩小時內),要以投資者行使通知當時彭博社報告的主要交易市場上的股票出價(Bid Price) | |
(B) | = | 在此處所確定的行權價格,經過此處之後的金額調整;和 | |
(X) | = | 根據本認股權的條款行使時,如以現金行使而非免現金行使,則按此免現金行使方式行使時將可發行的認股權份額的數量。 |
如果採用無現金行權形式發行認股權證股票,則雙方同意根據《證券法》第3(a)(9)條的規定,認股權證股票應承擔認股權證的特徵,而發行的認股權證股票的保留期可以加到本認股權證的保留期上。公司同意不採取與本文第2(c)條相反的立場。
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“買盤 價格對於任何日期,「成交量」是指適用以下規定的第一個日期確定的價格:(a) 如果普通股當時在交易市場上市或報價,則爲當時在交易市場上市或報價的普通股的買盤價格(或最接近的前一日期),由彭博社報告(基於紐約市時間上午9:30到下午4:02的交易日),(b) 如果OTCQb或OTCQX不是交易市場,則爲當天(或最近的前一日期)在OTCQb或OTCQX上普通股的成交量加權平均價格,(c) 如果普通股當時未在OTCQb或OTCQX上交易且當時普通股的價格在The Pink Open Market(或其職能繼任機構或組織)上報告,則報告的普通股每股最近的買盤價格,或(d) 在所有其他情況下,普通股的每股公允市場價由投資者誠信選擇且公司合理接受的獨立評估師確定,其費用由公司支付。
“「VWAP」表示任何日期上任何證券的美元成交量加權平均價格,在納斯達克資本市場(或如果納斯達克資本市場不是該證券的主要交易市場,那麼在該證券的主要證券交易所或證券市場上,在該證券上從美國東部時間上午9:30開始,到美國東部時間下午4:00結束,在該證券上由彭博社通過其「VAP」功能報告的美元成交量加權平均價格(設置爲9:30開始時間和16:00結束時間);如果上述情況不適用,則爲在該證券的場外市場上,該證券的電子公告板在美國東部時間上午9:30開始,到美國東部時間下午4:00,在彭博社報告的美元成交量加權平均價格,或者如果沒有任何市場商報告該證券的美元成交量加權平均價格,則該證券市場製造商的最高收盤買入價與最低收盤賣出價的平均值從The Pink Open Market(或類似的機構或代理機構繼承其報告價格的功能)或其他方式獲得。如果無法計算該日期上該安全的VWAP,則該日期上該安全的VWAP將是我們和債券持有人共同確定的公平市場價值。如果我們和債券持有人無法就該證券的公平市場價值達成一致意見,那麼這種爭議應根據條款中規定的程序解決。對於所有這些決定應適當調整任何股票股利、股票分割、股票組合、資本重組或其他類似交易的加權平均價格。對於任何日期,「價格」指適用於以下第一款的價格:(a) 如果普通股當時在交易市場上市或報價,則普通股在該日期的每日成交量加權平均價格(或最近的前一日期)在當時普通股上市或報價的交易市場上由彭博社報告(根據9:30 a.m. (紐約時間) 到 4:02 p.m. (紐約時間) 的交易日計算出來的),(b) 如果OTCQb或OTCQX不是一個交易市場,則普通股在該日期的每日成交量加權平均價格(或最近的前一日期),適用於OTCQb或OTCQX,(c) 如果普通股當時未在OTCQb或OTCQX上上市或報價,並且如果當時普通股的價格是在「粉紅開市」上報告的,最近報告的每股普通股的買盤價,或(d)在所有其他情況下,普通股每股的公允市值,由持有人誠信選擇的獨立評估師確定,並且對公司具有合理可接受性,其費用和開支由公司支付。
d) 運動的力學.
