Common use of Notice of Certain Corporate Action Clause in Contracts

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 20 contracts

Samples: Warrant Agreement (Ascent Solar Technologies, Inc.), Warrant Agreement (Path 1 Network Technologies Inc), Warrant Agreement (Stratus Services Group Inc)

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Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation Change of Control, or merger (e) to which effect the Company is a party and for which approval of any stockholders liquidation, dissolution or winding up of the Company is required, or any sale, transfer or other disposition (f) to offer to the holders of its property and assets substantially as an entirety, Common Stock the right to have their shares of Common Stock repurchased or the liquidation, voluntary redeemed or involuntary dissolution or winding-up of otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Warrant Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 5), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionChange of Control, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days (10) Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, Change of Control or other action, as the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Act or to a favorable vote of security holders, if either is required, and the adjustment in Warrant Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, consolidationreclassification, mergerChange of Control or other action, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information which the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 15 contracts

Samples: Warburg Pincus Private Equity Viii L P, Warburg Pincus Private Equity Viii L P, Warburg Pincus Private Equity Viii L P

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 13 contracts

Samples: Warrant Agreement (Whitney Information Network Inc), Warrant Agreement (Phytotech Inc /Nj/), Warrant Agreement (3dshopping Com)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 7 contracts

Samples: Warrant Agreement (Methes Energies International LTD), Warrant Agreement (Methes Energies International LTD), Warrant Agreement (Vaughan Foods, Inc.)

Notice of Certain Corporate Action. In case the Company after the date hereof shall shall, other than in connection with the Offering, propose (ai) to offer to the holders of Common Stock, generally, Stock rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, Company (or the Warrant Agent on its behalf, ) shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 6 contracts

Samples: Unit and Warrant Agreement (Advantage Marketing Systems Inc/Ok), Warrant Agreement (Advantage Marketing Systems Inc/Ok), Warrant Agreement (Advantage Marketing Systems Inc/Ok)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalfthe Company’s behalf and at the Company’s request, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 6 contracts

Samples: Warrant Agreement (Cryoport, Inc.), Warrant Agreement (Cryoport, Inc.), Warrant Agreement (Icop Digital, Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Class A Exercise Price and the Class B Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 5 contracts

Samples: Warrant Agreement (Daystar Technologies Inc), Warrant Agreement (Daystar Technologies Inc), Warrant Agreement (Daystar Technologies Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to pay any dividend payable in stock of any class to the holders of its Common Stock or to make any other distribution to the holders of its Common Stock, or (b) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional Additional Shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, in each such case, the Company shall file give to each holder of a Warrant, in accordance with the Warrant Agent and the CompanySection 10.2 hereof, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend, distribution or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed, and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Common Stock and the number or and kind of any other shares of stock which will comprise a Stock Unit, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause (a) above, or (b) above at least ten 20 days prior to the record date for determining holders of the Common Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 4 contracts

Samples: Warrant Agreement (Innovative Micro Technology Inc), Warrant Agreement (Innovative Micro Technology Inc), Warrant Agreement (Innovative Micro Technology Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalfthe Company’s behalf and at the Company’s request, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Class A Exercise Price or the Class B Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 4 contracts

Samples: Warrant Agreement (Nuvim Inc), Warrant Agreement (Nuvim Inc), Warrant Agreement (Nuvim Inc)

Notice of Certain Corporate Action. In case the Company Company, after the date hereof hereof, shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Notwithstanding anything to the contrary in this Section, the Company shall not be required to deliver such notice if, in the reasonable opinion of the Company's Board of Directors, based on advice of counsel, such notification would violate any federal or state securities laws. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 4 contracts

Samples: Warrant Agreement (Data Conversion Laboratory), Warrant Agreement (Data Conversion Laboratory), Warrant Agreement (Careside Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation Fundamental Transaction (as defined below), or merger (e) to which effect the Company is a party and for which approval of any stockholders liquidation, dissolution or winding up of the Company is required, or any sale, transfer or other disposition (f) to offer to the holders generally of its property and assets substantially as an entirety, Common Stock the right to have their shares of Common Stock repurchased or the liquidation, voluntary redeemed or involuntary dissolution or winding-up of otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Exercise Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 12), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days (10) Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, Fundamental Transaction or other action, as the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Securities Act or to a favorable vote of security holders, if either is required, and the adjustment in Exercise Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, consolidationreclassification, mergerFundamental Transaction or other action, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information which the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Metabolix, Inc.), Schuler Jack W, Feinberg Larry N

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options or options, (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), (c) or to effect any capital reorganization, or (d) to effect any consolidation or merger Fundamental Transaction (as defined below), (e) to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then(f) to offer to the holders generally of its Common Stock the right to have their shares of Common Stock repurchased or redeemed or otherwise acquired by the Company or (g) to take any other action that would require the adjustment of the Exercise Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 12), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten business days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten business days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or purchase rights, at least 20 days prior to the earlier of the date on which such the holders of Common Stock shall be entitled thereto, or, in the case of any reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and winding up, the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such reclassification, reorganization, consolidationFundamental Transaction or other action. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Securities Act or to a favorable vote of security holders, mergerif either is required, saleand the adjustment in Exercise Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, transferreclassification, Fundamental Transaction or other dispositionaction, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information that the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 4 contracts

Samples: Securities Purchase Agreement (Vermillion, Inc.), Securities Purchase Agreement (Feinberg Larry N), Securities Purchase Agreement (Biolase, Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall shall, other than in connection with the Offering, propose (ai) to offer to the holders of Common Stock, generally, Stock rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, Company (or the Warrant Agent on its behalf, ) shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 4 contracts

Samples: Warrant Agreement (Graymark Productions Inc), Warrant Agreement (Graymark Productions Inc), Unit and Warrant Agreement (Advantage Marketing Systems Inc/Ok)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision or combination of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (e) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company or (f) to offer to the holders of its Common Stock the right to have their shares of Common Stock repurchased or redeemed or otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Warrant Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 5), the Company shall file with give to the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates Holder a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution or offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed, and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days (10) Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, reorganization, consolidation, merger, salesale or other action, transferas the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Act or to a favorable vote of security holders, if either is required, and the adjustment of the Warrant Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, reclassification, consolidation, merger, sale or other disposition, liquidation, voluntary or involuntary dissolution or winding-upaction. Failure to give any No such notice shall be required to be given if the Company reasonably determines that the giving of such notice would require disclosure of material information which the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 4 contracts

Samples: Hauser Inc, Zatpack Inc, Hauser Inc

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalfthe Company's behalf and at the Company's request, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 4 contracts

Samples: Warrant Agreement (SmartPros Ltd.), Warrant Agreement (SmartPros Ltd.), Warrant Agreement (SmartPros Ltd.)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation Change of Control, or merger (e) to which effect the Company is a party and for which approval of any stockholders liquidation, dissolution or winding up of the Company is required, or any sale, transfer or other disposition (f) to offer to the holders of its property and assets substantially as an entirety, Common Stock the right to have their shares of Common Stock repurchased or the liquidation, voluntary redeemed or involuntary dissolution or winding-up of otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Warrant Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 5), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution or offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionChange of Control, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days (10) Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, Change of Control or other action, as the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Act or to a favorable vote of security holders, if either is required, and the adjustment in Warrant Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, consolidationreclassification, mergerChange of Control or other action, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information which the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 4 contracts

Samples: Purchase Agreement (FaceBank Group, Inc.), FaceBank Group, Inc., Great Hill Investors LLC

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation Fundamental Transaction (as defined below), or merger (e) to which effect the Company is a party and for which approval of any stockholders liquidation, dissolution or winding up of the Company is required, or any sale, transfer or other disposition (f) to offer to the holders of its property and assets substantially as an entirety, Common Stock the right to have their shares of Common Stock repurchased or the liquidation, voluntary redeemed or involuntary dissolution or winding-up of otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Exercise Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 12), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days (10) Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, Fundamental Transaction or other action, as the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Securities Act or to a favorable vote of security holders, if either is required, and the adjustment in Exercise Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, consolidationreclassification, mergerFundamental Transaction or other action, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information which the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 3 contracts

Samples: Securities Purchase Agreement (Vermillion, Inc.), Vermillion, Inc., Feinberg Larry N

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to pay any dividend to the holders of its Stock or to make any other distribution to the holders of its Stock, or (b) to offer to the holders of Common Stock, generally, its Stock rights to subscribe for or to or purchase any additional Additional Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of Common its Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is requiredsale, or any salelease, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, in each such case, the Company shall file give to the Holder of this Warrant Certificate, in accordance with the Warrant Agent and the CompanySECTION 11.02, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend, distribution or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up shall is to take place or commenceplace, as the case may beif any such date is to be fixed, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Stock and the number or and kind of any other shares of stock which a Holder is entitled in accordance herewith, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause CLAUSE (a) above, or (b) above at least ten days 10 Business Days prior to the record date for determining holders of the Common Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 days 10 Business Days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 3 contracts

Samples: Joinder Agreement (Lamonts Apparel Inc), Warrant Agreement (Lamonts Apparel Inc), Warrant Agreement (Lamonts Apparel Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten (10) days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 twenty (20) days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 3 contracts

Samples: Warrant Agreement (Lightpath Technologies Inc), Warrant Agreement (Lightpath Technologies Inc), Warrant Agreement (Lightpath Technologies Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall will propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such the offer of rights or options, or the date on which such the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall will take place or commencebegin, as the case may be, and which shall will also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall will set forth such facts with respect thereto as shall may be reasonably necessary to indicate any adjustments in the Relevant Exercise Price and the number or kind of shares or other securities purchasable upon on exercise of Warrants which will be required as a result of such the action. Such The notice shall will be filed and mailed in the case of any action covered by clause (ai) above, at least not less than ten days prior to the record date for determining holders of the Common Stock for purposes of such the action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such the offering; and, in the case of any action covered by clause (bii) above, at least not less than 20 days prior to the earlier of the date on which such the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such the date shall will be entitled to exchange their shares for securities or other property deliverable upon such on the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall will not affect the legality or validity of any transaction listed in this Section 12.