i. 行使後交付認股權證股份。本公司須使本公司下所購買的認股權證股份由 透過將持有人或其指定人的餘額帳戶存入存款機構,向持有人轉讓代理人存入 信託公司通過存款或提款系統(」杜瓦克」) 如果轉讓代理是參與者 在該系統中,並且 (A) 有一份有效的註冊聲明,允許發行認股權證股份或轉售 持有人的認股權證股份或 (B) 認股權證股份有資格由持有人轉售,而不包括銷售數量或方式 根據第 144 條(假設無現金行使認證)而根據規則的限制,以及以實體交付註冊證明書的限制 在本公司的股份登記冊中,以持有人或其指定的人名義,用於持有人的認股權證股份數目 根據該行使,可於最早的日期前往持有人在行使通知所指明的地址 為 (i) 交付行使通知後的兩 (2) 個交易日,(ii)交付行使通知後的一 (1) 交易日 向本公司的總行使價及 (iii) 交付後標準結算期的交易日數 向公司發出行使通知(如日期,」認股權證交付日期」)。發出通知後 行使之後,持有人在所有公司用途中被視為已成為認股權證股份的記錄持有人。 不論授權證股份的交付日期如何,否則已行使本認股權證的資料,但須支付總額 行使價(非現金行使的情況除外)在 (i) 兩 (2) 交易日及 (ii) 交易日之前收到 交付行使通知後的標準結算期內的交易日數。如果公司失敗 本公司在認股權證交付日期前提供行使通知的權證股份向持有人交付任何理由 須以現金支付持有人,以清算的損害,而不作為罰款,向持有人支付每一港幣 1,000 元的認股權證股 (根據適用行使通知當日的普通股的 VWAP),每個交易日 10 美元(增加至每個 20 美元) 此類認股權證交付後的每個交易日,該等清算損害開始累積後的第五個交易日) 交付認股權證股份或持有人撤銷該行使之日期。本公司同意維持一名轉讓代理人: 只要本認證仍未償還及可行使,則參與 FaST 計劃的參與者。如此所使用,」標準結算 期間」指本公司主要交易的標準結算期(以交易天數表示) 在發出行使通知之日起生效的普通股市場。
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ii. 行使期權時領取新的認股權證如果此認股權部分行使,公司應在持有人要求並繳回本認股權時,交付認股股份時,向持有人交付一份新的認股權,證明持有人有權購買此認股權所要求但未購買的股份,該新認股權在其他所有方面應與本認股權相同。
iii. 撤銷權若公司未能要求過戶代理按照第2(d)(i)條文於認股股份交付日期將認股權股票轉交予持有人,則持有人將有權在認股權股票交付日期前隨時向公司發送書面通知來撤銷該次認股。
iv. 行使時未能及時交付認股權證股份之買入賠償。除了可用的任何其他權利之外 持有人,如果公司未能讓轉讓代理人根據條文將認股權證股份轉交給持有人 根據認股權證交付日期或之前行使,以上第 2 (d) (i) 條的行使,如果在該日期之後需要持有人 由其經紀人購買(以開放市場交易或其他方式進行)或持有人的經紀公司以其他方式購買 持有人,以滿足持有人預期的認股權證股份買賣而交付普通股份 在此類行動時接收(a」買入」),則本公司應 (A) 以現金支付持有人的金額(如有), 其中 (x) 持有人所購買的普通股股份的總購買價格(包括經紀佣金(如有) 超過 (y) 乘以 (1) 公司必須交付給持有人的認股權證股數量而獲得的金額 與發行時間 (2) 行使有關的執行導致該購買義務的賣出指令的價格, 及 (B) 根據持有人的選擇,可以恢復認股權證的部分及相等數目的認股權證股份 行使未被履行(在這種情況下,該行使將被視為已撤銷)或向持有人交付普通股數 如果本公司及時遵守本公司下的行使及交付義務,該股票將會發行的股票。例如, 如持有人購買總購買價為 11,000 元的普通股,以支付有關嘗試行使的買入 根據立即第 (A) 條的普通股股份,其總售價引起該等購買義務為 10,000 元 前一句,公司須向持有人支付 $1,000。持有人須向公司提供書面通知,指明 有關買入向持有人應付的金額,以及根據公司的要求,證明該等損失金額的證據。沒什麼 本文將限制持有人根據本條文、法律或公平方式採取其他補救措施的權利,包括: 限制、有關本公司未能及時交付股份的特定表現及/或令救濟的裁定 根據本條款的規定行使本認股權證時使用普通股票。
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v. 沒有碎股或代碼股不得發行碎股或代碼股以代表此認股權的碎股。對於股東在行使此認股權時將否則有權購買的任何股票的一部份,公司可選擇於現金進行調整,其調整金額相等於此部份股份乘上認股價,或者四捨五入至下一完整股份。
vi. 費用、稅項和支出發行認股權證股份將不收持有人任何發行或轉讓稅或其他相關費用,所有這些稅費和費用由公司支付,這些認股權證股份將以持有人的名義或持有人指示的其他名稱發行; 提供, 但是但是,如果認股權證股份將以持有人的名稱以外的名稱發行,則在行使認股權證時須附上本附屬的轉讓表由持有人正式執行,並且公司可能作為條件要求支付足夠的款項以償還任何附帶的轉讓稅。公司將支付所有轉讓代理商費用,以便於當天處理任何行使通知,並支付所有與託管信託公司(或其他執行相似職能的建立的清算公司)相關之當天電子交付認股權證股份所需的費用。
vii. 結帳公司不得以任何方式關閉股東記錄或帳目,以使根據本權證的條款及時行使權利。
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e) 持有人行使限制公司不得行使本認股權,持有人也沒有權利行使本認股權的任何部分,根據第2條或其他途徑行使認股權的部分,從發出行使通知書進行行使後的發行(如適用的行使通知書中所載),持有人(連同持有人的關聯企業以及與持有人或任何持有人關聯企業組成集團的任何其他人(這些人,“其他”))將持有超過有利持股的限制(如下所定義)。對於上述句子,持有人及其關聯企業和歸因方所持有的普通股的數量將包括進行該決定所需的行使本認股權的普通股數量,但不包括持有人或其關聯企業或歸因方尚未行使的本認股權的剩餘未行使部分以及受限於本認股權所載類似限制的其他公司證券(包括但不限於其他普通股等)的剩餘未行使或未轉換部分的行使或轉換的普通股數量。除上述句子所述外,對於本第2條(e)條條款的目的,有利持有權將按照交易所法第13(d)條以及其下頒布的規則和法規進行計算,持有人承認公司不是在向持有人保證此種計算符合交易所法第13(d)條的要求,持有人對根據該法要求提交的任何資料負有獨立責任。在本2(e)條的限制適用范圍內,本認股權是否可行使(與持有人或其關聯企業和歸因方擁有的其他證券相關)以及本認股權的哪一部分可行使的決定將由持有人自行決定,行使通知書的提交將被視為持有人對本認股權是否可行使(與持有人或其關聯企業和归属方持有的其他證券相關)以及本認股權的哪一部分可行使的確定,但需受有利持股限制的限制,而公司無義務核實或確認該確定的準確性。此外,如上所述,有關以上任何集團身份的確定將按照交易所法第13(d)條及其下頒布的規則和法規進行確定。對於本第2(e)條的目的,在確定普通股的已發行股份的數量時,持有人可以依賴以下信息:(A)公司提交給委員會的最新定期或年度報告,(B)公司的最新公告,或(C)公司或過戶代理最新的書面通知,列明已發行的普通股的數量。在持有人的書面或口頭請求下,公司將在一個交易日內口頭和書面確認持有人當時的普通股數量。在任何情況下,發行普通股的數量應在考慮到自該普通股數量報告以來持有人或其關聯企業或歸屬方根據本認股權的轉換或行使,包括該日以來的日期,以及其他公司證券的轉換或行使的影響下進行確定。歸屬者若本文件中所定義的受益擁有限制超過其受益性擁有之普通股數量。