Appears in 3 contracts

Samples: Consulting Agreement (Rocketinfo Inc.), Consulting Agreement (Rocketinfo Inc.), Consulting Agreement (Rocketinfo Inc.)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalfthe Company's behalf and at the Company's request, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 2 contracts

Samples: 2007 Warrant Agreement (Iggys House, Inc.), 2007 Warrant Agreement (Iggys House, Inc.)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation Fundamental Transaction (as defined below), or merger (e) to which effect the Company is a party and for which approval of any stockholders liquidation, dissolution or winding up of the Company is required, or any sale, transfer or other disposition (f) to offer to the holders generally of its property and assets substantially as an entirety, Common Stock the right to have their shares of Common Stock repurchased or the liquidation, voluntary redeemed or involuntary dissolution or winding-up of otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Exercise Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 12), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days (10) Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled thereto. Such notice shall also state whether the action in question or the record date is subject to exchange their shares for securities the effectiveness of a registration statement under the Securities Act or to a favorable vote of security holders, if either is required, and the adjustment in Exercise Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, reclassification, Fundamental Transaction or other property deliverable upon such reclassificationaction, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information which the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 2 contracts

Samples: Securities Purchase Agreement (GTX Inc /De/), GTX Inc /De/

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to take a record of the holders of Common Stock, generallyany class of securities for the purpose of determining the holders thereof that are entitled to receive any dividend or other distribution, rights to subscribe to for or purchase any additional shares of any class of its capital stockstock or any other securities or property, any evidences of its indebtedness or assets, or any other rights or options or options, (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely change in the subdivision or combination par value of outstanding shares of the Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, lease, transfer or other disposition of all or substantially all of its property and assets substantially as an entiretyassets, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, or (iii) the commencement by any "person" or "group" (within the meaning of Section 13(d) and Section 14(d) of the Securities Exchange Act of 1934 (the "Exchange Act")) of a BONA FIDE tender offer or exchange offer in accordance with the rules and regulations of the Exchange Act to purchase shares of Common Stock of the Company, then, in each such case, the Company shall file with the Warrant Agent Agent, and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed actionaction or event, which notice shall specify the date on which the books of the Company shall close or a record be taken for such dividend, distribution, offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or dissolution, winding-up or tender offer shall take place place, commence, or commencebe completed, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein therein, and as of which the holders of record of the Company's Common Stock (or other securities) shall be entitled to exchange their shares of such Common Stock (or other securities) for the securities or other property deliverable upon such reorganization, reclassification, recapitalization, consolidation, merger, sale, lease, transfer, other disposition, dissolution, liquidation, winding-up, tender offer or other event, and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities securities, cash or property purchasable upon exercise of Warrants which will be required as a result of such action, if applicable. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause clauses (bii) and (iii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up up, exchange or tender offer is expected to become effective or be completed and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up, exchange or tender offer. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 2 contracts

Samples: Warrant Agreement (Progenitor Inc), Warrant Agreement (Progenitor Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation Fundamental Transaction (as defined below), or merger (e) to which effect the Company is a party and for which approval of any stockholders liquidation, dissolution or winding up of the Company is required, or any sale, transfer or other disposition (f) to offer to the holders generally of its property and assets substantially as an entirety, Common Stock the right to have their shares of Common Stock repurchased or the liquidation, voluntary redeemed or involuntary dissolution or winding-up of otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Exercise Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 12), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, Fundamental Transaction or other action, as the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Securities Act or to a favorable vote of security holders, if either is required, and the adjustment in Exercise Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, consolidationreclassification, mergerFundamental Transaction or other action, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information which the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 2 contracts

Samples: Hansen Medical Inc, Hansen Medical Inc

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose case: (a) the Company shall declare a dividend or make any other distribution that would require any adjustment pursuant to offer Section 2.04 hereof; or (b) the Company shall authorize the granting to the holders of its Common Stock, generally, Stock of rights or warrants to subscribe to for or purchase any additional shares of capital stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options rights; or (bc) to effect of any reclassification of the Common Stock (other than a reclassification involving merely of the subdivision or combination of outstanding shares of Common Stock) or any capital reorganizationCompany, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer action by the Company that would require a supplemental indenture pursuant to Section 2.05; or other disposition (d) of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution dissolution, liquidation or winding-winding up of the Company, then, in each such case, then the Company shall file with cause to be filed at each office or agency maintained for the Warrant Agent purpose of conversion of Notes pursuant to Section 2.03 hereof, and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) cause to be mailed to all registered holders of Holders at their last addresses as they shall appear in the Warrant Certificates register for the Notes, at least 20 days prior to the applicable record or effective date hereinafter specified, a notice of such proposed action, (which notice shall specify also be sent by release to Reuters Economic Services and Bloomberg Business News) stating (x) the date on which the books of the Company shall close or a record is to be taken for the purpose of such offer of dividend, distribution, rights or optionswarrants, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights or warrants are to be determined, or (by) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, share exchange, sale, conveyance, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property deliverable upon such reclassification, reorganization, consolidation, merger, share exchange, sale, conveyance, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up. Failure Neither the failure to give any such notice or nor any defect therein shall not affect the legality or validity of any transaction listed the proceedings described in clauses (a) through (d) of this Section 122.07. If at the time the Trustee shall not be the conversion agent, a copy of such notice shall also forthwith be filed by the Company with the Trustee. The Company shall cause to be filed at the Corporate Trust Office and each office or agency maintained for the purpose of conversion of Notes pursuant to Section 305 of the Indenture, and shall cause to be provided to all Holders in accordance with Section 106 of the Indenture, notice of any tender offer by the Company or any Subsidiary for all or any portion of the Common Stock at or about the time that such notice of tender offer is provided to the public generally.

Appears in 2 contracts

Samples: Third Supplemental Indenture (HCC Insurance Holdings Inc/De/), Supplemental Indenture (HCC Insurance Holdings Inc/De/)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (e) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, thenor (f) to offer to the holders of its Common Stock the right to have their shares of Common Stock repurchased or redeemed or otherwise acquired by the Company, or (g) to take any other action which would require the adjustment of the Warrant Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 5), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days 10 Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least 10 Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, reorganization, consolidation, merger, salesale or other action, transferas the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Act or to a favorable vote of security holders, if either is required, and the adjustment in Warrant Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, reclassification, consolidation, merger, sale or other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12action.

Appears in 2 contracts

Samples: Trump Entertainment Resorts Holdings Lp, Trump Entertainment Resorts Holdings Lp

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose other than in connection with the Offering (ai) to offer to the holders of Common Stock, generally, Stock rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Subscription Agent and the Company, Company (or the Warrant Subscription Agent on its behalf, ) shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Rights Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants Rights which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 2 contracts

Samples: Rights Agreement (Advantage Marketing Systems Inc/Ok), Stock Rights Agreement (Advantage Marketing Systems Inc/Ok)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation Fundamental Transaction (as defined below), or merger (e) to which effect the Company is a party and for which approval of any stockholders liquidation, dissolution or winding up of the Company is required, or any sale, transfer or other disposition (f) to offer to the holders generally of its property and assets substantially as an entirety, Common Stock the right to have their shares of Common Stock repurchased or the liquidation, voluntary redeemed or involuntary dissolution or winding-up of otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Exercise Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 12), the Company shall file with give to the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates Holder a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and effect of such action on the number or kind of shares or other securities purchasable upon exercise of Warrants which will Common Stock; provided, that no such notice hereunder shall be required as a result of such actionin connection with the Rights Offering. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, Fundamental Transaction or other action, as the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Securities Act or to a favorable vote of security holders, if either is required, and the adjustment in Exercise Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, consolidationreclassification, mergerFundamental Transaction or other action, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information which the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 2 contracts

Samples: Hansen Medical Inc, Feinberg Larry N

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose case: (a) the Company shall declare a dividend or make any other distribution that would require any adjustment pursuant to offer Section 2.5 hereof; or (b) the Company shall authorize the granting to the holders of its Common Stock, generally, Stock of rights or warrants to subscribe to for or purchase any additional shares of capital stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options rights; or (bc) to effect of any reclassification of the Common Stock (other than a reclassification involving merely of the subdivision or combination of outstanding shares of Common Stock) or any capital reorganizationCompany, or of any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is requiredrequired or that is otherwise subject to Section 2.12 hereof, or any saleof the conveyance, lease, sale or transfer of all or other disposition substantially all of its property and the assets substantially as an entirety, of the Company; or (d) of the liquidation, voluntary or involuntary dissolution dissolution, liquidation or winding-winding up of the Company, then, in each such case, ; then the Company shall file with cause to be filed at each office or agency maintained for the Warrant Agent purpose of conversion of Securities pursuant to Section 2.4 hereof, and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) cause to be mailed to all registered holders of Holders at their last addresses as they shall appear in the Warrant Certificates register for the Securities, at least 20 days prior to the applicable record or effective date hereinafter specified, a notice of such proposed action, (which notice shall specify also be sent by release to Reuters Economic Services and Bloomberg Business News as set forth in Section 10.2 of the Indenture) stating (x) the date on which the books of the Company shall close or a record is to be taken for the purpose of such offer of dividend, distribution, rights or optionswarrants, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights or warrants are to be determined, or (by) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, share exchange, conveyance, lease, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.such

Appears in 2 contracts

Samples: First Supplemental Indenture (Lamar Advertising Co/New), First Supplemental Indenture (Lamar Advertising Co/New)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (e) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company or (f) to offer to the holders of its Common Stock the right to have their shares of Common Stock repurchased or redeemed or otherwise acquired by the Company, thenor (g) to take any other action which would require the adjustment of the Warrant Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 5), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such dividend, distribution of offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten days (10) Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or repurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, reorganization, consolidation, merger, salesale or other action, transferas the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Act or to a favorable vote of security holders, if either is required, and the adjustment in Warrant Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, reclassification, consolidation, merger, sale or other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12action.