對於前述句子而言,由持有人及其聯屬方和歸因方受益擁有之普通股股數將包括根據進行該決定的本認股權行使所能獲得的普通股股數,但將不包括持有人或其聯屬方或歸因方受益擁有之本認股權未行使部分的普通股股數,以及可能出現的(一)持有人或其聯屬方或歸因方受益擁有之其他公司證券的未行使或未轉換部分,包括但不限於受限於類似於此處所含限制之轉換或行使的其他普通股同等物所受益擁有之普通股股數。除本區別於上述句子中載明之事項外,擁有權之計算將根據《交易法》第13(d)條及相應的規則和條例進行,持有人確認公司並未向持有人保證此種計算符合《交易法》第13(d)條的要求,並且持有人承擔任何依據其所需檔案及依照本區別所需進行之計算。在適用本區別的範圍內,關於本認股權是否可行使(與持有人及其聯屬方和歸因方共同擁有之其他證券有關)及哪一部分本認股權可行使的決定將由持有人獨自裁定,並提交行使通知應視為持有人對本認股權是否可行使(與持有人及其聯屬方和歸因方共同擁有之其他證券有關)及哪一部分本認股權可行使的決定,皆受受益擁有限制之約束,並且公司無義務驗證或確認該決定之準確性。此外,如上所述,任何上述群體狀態之決定將按照《交易法》第13(d)條及相應的規則和條例進行。對於本區別,於確定普通股的現有股數時,持有人可以依賴(A)公司向證券交易委員會提交的最近週期性或年度報告,(B)公司最近公開發佈的聲明,或(C)公司或轉讓代理提供的最近書面通知中列出的現有普通股股數。在持有人書面請求時,公司將在一個交易日內向持有人口頭和書面確認當時現有的普通股股數。在任何情況下,普通股的現有股數將在報告此類現有普通股股數的日期之後,考慮到自那日期以來持有人或其聯屬方或歸因方轉換或行使公司證券(包括本認股權)後的情況來確定。《有益所有權限制》”應為已發行的普通股股份的9.99%,即在對此認股權行使後立即有效。持有人可在書面通知公司後,增加或減少本第2(e)條所規定的持有權利限制條款,但持有權利限制在任何情況下均不得超過對此認股權行使後持有的普通股股份總數的9.99%,本第2(e)條的規定將繼續適用。 增加持有權限制條款將自書面通知交付給公司後61天生效。如果根據《證券交易法》第13(d)條確定,此認股權行使後向持有人發行普通股將使持有人和其他歸屬方的聚合受益所有權超過持有權限制,則應將已發行的股份中的將使持有人和其他歸屬方的聚合受益所有權超過持有權限制的股份("超額股份")視為無效並將自始無效,任何這種認股權的部分即將得以行使,並且持有人將不具有投票權或轉讓超額股份。 為明確起見,根據此認股權條款發行的普通股股份超出持有權限制將不被視為任何目的的持有權,包括《證交法》第13(d)條或Exchange Act規則16a-1(a)(1)的目的。本第2(e)條的條款在解釋和實施時應與所記載的內容不嚴格一致,以更正本第2(e)條(或其任何部分)中可能存在的缺陷或不一致性,請做出必要或適當的改變或補充來正確實現此限制。本第2(e)條的限制將適用於此認股權的繼任持有人。st 在這些書面通知交付給公司後61天生效。如果根據《證券交易法》第13(d)條確定,根據此認股權行使向持有人發行普通股股份將導致持有人和其他歸因方從聚合上被認定屬有更多的受益所有權限制(根據交易所法第13(d)條確定),則超額股份將被視為無效並將被從始至終取消,並且已行使本認股權的任何部分應予恢復,持有人將無權投票或轉讓超額股份。 為了明確起見,根據本認股權條款發行的普通股股份超出受益所有權限制將不被視為持有人不得利用的任何目的,包括根據《證券交易法》第13(d)條或交易所法規16a-1(a)(1)的目的。本第2(e)條的規定將按照一種與此處載明的期限並不嚴格一致的方式來解釋和實施,以更正本第2(e)條(或其任何部分)可能存在的缺陷或與本意受益擁有權限制背越或對其進行必要或有必要進行變更或補充以使之正確實施此限制。本第2(e)條的限制將适用於此認股權的繼任持有人。
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第三部分 3. 特定的調整.