Appears in 2 contracts

Samples: Registration Rights Agreement (Nyfix Inc), Nyfix Inc

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to pay any dividend payable in cash or in stock of any class to the holders of its Common Stock or to make any other distribution to the holders of its Common Stock, or (b) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional Additional Shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision or combination of outstanding shares of Common Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger or merger sale, change to which the Company is a party and for which approval of any stockholders of the Company is required, Company's charter or any salebylaws, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, then in each such case, the Company shall file give to each holder of a Warrant, in accordance with Section 17, a notice, certified by the Warrant Agent president of the Company and the principal financial officer of the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend, distribution or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, change to the Company's charter or bylaws, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed, and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Common Stock and the number or and kind of any other shares of stock which will comprise a Stock Unit, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause (a) above, or (b) above at least ten twenty days prior to the record date for determining holders of the Common Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 thirty days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 2 contracts

Samples: Securities Purchase Agreement (Contango Oil & Gas Co), Securities Purchase Agreement (TCW Group Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalfthe Company's behalf and at the Company's request, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Class B Exercise Price or the Class B Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 2 contracts

Samples: Warrant Agreement (American Mold Guard Inc), Warrant Agreement (American Mold Guard Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer or distribute to the holders of Common StockShares, generally, rights to subscribe to or purchase any additional shares of any class of its capital stockshare capital, any evidences of its indebtedness or assets, or any other rights or options or options, (b) to effect any reclassification of Common Stock Shares (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common StockShares) or any capital reorganization, tender or exchange offer, or any consolidation consolidation, amalgamation or merger to which the Company is a party and for which approval of any stockholders members of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, or (c) take any action that, under Section 9(c) of the Certificate of Designation for the Preferred Shares, requires delivery of a notice to the holders of the Preferred Shares of such event, then, in each such case, the Company shall file with the Warrant Agent and the CompanyCompany (which the Company covenants to so instruct), or the Warrant Agent on its behalf, if so instructed in writing by the Company, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock Shares entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such actionaction (which notice, in the case of any action under Section 9(c) of the Certificate of Designations for the Preferred Shares, shall include a copy of the notice being concurrently delivered under said Section 9(c) to the holders of the Preferred Shares). Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten 15 days prior to the record date for determining holders of the Common Stock Shares for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock Shares of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock Shares of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 2 contracts

Samples: Warrant Agreement (Foster Wheeler LTD), Warrant Agreement (Foster Wheeler Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Class A Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Class A Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 2 contracts

Samples: Warrant Agreement (Amazon Herb Co), Warrant Agreement (Icrown Corp)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise 9 10 of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 2 contracts

Samples: Warrant Agreement (Adstar Com Inc), Warrant Agreement (Adstar Com Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its the Company's behalf, and at the Company's request, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Edgar Online Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to pay any dividend payable in stock of any class to the holders of its Nonpreferred Stock or to make any other distribution to the holders of its Nonpreferred Stock, or (b) to offer to the holders of Common Stock, generally, its Nonpreferred Stock rights to subscribe for or to or purchase any additional Additional Shares of Nonpreferred Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of Common its Nonpreferred Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Nonpreferred Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, thenor (g) to effect or be subject to any Triggering Event, then in each such case, the Company shall file give to each holder of a Warrant, in accordance with the Warrant Agent and the CompanySection 14, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such stock dividend, distribution or offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commenceand the date of participation therein by the holders of Nonpreferred Stock, as the case may beif any such date is to be fixed, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Nonpreferred Stock and the number or and kind of shares any other property which will comprise a Share, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause (a) above, or (b) above at least ten 20 calendar days prior to the record date for determining holders of the Common Nonpreferred Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 calendar days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Nonpreferred Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Autobond Acceptance Corp

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of New Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of New Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of New Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of New Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten (10) days prior to the record date for determining holders of the New Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of New Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 twenty (20) days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of New Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Tower Tech Inc)

Notice of Certain Corporate Action. In case of the occurrence of one or more of the events that are listed herein, the Company shall cause to be mailed to any paying agent and conversion agent and any Noteholder in the manner provided under Condition 15 hereof within ten (10) Business Days after the date hereof shall propose (a) to offer on which notice is sent to the holders of the Company's Common Stock. Such events are: (i) the Company shall declare a dividend (or any other distribution) on its Common Stock payable (1) otherwise than exclusively in cash, generallyor (2) exclusively in cash in an amount that would require a Conversion Price adjustment pursuant to Condition 6(C)(iii); or (ii) the Company shall authorize the granting to the holders of its Common Stock of rights, rights warrants or options to subscribe to for or purchase any additional shares of capital stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options (excluding employee stock options); or (biii) to effect of any reclassification of the Common Stock of the Company (other than a reclassification involving merely the subdivision or combination of its outstanding shares of Common Stock) or any capital reorganization), or of any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, of the sale or transfer of all or other disposition substantially all of its property and the assets substantially as an entirety, of the Company; or (iv) of the liquidation, voluntary or involuntary dissolution dissolution, liquidation or winding-winding up of the Company, then, in each such case, ; or (v) the Company or any Subsidiary of the Company shall file with the Warrant Agent and commence a tender or exchange offer for all or a portion of the Company, 's outstanding shares of Common Stock (or the Warrant Agent on its behalf, shall mail amend any such tender or exchange offer); The Notice shall state (by first-class, postage prepaid maili) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purpose of such offer dividend, distribution or granting of rights rights, warrants or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights, warrants or options are to be determined, or (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property Property deliverable upon such reclassification, reorganizationre-classification, consolidation, merger, sale, transfer, dissolution, liquidation or winding up, or (iii) the date on which such tender offer commenced, the date on which such tender offer is scheduled to expire unless extended, the consideration offered and the other disposition, liquidation, voluntary material terms thereof (or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity material terms of any transaction listed in this Section 12amendment thereto).

Appears in 1 contract

Samples: Harken Energy Corp

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders generally of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options or options, (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), (c) or to effect any capital reorganization, or (d) to effect any consolidation or merger Fundamental Transaction (as defined below), (e) to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then(f) to offer to the holders generally of its Common Stock the right to have their shares of Common Stock repurchased or redeemed or otherwise acquired by the Company or (g) to take any other action that would require the adjustment of the Exercise Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 12), the Company shall file with give to the Warrant Agent and the CompanyHolder, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such distribution of offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten (10) business days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) business days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or purchase rights, at least 20 days prior to the earlier of the date on which such the holders of Common Stock shall be entitled thereto, or, in the case of any reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and winding up, the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such reclassification, reorganization, consolidationFundamental Transaction or other action. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Securities Act or to a favorable vote of security holders, mergerif either is required, saleand the adjustment in Exercise Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, transferreclassification, Fundamental Transaction or other dispositionaction, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information that the Company has a bona fide purpose Exhibit A - 5 for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 1 contract

Samples: Securities Purchase Agreement (Vermillion, Inc.)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer grant to the all holders of Common Stock, generally, Stock rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, stock or any other rights or options rights, or (bii) to effect any reclassification of Common Stock (Stock, any consolidation of the Company with, or merger of the Company into, any other persons, any merger of any person into the Company other than a reclassification involving merely the subdivision merger that does not result in any reclassification, conversion, exchange or combination cancellation of outstanding shares of Common Stock) or any capital reorganization), or any consolidation sale or merger to which the Company is a party and for which approval transfer of any stockholders all or substantially all of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-first class, postage prepaid mailprepaid) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, sale or transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such actiontherein. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, sale or transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such -45- date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidationonsideration, merger, sale, sale or transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 1213.

Appears in 1 contract

Samples: Warrant Agency Agreement (U S Laboratories Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall will propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall will file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall will mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall will specify the date on which the books of the Company shall will close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall will take place or commence, as the case may be, and which shall will also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall will set forth such facts with respect thereto as shall may be reasonably necessary to indicate any adjustments in the Relevant Exercise Price and the number or kind of shares or other securities purchasable upon on exercise of Warrants which will be required as a result of such action. Such notice shall will be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall will be entitled to exchange their shares for securities or other property deliverable upon on such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall will not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Phage Therapeutics International Inc)

Notice of Certain Corporate Action. In case at any time: -------------------------------------- (A) the Company after shall declare any dividend (or any other distributions) on Depositary Shares; or (B) the date hereof Company shall propose (a) authorize the granting to offer to the all holders of Common Stock, generally, its Depositary Shares of rights to subscribe to for or purchase any additional shares of stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options rights; or (bC) to effect there shall be any reclassification of Common Stock the Depositary Shares or capital stock of the Company; or (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common StockD) or there shall be any capital reorganization, reorganization by the Company; or (E) there shall be any (i) consolidation or merger to which involving the Company is a party and for which approval of any stockholders of Company, other than the Company is requiredmerger contemplated by the Merger Agreement, or any (ii) sale, transfer or other disposition of all or substantially all of the Company's property, assets or business (except a merger or other reorganization in which the Company shall be the surviving corporation and its property shares of capital stock shall continue to be outstanding and assets substantially as an entiretyunchanged and except a consolidation, merger, sale, transfer or the liquidation, other disposition involving a wholly-owned subsidiary); or (F) there shall be a voluntary or involuntary dissolution dissolution, liquidation or winding-up of the Company, Company or any partial liquidation of the Company or distribution to holders of Depositary Shares; then, in each of such casecases, the Company shall file with give written notice to the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders Warrantholder of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which (i) the books of the Company shall close or a record date shall be taken fixed for such offer of dividend, distribution or subscription rights or options(ii) such reorganization, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidationdissolution, voluntary or involuntary dissolution liquidation or winding-up shall take place or commenceup, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such actiontake place. Such notice also shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, specify the date as of which the holders of shares of Common Stock Depositary Shares of record are to be entitled to shall participate in such offering; anddividend, in the case of any action covered by clause (b) abovedistribution or subscription rights, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares depositary receipts for Depositary Shares for securities or other property deliverable upon such reorganization, reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidationdissolution, voluntary or involuntary dissolution liquidation or winding-up, as the case may be. Failure Such notice shall be given at least twenty (20) days prior to give any such notice the action in question and not less than twenty (20) days prior to the record date or any defect therein shall not affect the legality or validity of any transaction listed date on which the Company's transfer books are closed in this respect thereto. Section 123.7.

Appears in 1 contract

Samples: Ascent Pediatrics Inc

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose case: (a) the Company shall declare a dividend or make any other distribution that would require any adjustment pursuant to offer Section 2.5 hereof; or (b) the Company shall authorize the granting to the holders of its Common Stock, generally, Stock of rights or warrants to subscribe to for or purchase any additional shares of capital stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options rights; or (bc) to effect of any reclassification of the Common Stock (other than a reclassification involving merely of the subdivision or combination of outstanding shares of Common Stock) or any capital reorganizationCompany, or of any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is requiredrequired or that is otherwise subject to Section 2.12 hereof, or any saleof the conveyance, lease, sale or transfer of all or other disposition substantially all of its property and the assets substantially as an entirety, of the Company; or (d) of the liquidation, voluntary or involuntary dissolution dissolution, liquidation or winding-winding up of the Company, then, in each such case, ; then the Company shall file with cause to be filed at each office or agency maintained for the Warrant Agent purpose of conversion of Securities pursuant to Section 2.4 hereof, and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) cause to be mailed to all registered holders of Holders at their last addresses as they shall appear in the Warrant Certificates register for the Securities, at least 20 days prior to the applicable record or effective date hereinafter specified, a notice of such proposed action, (which notice shall specify also be sent by release to Reuters Economic Services and Bloomberg Business News as set forth in Section 10.2 of the Indenture) stating (x) the date on which the books of the Company shall close or a record is to be taken for the purpose of such offer of dividend, distribution, rights or optionswarrants, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights or warrants are to be determined, or (by) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, share exchange, conveyance, lease, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property deliverable upon such reclassification, reorganization, consolidation, merger, share exchange, conveyance, lease, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up. Failure Neither the failure to give any such notice or nor any defect therein shall not affect the legality or validity of any transaction listed the proceedings described in clauses (a) through (d) of this Section 122.7. If at the time the Trustee shall not be the conversion agent, a copy of such notice shall also forthwith be filed by the Company with the Trustee. The Company shall cause to be filed at the Corporate Trust Office and each office or agency maintained for the purpose of conversion of Notes pursuant to Section 2.4 of the Indenture, and shall cause to be provided to all Holders in accordance with Section 10.2 of the Indenture, notice of any tender offer by the Company or any Subsidiary for all or any portion of the Common Stock at or about the time that such notice of tender offer is provided to the public generally.

Appears in 1 contract

Samples: First Supplemental Indenture (Lamar Advertising Co/New)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to take a record of the holders of Common Stock, generallyany class of securities for the purpose of determining the holders thereof that are entitled to receive any dividend or other distribution, rights to subscribe for or to or purchase any additional shares of any class of its capital stockstock or any other securities or property, any evidences of its indebtedness or assets, or any other rights rights, warrants or options, (ii) to issue any shares of its capital stock or rights, options or warrants entitling to subscribe for shares of such capital stock or securities convertible or exchangeable or exercisable for shares of such capital stock (bother than any such issuances under any employee or director benefit plan of the Company approved by the Company's Board of Directors), (iii) to effect any capital reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, lease, transfer or other disposition of all or substantially all of its property and assets substantially as an entiretyassets, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, or (iv) the commencement by any "person" or "group" (within the meaning of Section 13(d) and Section 14(d) of the Securities Exchange Act of 1934 (the "Exchange Act")) of a BONA FIDE tender offer or exchange offer in accordance with the rules and regulations of the Exchange Act to purchase shares of Common Stock of the Company, then, in each such case, the Company shall file with the Warrant Agent Agent, and the Company, or the Warrant Agent on its behalfbehalf and at the Company's request, shall mail (by first-class, postage prepaid mail) provide to all registered holders of the Warrant Certificates notice of such proposed actionaction or event, which notice shall specify the date on which the books of the Company shall close or a record be taken for such dividend, distribution or offer of rights or options, or the date on which such issuance, reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or dissolution, winding-up or tender offer shall take place place, commence, or commencebe completed, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein therein, and as of which the holders of record of the Company's Common Stock (or other securities) shall be entitled to exchange their shares of such Common Stock (or other securities) for the securities or other property deliverable upon such reorganization, reclassification, recapitalization, consolidation, merger, sale, lease, transfer, other disposition, dissolution, liquidation, winding-up, tender offer or other event, and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities securities, cash or property purchasable upon exercise of Warrants which will be required as a result of such action, if applicable. Such notice shall be filed and mailed provided in the case of any action covered by clause (ai) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause clauses (bii) through (iv) above, at least 20 days prior to the earlier of the date on which such issuance, reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up up, exchange or tender offer is expected to become effective or be completed and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up, exchange or tender offer. Notwithstanding the foregoing, the Company's obligation to provide notice under this Section 12 is subject and subordinate to the Company's legal obligations regarding the handling and dissemination of material non-public information under the Securities Act, the rules and regulations of the quotation system or securities exchange on which the Common Stock may at any time be listed and other applicable law. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Durus Life Sciences Master Fund LTD)

Notice of Certain Corporate Action. In case the Company after the date hereof shall will propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall will file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall will mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such the proposed action, which notice shall will specify the date on which the books of the Company shall will close or a record be taken for such the offer of rights or options, or the date on which such the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall will take place or commencebegin, as the case may be, and which shall will also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall will set forth such facts with respect thereto as shall may be reasonably necessary to indicate any adjustments in the Relevant Exercise Price and the number or kind of shares or other securities purchasable upon on exercise of Warrants which will be required as a result of such the action. Such The notice shall will be filed and mailed in the case of any action covered by clause (ai) above, at least not less than ten days prior to the record date for determining holders of the Common Stock for purposes of such the action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such the offering; and, in the case of any action covered by clause (bii) above, at least not less than 20 days prior to the earlier of the date on which such the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such the date shall will be entitled to exchange their shares for securities or other property deliverable upon such on the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall will not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Agreement (Phage Therapeutics International Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer or distribute to the holders of Common StockShares, generally, rights to subscribe to or purchase any additional shares of any class of its capital stockshare capital, any evidences of its indebtedness or assets, or any other rights or options or options, (b) to effect any reclassification of Common Stock Shares (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common StockShares) or any capital reorganization, tender or exchange offer, or any consolidation consolidation, amalgamation or merger to which the Company is a party and for which approval of any stockholders members of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, or (c) take any action that, under Section 9(c) of the COD as that term is defined in the Original Agreement, requires delivery of a notice of such event, then, in each such case, the Company shall file with the Warrant Agent (which the Company covenants to so instruct), and the Company, Company or the Warrant Agent on its behalf, if so instructed in writing by the Company, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates Warrantholders notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock Shares entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten 15 days prior to the record date for determining holders of the Common Stock Shares for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock Shares of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days days, or such longer period as may be required by law, prior to the earlier of the date on which such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock Shares of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Foster Wheeler Ag)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to pay any dividend payable in stock of any class to the holders of its Nonpreferred Stock or to make any other distribution to the holders of its Nonpreferred Stock, or (b) to offer to the holders of Common Stock, generally, its Nonpreferred Stock rights to subscribe for or to or purchase any additional Additional Shares of Nonpreferred Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of Common its Nonpreferred Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Nonpreferred Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, then in each such case, the Company shall file give to each holder of a Warrant, in accordance with the Warrant Agent and the CompanySection 12, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such stock dividend, distribution or offer of rights or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commenceand the date of participation therein by the holders of Nonpreferred Stock, as the case may beif any such date is to be fixed, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Nonpreferred Stock and the number or and kind of shares any other property which will comprise a Share, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause (a) above, or (b) above at least ten 20 calendar days prior to the record date for determining holders of the Common Nonpreferred Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 calendar days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Nonpreferred Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Autobond Acceptance Corp

Notice of Certain Corporate Action. In case the Company after ---------------------------------- the date hereof Effective Date shall propose (ai) to offer to all of the holders of Common Stock, generally, Stock rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options in a manner causing an adjustment pursuant to Section 8(A) or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, in a manner causing an adjustment pursuant to Section 8(E), then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, first class postage prepaid mail) mail to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Purchase Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 twenty days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up is expected to become effective and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 1213.