a) 送轉股和股票分割如果公司在本認股權仍有效期間的任何時間:(i) 發放股息或以其他方式進行派息,派發公司普通股或任何其他權益或權益等價證券,支付普通股(但明確排除公司於本權證行使時發行的任何普通股),(ii) 把現有的普通股細分為更多的股份,(iii) 合併(包括通過逆向股票拆分方式) 將現有的普通股合併為少量的股份,或(iv) 通過將普通股重新分類而發行任何公司資本股,則在每種情況下,行使價格將乘以一個分數,分子為該事件前(不包括如有的庫存股份)的普通股(如果有)的股份數,分母為該事件後(不包括如有的庫存股份)的普通股(如果有)的股份數,並將根據比例調整本認股權的行使股份數,以確保本認股權的總行使價保持不變。根據本第3(a)條進行的任何調整將立即生效,在確定有權收到此類股息或分派的股東的記錄日期後立即生效,並在細分、合併或重新分類的情況下在生效日期後立即生效。
b) 隨後的權益發行除了根據上述第3(a)條進行的任何調整外,如果公司在任何時候按比例向普通股記錄持有人發放、發行或出售任何普通股相當物或購買權、認股權證、證券或其他財產(“ 其他權益 ”) ,則持有人有權根據適用於該購買權的條款收購持有人在認股權完全行使之前擁有的普通股數量(不考慮對本認股權的任何行使限制,包括但不限於有利権限制) ,無論是在為了發放、發行或出售該購買權而採取記錄的日期之前,或者如果沒有採取此類記錄,則應該決定普通股記錄持有人以用於發放、發行或出售該購買權的日期之前,購買權,則持有人將有權根據適用於該購買權的條款收購持有人在完全行使本認股權時可以收購的累計購買權,而不考慮任何對本認股權的行使限制(包括但不限於有利権限制),就在採取記錄的日期之前,該記錄是為了發放、發行或出售該購買權,或者如果沒有採取此類記錄,則用於決定普通股記錄持有人以進行發放、發行或出售該購買權的日期(提供, 但是,使股票持有人的參與任何此類購股權益的權利導致持有人超過受益所有權限制,則持有人將無權參與此類購股權利至該程度(或因此類購股權益而導致對 Common Stock 的受益所有權至此程度)並應將該等購股權益至該程度暫停等候股票持有人,直至其具有享有該權益而不會導致股票持有人超過受益所有權限制的時候(如果有的話)。
c) 按比例分配在本期權有效期之內,如果公司宣布或進行任何資產派息或其他分配(或權利)給持有普通股的股東,以資本返還或其他方式(包括但不限於以股息、紅利分派、重新分類、重組、安排計劃或其他類似交易的現金、股票、其他證券、財產或期權分配),則本「分配如果本認股權證發行後公司任何時候宣布或發佈為普通股股東宣布或分配其資產(或購買資產的權利)的股息或其他分配,包括但不限於通過股息分派、剝離、重分類、公司重組、安排計劃或類似交易而分配現金、股票、其他證券、財產或期權,那麼在每種情況下,持有人應有權按照持有人的普通股股份行使完整全部認股權證(不考慮任何行使條款限制,包括但不限於享益股份限制)可以獲得的普通股份所應享有的參與權利,與公司將其股東記錄下來的股東按持有比例及以前所述基礎確定的紀錄股東受益的比例相同。但是,如果持有人參與任何此類分配的權利會導致其超過享益股份限制,那麼持有人將不被允許參與任何此類分配,其中的相應股份將被暫停,以使持有人不會超過享益股份限制。提供, 但是在Holder的權利參與任何上述分配的範圍內將導致Holder超出利益所有權限制的程度,則Holder將不得參與該等分配的該等範圍(或因該等分配的結果導致普通股股份的任何有利所有權以及該等範圍內),並且該等分配的部分將被擱置,以利於Holder,直到在任何情況下,直到其享有該等權利不會導致Holder超出利益所有權限制為止)。