Appears in 1 contract

Samples: Warrant Agreement (First Bank System Inc)

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Notice of Certain Corporate Action. In case case: (i) the Company after shall take an action or an event shall occur, that would require a Conversion Price adjustment pursuant to Section 5(e); or (ii) the date hereof Company shall propose (a) to offer grant to the holders of its Common Stock, generally, Stock rights or warrants to subscribe to for or purchase any additional shares of capital stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options class; or (biii) to effect of any reclassification of the Common Stock (other than a reclassification involving merely the subdivision or combination of the outstanding shares of Common Stock) or any capital reorganization), or of any consolidation consolidation, merger or merger share exchange to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, of the sale or transfer of all or other disposition substantially all of its property and the assets substantially as an entirety, of the Company; or (iv) of the liquidation, voluntary or involuntary dissolution dissolution, liquidation or winding-winding up of the Company, then, in each ; or (v) the Company or any subsidiary shall commence a tender offer for all or a portion of the outstanding shares of Common Stock (or shall amend any such case, tender offer to change the maximum number of shares being sought or the amount or type of consideration being offered therefor); then the Company shall file with the Warrant Agent cause to be filed at each office or agency maintained for such purpose, and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) cause to be mailed to all registered holders of at their last addresses as they shall appear in the Warrant Certificates stock register, at least 30 days prior to the applicable record, effective or expiration date hereinafter specified, a notice of such proposed action, which notice shall specify stating (x) the date on which the books of the Company shall close or a record is to be taken for the purpose of such offer dividend, distribution or granting of rights or optionswarrants, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to who will be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights or warrants are to be determined, (by) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, share exchange, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property deliverable upon such reclassification, reorganization, consolidation, merger, share exchange, sale, transfer, dissolution, liquidation or winding up, or (z) the date on which such tender offer commenced, the date on which such tender offer is scheduled to expire unless extended, the consideration offered and the other dispositionmaterial terms thereof (or the material terms of the amendment thereto). Such notice shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate the effect of such action on the Conversion Price and the number, liquidation, voluntary kind or involuntary dissolution class of shares or winding-upother securities or property which shall be deliverable or purchasable upon the occurrence of such action or deliverable upon conversion of the Series B Preferred Stock. Failure Neither the failure to give any such notice or nor any defect therein shall not affect the legality or validity of any transaction listed action described in clauses (i) through (v) of this Section 125(h).

Appears in 1 contract

Samples: Stock Purchase Agreement (Euniverse Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall will propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall will file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall will mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such the proposed action, which notice shall will specify the date on which the books of the Company shall will close or a record be taken for such the offer of rights or options, or the date on which such the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall will take place or commencebegin, as the case may be, and which shall will also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall will set forth such facts with respect thereto as shall may be reasonably necessary to indicate any adjustments in the Relevant Exercise Price and the number or kind of shares or other securities purchasable upon on exercise of Warrants which will be required as a result of such the action. Such The notice shall will be filed and mailed in the case of any action covered by clause (ai) above, at least not less than ten days prior to the record date for determining holders of the Common Stock for purposes of such the action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such the offering; and, in the case of any action covered by clause (bii) above, at least not less than 20 days prior to the earlier of the date on which such the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such the date shall will be entitled to exchange their shares for securities or other property deliverable upon such on the reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall will not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Agreement (Phage Therapeutics International Inc)

Notice of Certain Corporate Action. In case the Company Company, after the date hereof hereof, shall propose (a) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect (i) any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or (ii) any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent Agent, and the Company, or the Warrant Agent on its the Company's behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights reclassification or options, reorganization or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Purchase Price and the number or of and kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, above at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Medaphis Corp)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entiretyChange in Control, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, options or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionChange in Control, liquidation, voluntary or involuntary dissolution or winding-winding up event shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable purchaseable or other consideration to which the holders of Warrant Certificates would be entitled upon exercise of Warrants which will be required as a result of such actionthe Warrants. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, above at least ten thirty days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (bii) above, at least 20 30 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, a Change in Control or liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upeffective. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Supergen Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer issue Common Stock or Convertible Securities (as defined below), other than (x) an isuance of a type described in clause (i) of Section 5.3 or (y) pursuant to the holders exercise or conversion of Common Stockthen-outstanding Convertible Securities, generallywarrants, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or subscription rights in accordance with the terms thereof, (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (c) or to effect any capital reorganization, or (d) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (e) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, thenor (f) to offer to the holders of its Common Stock the right to have their shares of Common Stock repurchased or redeemed or otherwise acquired by the Company, or (g) to take any other action which would require an adjustment of the Warrant Price and/or the number of Warrant Shares issuable upon exercise of this Warrant under Section 5 hereof, then in each such casecase (but without limiting the provisions of Section 5), the Company shall file with give to the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates Holder a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such offer of rights dividend or optionsdistribution, or the date on which such issuance, reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed, and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed so given (i) in the case of any action covered by clause (a) above), at least ten days five (5) Business Days prior to the issuance of Common Stock or Convertible Securities, or (ii) in the case of clauses (b) through (f), at least five (5) Business Days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten (10) Business Days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) aboverepurchase rights, at least 20 days prior to the earlier of the date on which such reclassificationthe holders of Common Stock shall be entitled thereto, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such any reorganization, reclassification, reorganization, consolidation, merger, salesale or other action, transferas the case may be. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Act or to a favorable vote of security holders, if either is required, and any adjustment to the Warrant Price and/or number of Warrant Shares issuable upon exercise of this Warrant to be made as a result of such reorganization, reclassification, consolidation, merger, sale or other disposition, liquidation, voluntary or involuntary dissolution or winding-upaction. Failure The Holder acknowledges that the information provided to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in Holder pursuant to this Section 124.3 might constitute material non-public information and that securities laws of the United States prohibit a person who has received material, non-public information concerning an issuer from purchasing or selling securities of that issuer on the basis of such material nonpublic information.

Appears in 1 contract

Samples: Trump Entertainment Resorts, Inc.

Notice of Certain Corporate Action. 6.2 In case the Company after the date hereof Issuer shall propose (a) to pay any dividend to the holders of its Common Stock or to make any other distribution to the holders of its Common Stock, or (b) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional Additional Shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger, share exchange or merger to which the Company is a party and for which approval of any stockholders of the Company is requiredsale, or any salelease, transfer or other disposition of all or a majority of its property and property, assets substantially as an entirety, or business or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the CompanyIssuer, then, in each such case, the Company Issuer shall file give to each Warrant Holder, in accordance with the Warrant Agent and the CompanySection 12.2, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend, distribution or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, share exchange, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed, and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Common Stock, if any, and the number or and kind of any other shares of stock which will comprise a Stock Unit, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment, if any, which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause (a) above, above at least ten 20 days prior to the record date for determining holders of the Common Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Warrant Agreement (Verasun Energy Corp)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalfthe Company’s behalf and at the Company’s request, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.clause

Appears in 1 contract

Samples: Warrant Agreement (Icop Digital, Inc)

Notice of Certain Corporate Action. In case If the Company after the date hereof Issuer shall propose (ai) to pay any dividend to the holders of its Common Stock or to make any other distribution to the holders of its Common Stock; (ii) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights Common Stock (or options or rights with respect thereto); (biii) to effect any reclassification of its Common Stock; (iv) to otherwise issue any Common Stock or other securities; (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stockv) or to effect any capital reorganization; (vi) to effect any consolidation, merger or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and assets substantially as an entirety, assets; or (vii) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the CompanyIssuer, then, in each such case, the Company Issuer shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) give to all registered holders each holder of the Warrant Certificates Warrants a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of dividend, distribution or rights or optionsoffer, or the date on which such reclassification, issuance, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed, and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Common Stock, and the number or kind of shares of Warrant Stock which will comprise a Stock Unit (whether or other securities purchasable upon exercise of not any Warrants have been issued hereunder or whether or not any Warrants are then exercisable) after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause (ai) above, or (ii) above at least ten 15 days prior to the record date for determining holders of the Common Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 15 days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Warrant Agreement (Rutherford-Moran Oil Corp)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, behalf shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of 1998 Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Compumed Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options or options, (b) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Stock), (c) or to effect any capital reorganization, or (d) to effect any consolidation or merger Fundamental Transaction (as defined below), (e) to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then(f) to offer to the holders generally of its Common Stock the right to have their shares of Common Stock repurchased or redeemed or otherwise acquired by the Company or (g) to take any other action that would require the adjustment of the Exercise Price and/or the number of Warrant Shares issuable upon exercise of this Warrant, then in each such casecase (but without limiting the provisions of Section 12), the Company shall file with give to the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates Holder a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for purposes of such distribution of offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result effect of such actionaction on the Common Stock. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, so given at least ten business days prior to the record date for determining holders of the Common Stock for purposes of participating in or voting on such action oraction, if a record is not or at least ten business days prior to be taken, the date as of which the taking of such proposed action or the date of participation therein by the holders of shares of Common Stock of record are to Stock, whichever shall be entitled to such offering; andthe earlier. Such notice shall specify, in the case of any action covered by clause (b) abovesubscription or purchase rights, at least 20 days prior to the earlier of the date on which such the holders of Common Stock shall be entitled thereto, or, in the case of any reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionFundamental Transaction, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and winding up, the date on which it is expected that the holders of shares of Common Stock of record on such date shall be entitled to exchange their shares Common Stock for securities or other property deliverable upon such reclassification, reorganization, consolidationFundamental Transaction or other action. Such notice shall also state whether the action in question or the record date is subject to the effectiveness of a registration statement under the Securities Act or to a favorable vote of security holders, mergerif either is required, saleand the adjustment in Exercise Price and/or number of Warrant Shares issuable upon exercise of this Warrant as a result of such reorganization, transferreclassification, Fundamental Transaction or other dispositionaction, liquidation, voluntary or involuntary dissolution or winding-upto the extent then determinable. Failure to give any No such notice shall be given if the Company reasonably determines that the giving of such notice would require disclosure of material information that the Company has a bona fide purpose for preserving as confidential or any defect therein shall the disclosure of which would not affect be in the legality or validity best interests of any transaction listed in this Section 12the Company.

Appears in 1 contract

Samples: Securities Purchase Agreement (Biolase, Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entiretyChange in Control, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, options or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositionChange in Control, liquidation, voluntary or involuntary dissolution or winding-winding up event shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable or other consideration to which the holders of Warrant Certificates would be entitled upon exercise of Warrants which will be required as a result of such actionthe Warrants. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, above at least ten thirty days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (bii) above, at least 20 30 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, a Change in Control or liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-upeffective. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Supergen Inc)

Notice of Certain Corporate Action. In case the Company after ---------------------------------- the date hereof shall propose (ai) to offer to all of the holders of Common Stock, generally, Stock rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options in a manner causing an adjustment pursuant to Section 10(A) or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, in a manner causing an adjustment pursuant to Section 10(E), then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) mail to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositiondeposition, liquidation, voluntary or involuntary dissolution or winding-winding up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Purchase Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 twenty days prior to the their earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositiondeposition, liquidation, voluntary or involuntary dissolution or winding-winding up is in expected to become more effective and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-winding up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 1215.

Appears in 1 contract

Samples: Warrant Agreement (First Bank System Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.of

Appears in 1 contract

Samples: Warrant Agreement (Adstar Com Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to pay any dividend payable in stock of any class to the holders of its Nonpreferred Stock or to make any other distribution to the holders of its Nonpreferred Stock (other than a cash dividend), or (b) to offer to the holders of Common Stock, generally, its Nonpreferred Stock rights to subscribe for or to or purchase any additional Additional Shares of Nonpreferred Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of Common its Nonpreferred Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Nonpreferred Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, then in each such casecase (but without limiting the provisions of SECTION 4B), the Company shall file give to each holder of a Warrant, in accordance with the Warrant Agent and the CompanySECTION 13, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend, distribution or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commenceand the date of participation therein by the holders of Nonpreferred Stock, as the case may beif any such date is to be fixed, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Nonpreferred Stock and the number or and kind of any other shares of stock which will comprise a Stock Unit, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause CLAUSE (aA) above, or (B) above at least ten 20 days prior to the record date for determining holders of the Common Nonpreferred Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Nonpreferred Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Shareholders Agreement (Portola Packaging Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose case: (a) the Company shall declare a dividend or make any other distribution that would require any adjustment pursuant to offer Section 2.05 hereof; or (b) the Company shall authorize the granting to the holders of its Common Stock, generally, Stock of rights or warrants to subscribe to for or purchase any additional shares of capital stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options rights; or (bc) to effect of any reclassification of the Common Stock (other than a reclassification involving merely of the subdivision or combination of outstanding shares of Common Stock) or any capital reorganizationCompany, or of any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any salea consolidation, transfer merger or other disposition of its property and assets substantially as an entiretyshare exchange described in Section 2.01(b)(ii), or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, then the Company shall file with cause to be filed at each office or agency maintained for the Warrant Agent purpose of conversion of Securities pursuant to Section 2.03 hereof, and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) cause to be mailed to all registered holders of Holders at their last addresses as they shall appear in the Warrant Certificates register for the Securities, at least 20 days prior to the applicable record or effective date hereinafter specified, a notice of such proposed action, (which notice shall specify also be sent by release to Reuters Economic Services and Bloomberg Business News) stating (x) the date on which the books of the Company shall close or a record is to be taken for the purpose of such offer of dividend, distribution, rights or optionswarrants, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights or warrants are to be determined, or (by) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary merger or involuntary dissolution or winding-up share exchange is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary merger or involuntary dissolution or winding-upshare exchange. Failure Neither the failure to give any such notice or nor any defect therein shall not affect the legality or validity of any transaction listed the proceedings described in clauses (a) through (c) of this Section 122.07. If at the time the Trustee shall not be the conversion agent, a copy of such notice shall also forthwith be filed by the Company with the Trustee. The Company shall cause to be filed at the Corporate Trust Office and each office or agency maintained for the purpose of conversion of Notes pursuant to Section 305 of the Indenture, and shall cause to be provided to all Holders in accordance with Section 106 of the Indenture, notice of any tender offer by the Company or any Subsidiary for all or any portion of the Common Stock at or about the time that such notice of tender offer is provided to the public generally.

Appears in 1 contract

Samples: Providian Financial Corp

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to take a record of the holders of Common Stock, generallyany class of securities for the purpose of determining the holders thereof that are entitled to receive any dividend or other distribution, rights to subscribe for or to or purchase any additional shares of any class of its capital stockstock or any other securities or property, any evidences of its indebtedness or assets, or any other rights rights, warrants or options, (ii) to issue any shares of its capital stock or rights, options or warrants entitling to subscribe for shares of such capital stock or securities convertible or exchangeable or exercisable for shares of such capital stock (bother than any such issuances under any employee or director benefit plan of the Company approved by the Company's Board of Directors), (iii) to effect any capital reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, lease, transfer or other disposition of all or substantially all of its property and assets substantially as an entiretyassets, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, or (iv) the commencement by any "person" or "group" (within the meaning of Section 13(d) and Section 14(d) of the Securities Exchange Act of 1934 (the "Exchange Act")) of a BONA FIDE tender offer or exchange offer in accordance with the rules and regulations of the Exchange Act to purchase shares of Common Stock of the Company, then, in each such case, the Company shall file with the Warrant Agent Agent, and the Company, or the Warrant Agent on its behalfbehalf and at the Company's request, shall mail (by first-class, postage prepaid mail) provide to all registered holders of the Warrant Certificates notice of such proposed actionaction or event, which notice shall specify the date on which the books of the Company shall close or a record be taken for such dividend, distribution or offer of rights or options, or the date on which such issuance, reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or dissolution, winding-up or tender offer shall take place place, commence, or commencebe completed, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein therein, and as of which the holders of record of the Company's Common Stock (or other securities) shall be entitled to exchange their shares of such Common Stock (or other securities) for the securities or other property deliverable upon such reorganization, reclassification, recapitalization, consolidation, merger, sale, lease, transfer, other disposition, dissolution, liquidation, winding-up, tender offer or other event, and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities securities, cash or property purchasable upon exercise of Warrants which will be required as a result of such action, if applicable. Such notice shall be filed and mailed provided in the case of any action covered by clause (ai) above, at least ten (10) days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause clauses (bii) through (iv) above, at least 20 twenty (20) days prior to the earlier of the date on which such issuance, reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up up, exchange or tender offer is expected to become effective or be completed and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up, exchange or tender offer. Notwithstanding the foregoing, the Company's obligation to provide notice under this Section 12 is subject and subordinate to the Company's legal obligations regarding the handling and dissemination of material non-public information under the Securities Act, the rules and regulations of the quotation system or securities exchange on which the Common Stock may at any time be listed and other applicable law. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Aksys LTD)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to pay any dividend payable in stock of any class to the holders of its Nonpreferred Stock or to make any other distribution to the holders of its Nonpreferred Stock (other than a cash dividend), or (b) to offer to the holders of Common Stock, generally, its Nonpreferred Stock rights to subscribe for or to or purchase any additional Additional Shares of Nonpreferred Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of Common its Nonpreferred Stock (other than a reclassification involving merely only the subdivision subdivision, or combination combination, of outstanding shares of Common Nonpreferred Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, then in each such casecase (but without limiting the provisions of SECTION 4B), the Company shall file give to each holder of a Warrant, in accordance with the Warrant Agent and the CompanySECTION 13, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend, distribution or optionsrights, or the date on ON which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commenceand the date of participation therein by the holders of Nonpreferred Stock, as the case may beif any such date is to be fixed, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Nonpreferred Stock and the number or and kind of any other shares of stock which will comprise a Stock Unit, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause CLAUSE (aA) above, or (B) above at least ten 20 days prior to the record date for determining holders of the Common Nonpreferred Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Nonpreferred Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Portola Packaging Inc