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d) 基本交易。如果在本認證尚未償還期的任何時間,(i) 本公司直接或間接在一或 更多相關交易會影響本公司與或成為其他人士、(ii) 公司(或任何附屬公司)的任何合併或合併, 直接或間接影響全部或主要的任何銷售、租賃、授權、轉讓、轉讓、轉讓或其他處置 其在一筆或一系列相關交易中的所有資產,(iii) 任何直接或間接的購買發售、招標或交換 根據該公司或其他人士進行的發售,根據公司股份持有人可以出售、投標 或將其股份兌換其他證券、現金或財產,並已被持有 50% 或以上未償還款項的持有人接受 普通股股份,(iv) 本公司直接或間接在一或多個相關交易中進行任何重新分類、重組 或根據該普通股有效轉換的普通股或任何強制性股份交易所重資本化 進入或兌換其他證券、現金或財產,或 (v) 本公司直接或間接在一或多個相關交易中 完成股票或股份購買協議或其他業務合併(包括但不限於重組、資本資本化、 與另一個人或一組人士分配、合併或安排計劃),而該等其他人或集團收購超過 未發行普通股的 50%(不包括其他人或其他人所持有的任何普通股股份 或與該等股票或股份購買協議或其他業務的其他人士或與其他人士相關聯或關聯 組合)(每個 a」基本交易」),然後,在任何後續行使本認證時,持有人須 有權針對於事件發生前立即可發行時可發行的每份認股證股份獲得 根據持有人的選擇進行該基本交易(不考慮第 2 (e) 條對行使此項有關的任何限制。 認股權證),繼承人或收購公司或本公司(如果是存在的公司)的普通股數目, 以及任何額外考量(」替代考慮」) 因此基本交易所得的應收 由於該基本交易前可立即行使本認股權證的普通股份數目的持有人 (不考慮第 2 (e) 條對行使本令的任何限制)。就任何此類行動而作出的目的,決定 行使價須根據替代代價金額適當調整,以適當適用於該等替代代價 可就該基本交易中發行一股普通股,並且本公司須分配行使價 以合理的方式,反映替代考慮的任何不同組成部分的相對價值。 如普通股持有人在基本交易中獲得的證券、現金或財產有任何選擇, 持有人在此後行使本認股權證時,須與其獲得的替代代價格相同的選擇 基本交易。本公司應在基本交易中造成任何繼承實體,而該公司不是倖存者 (」繼承實體」) 以書面承擔本公司根據本認股證及其他責任 根據本第 3 (e) 條的條文,根據合理的形式和內容的書面協議進行交易文件 在進行該基本交易之前,對持有人滿意並獲持有人批准(不合理的延遲),並須於 持有人的選擇,向持有人交換本認股證,以書面證明繼承人實體的證券 文書在形式和內容上與本認股權證相似,可以對相應數目的資本行使的文書 該繼承實體(或其母公司)的股票,相等於行使時可獲得和應收的普通股股份 在進行該基本交易前的本認證(不考慮本認證的行使任何限制),以及 將下述行使價適用於此類資本股份的行使價(但考慮相對價值) 根據該基本交易所發出的普通股份及該等資本股份的價值,該數目: 為了保障本認股權證的經濟價值之前的資本股份及該等行使價 至完成該基本交易),並對持有人的形式和實質合理滿意。在 如發生任何此類基本交易,繼承實體應取代並取代(以便從後開始和之後) 該基本交易的日期、本認股權證的條文及有關「本公司」的其他交易文件 應代替代替代人實體),並可行使本公司的所有權利和權力,並應承擔所有義務 根據本認股權證及其他交易文件,該公司的效力與該繼任實體已被命名時相同 作為本公司。
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e) 計算。根據本第三條款的所有計算,應四捨五入至最接近的分(cent)或最接近的1/100股份,具體情況而定。根據本第三條款的規定,截至特定日期,被視為發行和流通的普通股份數量,應為發行和流通的普通股份數量之總和(如有庫藏股,則不計)。
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: | ||