Notice of Certain Corporate Action. In case the Company after the date hereof shall ---------------------------------- propose (a) to offer pay any dividend payable in stock of any class to the holders of Common Stock, generally, rights its Nonpreferred Stock or to subscribe make any other distribution to or purchase any additional shares of any class the holders of its capital Nonpreferred Stock payable in stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, consolidation, merger or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is requiredsale, or any saleorganic change, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (c) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, then in each such case, the Company shall file deliver to each holder of a Warrant, in accordance with the Warrant Agent and the CompanySection 15, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend or optionsdistribution, or the date on which such reclassification, reorganization, consolidation, merger, sale, organic change, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commenceand the date of participation therein by the holders of Nonpreferred Stock, as the case may beif any such date is to be fixed, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Nonpreferred Stock and the number or and kind of any other shares or other securities purchasable upon exercise of Warrants stock which will comprise a Stock Unit after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed in so delivered thirty (30) days prior to (i) the case record date for determining holders of the Nonpreferred Stock for purposes of any action covered by clause (a) or (b) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and (ii) in the case of any action covered by clause (b) aboveother such action, at least 20 days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Nonpreferred Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Securities Purchase Agreement (Right Start Inc /Ca)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalfthe Company's behalf and at the Company's request, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Class A Exercise Price or the Class B Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (American Mold Guard Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer or distribute to the holders of Common StockShares, generally, rights to subscribe to or purchase any additional shares of any class of its capital stockshare capital, any evidences of its indebtedness or assets, or any other rights or options or options, (b) to effect any reclassification of Common Stock Shares (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common StockShares) or any capital reorganization, tender or exchange offer, or any consolidation consolidation, amalgamation or merger to which the Company is a party and for which approval of any stockholders members of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, or (c) take any action that, under Section 9(c) of the COD, requires delivery of a notice to the holders of the Preferred Shares of such event, then, in each such case, the Company shall file with the Warrant Agent (which the Company covenants to so instruct), and the Company, Company or the Warrant Agent on its behalf, if so instructed in writing by the Company, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates Warrantholders notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock Shares entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such actionaction (which notice, in the case of any action under Section 9(c) of the COD, shall include a copy of the notice being concurrently delivered under said Section 9(c) to the holders of the Preferred Shares). Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten 15 days prior to the record date for determining holders of the Common Stock Shares for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock Shares of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days days, or such longer period as may be required by law, prior to the earlier of the date on which such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock Shares of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, amalgamation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Foster Wheeler Inc)

Notice of Certain Corporate Action. In case the Company Company, after the date hereof hereof, shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Careside Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall will propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall will file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall will mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall will specify the date on which the books of the Company shall will close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall will take place or commence, as the case may be, and which shall will also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall will set forth such facts with respect thereto as shall will be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall will be filed and mailed in the case of any action covered by clause (ai) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall will be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall will not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: U S Laboratories Inc

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (NitroSecurity, Inc.)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose case: (a) the Company shall declare a dividend (or any other distribution) on its Common Stock payable otherwise than (i) exclusively in cash or (ii) exclusively in cash in an amount that would require any adjustment pursuant to offer Section 1605; or (b) the Company shall authorize the granting to the holders of its Common Stock, generally, Stock of rights or warrants to subscribe to for or purchase any additional shares of capital stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options rights; or (bc) to effect of any reclassification of the Common Stock of the Company (other than a reclassification involving merely the subdivision or combination of its outstanding shares of Common Stock) or any capital reorganization), or of any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any saleof the conveyance, lease, sale or transfer of all or other disposition substantially all of its property and the assets substantially as an entirety, of the Company; or (d) of the liquidation, voluntary or involuntary dissolution dissolution, liquidation or winding-winding up of the Company, then, in each such case, ; then the Company shall file with cause to be filed at each office or agency maintained for the Warrant Agent purpose of conversion of Securities pursuant to Section 1002, and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) cause to be mailed to all registered holders of Holders at their last addresses as they shall appear in the Warrant Certificates Security Register, at least 20 days (or 10 days in any case specified in clause (a) or (b) above) prior to the applicable record or effective date hereinafter specified, a notice of such proposed action, which notice shall specify stating (x) the date on which the books of the Company shall close or a record be taken is to betaken for the purpose of such offer of dividend, distribution, rights or optionswarrants, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights or warrants are to be determined, or (by) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, share exchange, conveyance, lease, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property deliverable upon such reclassification, reorganization, consolidation, merger, share exchange, conveyance, lease, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up. Failure Neither the failure to give any such notice or nor any defect therein shall not affect the legality or validity of any transaction listed the proceedings described in clauses (a) through (d) of this Section 12.1607. If at the time the Trustee shall not be the conversion agent, a copy of such notice shall also forthwith be filed by the Company with the Trustee. The Company shall cause to be filed at the Corporate Trust Office and each office or agency maintained for the purpose of conversion of Securities pursuant to Section 1002, and shall cause to be provided to all Holders in accordance with Section 106, notice of any tender offer by the Company or any Subsidiary for all or any portion of the Common Stock at or about the time that such notice of tender offer is provided to the public generally

Appears in 1 contract

Samples: Reconciliation And (Mindspring Enterprises Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall ---------------------------------- propose (a) to pay any dividend payable in cash or in stock of any class to the holders of its Common Stock or to make any other distribution to the holders of its Common Stock, or (b) to offer to the holders of its Common Stock, generally, Stock rights to subscribe for or to or purchase any additional Additional Shares of Common Stock or shares of stock of any class of its capital stock, any evidences of its indebtedness or assets, or any other securities, rights or options options, or (bc) to effect any reclassification of its Common Stock (other than a reclassification involving merely only the subdivision or combination of outstanding shares of Common Stock), or (d) or to effect any capital reorganization, or (e) to effect any consolidation consolidation, merger or merger sale, change to which the Company is a party and for which approval of any stockholders of the Company is required, Company's charter or any salebylaws, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (f) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, then in each such case, the Company shall file give to each holder of a Warrant, in accordance with Section 17, a notice, certified by the Warrant Agent president of the Company and the principal financial officer of the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend, distribution or optionsrights, or the date on which such reclassification, reorganization, consolidation, merger, sale, change to the Company's charter or bylaws, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commence, as and the case may be, and which shall also specify any record date for determination of participation therein by the holders of Common Stock entitled Stock, if any such date is to vote thereon or participate therein be fixed, and shall also set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Common Stock and the number or and kind of any other shares of stock which will comprise a Stock Unit, and the purchase price or other securities purchasable upon exercise of Warrants prices thereof, after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed so given in the case of any action covered by clause (a) above, or (b) above at least ten twenty days prior to the record date for determining holders of the Common Stock for purposes of such action oraction, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and in the case of any action covered by clause (b) aboveother such action, at least 20 thirty days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Securities Purchase Agreement (Contango Oil & Gas Co)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary 10 of 19 or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Antivirals Inc)

Notice of Certain Corporate Action. In case the Company after the date hereof shall ---------------------------------- propose (a) to offer pay any dividend payable in stock of any class to the holders of Common Stock, generally, rights its Nonpreferred Stock or to subscribe make any other distribution to or purchase any additional shares of any class the holders of its capital Nonpreferred Stock payable in stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, consolidation, merger or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is requiredsale, or any saleorganic change, transfer or other disposition of all or substantially all of its property and property, assets substantially as an entiretyor business, or (c) to effect the liquidation, voluntary or involuntary dissolution or winding-winding up of the Company, then, then in each such case, the Company shall file deliver to each holder of a Warrant, in accordance with the Warrant Agent and the CompanySection 16, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates a notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purposes of such offer of rights stock dividend or optionsdistribution, or the date on which such reclassification, reorganization, consolidation, merger, sale, organic change, transfer, other disposition, liquidation, voluntary dissolution, or involuntary dissolution or winding-winding up shall is to take place or commenceand the date of participation therein by the holders of Nonpreferred Stock, as the case may beif any such date is to be fixed, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price effect of such action on the Nonpreferred Stock and the number or and kind of any other shares or other securities purchasable upon exercise of Warrants stock which will comprise a Stock Unit after giving effect to any adjustment which will be required as a result of such action. Such notice shall be filed and mailed in so delivered thirty (30) days prior to (i) the case record date for determining holders of the Nonpreferred Stock for purposes of any action covered by clause (a) or (b) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, and (ii) in the case of any action covered by clause (b) aboveother such action, at least 20 days prior to the earlier date of the date on which taking of such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary proposed action or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that of participation therein by the holders of shares of Common Stock of record on such date Nonpreferred Stock, whichever shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12earlier.

Appears in 1 contract

Samples: Securities Purchase Agreement (Right Start Inc /Ca)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to take a record of the holders of Common Stock, generallyany class of securities for the purpose of determining the holders thereof that are entitled to receive any dividend or other distribution, rights to subscribe for or to or purchase any additional shares of any class of its capital stockstock or any other securities or property, any evidences of its indebtedness or assets, or any other rights rights, warrants or options, (ii) to issue any shares of its capital stock or rights, options or warrants entitling to subscribe for shares of such capital stock or securities convertible or exchangeable or exercisable for shares of such capital stock (bother than any such issuances under any employee or director benefit plan of the Company approved by the Company's Board of Directors), (iii) to effect any capital reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, lease, transfer or other disposition of all or substantially all of its property and assets substantially as an entiretyassets, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, or (iv) the commencement by any "person" or "group" (within the meaning of Section 13(d) and Section 14(d) of the Securities Exchange Act of 1934 (the "Exchange Act")) of a bona fide tender offer or exchange offer in accordance with the rules and regulations of the Exchange Act to purchase shares of Common Stock of the Company, then, in each such case, the Company shall file with the Warrant Agent Agent, and the Company, or the Warrant Agent on its behalfbehalf and at the Company's request, shall mail (by first-class, postage prepaid mail) provide to all registered holders of the Warrant Certificates notice of such proposed actionaction or event, which notice shall specify the date on which the books of the Company shall close or a record be taken for such dividend, distribution or offer of rights or options, or the date on which such issuance, reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or dissolution, winding-up or tender offer shall take place place, commence, or commencebe completed, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein therein, and as of which the holders of record of the Company's Common Stock (or other securities) shall be entitled to exchange their shares of such Common Stock (or other securities) for the securities or other property deliverable upon such reorganization, reclassification, recapitalization, consolidation, merger, sale, lease, transfer, other disposition, dissolution, liquidation, winding-up, tender offer or other event, and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities securities, cash or property purchasable upon exercise of Warrants which will be required as a result of such action, if applicable. Such notice shall be filed and mailed provided in the case of any action covered by clause (ai) above, at least ten (10) days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause clauses (bii) through (iv) above, at least 20 twenty (20) days prior to the earlier of the date on which such issuance, reclassification, reorganization, consolidation, merger, sale, lease, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up up, exchange or tender offer is expected to become effective or be completed and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up, exchange or tender offer. Notwithstanding the foregoing, the Company's obligation to provide notice under this Section 12 is subject and subordinate to the Company's legal obligations regarding the handling and dissemination of material non-public information under the Securities Act, the rules and regulations of the quotation system or securities exchange on which the Common Stock may at any time be listed and other applicable law. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Aksys LTD)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (a) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (b) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders shareholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage (prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (b) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Form of Warrant Agreement (Wilson Holdings, Inc.)

Notice of Certain Corporate Action. In case of the occurrence of one or more of the events that are listed herein, the Company shall cause to be mailed to any paying agent and conversion agent and any Noteholder in the manner provided under Condition 15 hereof within ten (10) Business Days after the date hereof shall propose (a) to offer on which notice is sent to the holders of the Company’s Common Stock. Such events are: (i) the Company shall declare a dividend (or any other distribution) on its Common Stock payable (1) otherwise than exclusively in cash, generallyor (2) exclusively in cash in an amount that would require a Conversion Price adjustment pursuant to Condition 6(C)(iii); or (ii) the Company shall authorize the granting to the holders of its Common Stock of rights, rights warrants or options to subscribe to for or purchase any additional shares of capital stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options (excluding employee stock options); or (biii) to effect of any reclassification of the Common Stock of the Company (other than a reclassification involving merely the subdivision or combination of its outstanding shares of Common Stock) or any capital reorganization), or of any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, of the sale or transfer of all or other disposition substantially all of its property and the assets substantially as an entirety, of the Company; or (iv) of the liquidation, voluntary or involuntary dissolution dissolution, liquidation or winding-winding up of the Company, then, in each such case, ; or (v) the Company or any Subsidiary of the Company shall file with the Warrant Agent and commence a tender or exchange offer for all or a portion of the Company, ’s outstanding shares of Common Stock (or the Warrant Agent on its behalf, shall mail amend any such tender or exchange offer); The Notice shall state (by first-class, postage prepaid maili) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record is to be taken for the purpose of such offer dividend, distribution or granting of rights rights, warrants or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights, warrants or options are to be determined, or (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property Property deliverable upon such reclassification, reorganizationre-classification, consolidation, merger, sale, transfer, dissolution, liquidation or winding up, or (iii) the date on which such tender offer commenced, the date on which such tender offer is scheduled to expire unless extended, the consideration offered and the other disposition, liquidation, voluntary material terms thereof (or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity material terms of any transaction listed in this Section 12amendment thereto).

Appears in 1 contract

Samples: Harken Energy Corp

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose case: (a) the Company shall declare a dividend or make any other distribution that would require any adjustment pursuant to offer Section 2.5 hereof; or (b) the Company shall authorize the granting to the holders of its Common Stock, generally, Stock of rights or warrants to subscribe to for or purchase any additional shares of capital stock of any class or of its capital stock, any evidences of its indebtedness or assets, or any other rights or options rights; or (bc) to effect of any reclassification of the Common Stock (other than a reclassification involving merely of the subdivision or combination of outstanding shares of Common Stock) or any capital reorganizationCompany, or of any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is requiredrequired or that is otherwise subject to Section 2.12 hereof, or any saleof the conveyance, lease, sale or transfer of all or other disposition substantially all of its property and the assets substantially as an entirety, of the Company; or (d) of the liquidation, voluntary or involuntary dissolution dissolution, liquidation or winding-winding up of the Company, then, in each such case, ; then the Company shall file with cause to be filed at each office or agency maintained for the Warrant Agent purpose of conversion of Securities pursuant to Section 2.3 hereof, and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) cause to be mailed to all registered holders of Holders at their last addresses as they shall appear in the Warrant Certificates register for the Securities, at least 20 days prior to the applicable record or effective date hereinafter specified, a notice of such proposed action, (which notice shall specify also be sent by release to Reuters Economic Services and Bloomberg Business News as set forth in Section 105 of the Indenture) stating (x) the date on which the books of the Company shall close or a record is to be taken for the purpose of such offer of dividend, distribution, rights or optionswarrants, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (a) above, at least ten days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; anddividend, in the case of any action covered by clause distribution, rights or warrants are to be determined, or (by) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, share exchange, conveyance, lease, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up is expected to become effective effective, and the date on as of which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares of Common Stock for securities securities, cash or other property deliverable upon such reclassification, reorganization, consolidation, merger, share exchange, conveyance, lease, sale, transfer, other dispositiondissolution, liquidation, voluntary liquidation or involuntary dissolution or winding-winding up. Failure Neither the failure to give any such notice or nor any defect therein shall not affect the legality or validity of any transaction listed the proceedings described in clauses (a) through (d) of this Section 122.7. If at the time the Trustee shall not be the conversion agent, a copy of such notice shall also forthwith be filed by the Company with the Trustee. The Company shall cause to be filed at the Corporate Trust Office and each office or agency maintained for the purpose of conversion of Notes pursuant to Section 305 of the Indenture, and shall cause to be provided to all Holders in accordance with Section 105 of the Indenture, notice of any tender offer by the Company or any Subsidiary for all or any portion of the Common Stock at or about the time that such notice of tender offer is provided to the public generally.

Appears in 1 contract

Samples: Supplemental Indenture (Providian Financial Corp)

Notice of Certain Corporate Action. In case the Company after the date hereof shall propose (ai) to offer to the holders of Common Stock, generally, rights to subscribe to or purchase any additional shares of any class of its capital stock, any evidences of its indebtedness or assets, or any other rights or options or (bii) to effect any reclassification of Common Stock (other than a reclassification involving merely the subdivision or combination of outstanding shares of Common Stock) or any capital reorganization, or any consolidation or merger to which the Company is a party and for which approval of any stockholders of the Company is required, or any sale, transfer or other disposition of its property and assets substantially as an entirety, or the liquidation, voluntary or involuntary dissolution or winding-up of the Company, then, in each such case, the Company shall file with the Warrant Agent and the Company, or the Warrant Agent on its behalf, shall mail (by first-class, postage prepaid mail) to all registered holders of the Warrant Certificates notice of such proposed action, which notice shall specify the date on which the books of the Company shall close or a record be taken for such offer of rights or options, or the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up shall take place or commence, as the case may be, and which shall also specify any record date for determination of holders of Common Stock entitled to vote thereon or participate therein and shall set forth such facts with respect thereto as shall be reasonably necessary to indicate any adjustments in the Exercise Price and the number or kind of shares or other securities purchasable upon exercise of Warrants which will be required as a result of such action. Such notice shall be filed and mailed in the case of any action covered by clause (ai) above, at least ten 10 days prior to the record date for determining holders of the Common Stock for purposes of such action or, if a record is not to be taken, the date as of which the holders of shares of Common Stock of record are to be entitled to such offering; and, in the case of any action covered by clause (bii) above, at least 20 days prior to the earlier of the date on which such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up is expected to become effective and the date on which it is expected that holders of shares of Common Stock of record on such date shall be entitled to exchange their shares for securities or other property deliverable upon such reclassification, reorganization, consolidation, merger, sale, transfer, other disposition, liquidation, voluntary or involuntary dissolution or winding-up. Failure to give any such notice or any defect therein shall not affect the legality or validity of any transaction listed in this Section 12.

Appears in 1 contract

Samples: Warrant Agreement (Avi Biopharma Inc)

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