EXHIBIT 4.1 FORM OF 5.0% CONVERTIBLE SUBORDINATED NOTE DUE 2008 DAVE & BUSTER'S, INC. [FORM OF FACE OF NOTE] [THE FOLLOWING PARAGRAPH SHALL APPEAR ON THE FACE OF EACH RESTRICTED NOTE.] THIS SECURITY HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF...Convertible Subordinated Note • August 7th, 2003 • Dave & Busters Inc • Retail-eating places
EXHIBIT 4 This Note has not been registered under the Securities Act of 1933 and may not be offered or sold except pursuant to an exemption from, or in a transaction not subject to, the registration requirements of the Securities Act of 1933. VANGUARD...Convertible Subordinated Note • January 14th, 2003 • Vanguard Health Systems Inc • Hospital & medical service plans • New York
THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE, LOCAL OR FOREIGN SECURITIES LAW AND MAY NOT BE SOLD, TRANSFERRED OR ASSIGNED UNLESS SO REGISTERED OR AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT...Convertible Subordinated Note • June 16th, 1999 • Geographics Inc • Wholesale-paper & paper products • Washington
ContractConvertible Subordinated Note • April 6th, 2017 • GEE Group Inc. • Services-employment agencies • New York
THIS SECURITY HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND ACCORDINGLY, MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED EXCEPT PURSUANT TO (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR (B) EXEMPTION FROM THE REGISTRATION REQUIREMENTS THEREUNDER. NOTWITHSTANDING THE FOREGOING, THE SECURITIES MAY BE PLEDGED IN CONNECTION WITH A BONA FIDE MARGIN ACCOUNT OR OTHER LOAN OR FINANCING ARRANGEMENT SECURED BY THE SECURITIES.
ContractConvertible Subordinated Note • June 28th, 2012 • EQM Technologies & Energy, Inc. • Industrial organic chemicals • Delaware
THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (“ACT”), OR UNDER ANY STATE SECURITIES LAW AND THIS NOTE MAY NOT BE PLEDGED, SOLD, ASSIGNED OR TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT WITH RESPECT THERETO UNDER THE ACT AND ANY APPLICABLE STATE SECURITIES LAW, OR UNLESS THE DEBTOR RECEIVES AN OPINION OF COUNSEL, SATISFACTORY TO THE DEBTOR, THAT SUCH REGISTRATION IS NOT REQUIRED.
AMENDMENT NO. 1 AND WAIVER TO CONVERTIBLE SUBORDINATED NOTEConvertible Subordinated Note • April 10th, 2006 • Artistdirect Inc • Services-business services, nec • New York
THIS AMENDMENT NO. 1 AND WAIVER (“Amendment and Waiver”) is made and entered into as of this 7th day of April, 2006, by and among ARTISTdirect, Inc., a Delaware corporation (the “Company”), and DKR SoundShore Oasis Holding Fund, Ltd. (“Buyer”). Capitalized terms used herein and undefined shall have the meanings set forth in the Securities Purchase Agreement (defined in the Recitals below).
Exhibit 10.2 THIS CONVERTIBLE SUBORDINATED NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. NO SALE OR DISPOSITION MAY BE EFFECTED EXCEPT IN COMPLIANCE WITH RULE 144 UNDER SAID ACT OR AN EFFECTIVE REGISTRATION STATEMENT...Convertible Subordinated Note • April 26th, 1999 • Cortelco Systems Inc • California
BIOSEPRA INC.Convertible Subordinated Note • February 14th, 2001 • Sepracor Inc /De/ • Pharmaceutical preparations
ContractConvertible Subordinated Note • May 11th, 2004 • Net Perceptions Inc • Services-prepackaged software • New York
THIS CONVERTIBLE SUBORDINATED NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION OF THIS CONVERTIBLE SUBORDINATED NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE TRANSFERRED OR OTHERWISE DISPOSED OF UNLESS THEY HAVE BEEN REGISTERED UNDER SUCH ACT OR PURSUANT TO AN EXEMPTION FROM REGISTRATION UNDER SUCH ACT. IN ADDITION, THIS CONVERTIBLE NOTE IS NOT TRANSFERABLE OR ASSIGNABLE EXCEPT AS SPECIFIED IN THE CONVERTIBLE NOTE PURCHASE AGREEMENT REFERRED TO HEREIN.
CONVERTIBLE SUBORDINATED NOTE US $1,200,000 _______________________ DATE OF ISSUANCE _______________________ LOCATION OF ISSUANCE FOR VALUE RECEIVED, the undersigned, DYNAMIC MATERIALS CORPORATION, a Delaware corporation (the "COMPANY"), promises to...Convertible Subordinated Note • January 31st, 2000 • Dynamic Materials Corp • Miscellaneous primary metal products • Delaware
CONVERTIBLE SUBORDINATED NOTEConvertible Subordinated Note • March 10th, 1997 • Colonial Downs Holdings Inc • Services-racing, including track operation
Exhibit 4.1 THIS NOTE, AND THE SECURITIES ISSUABLE UPON CONVERSION OF THIS NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "ACT"), OR THE SECURITIES LAWS OF ANY STATE. THIS NOTE AND ANY OF SUCH SECURITIES MAY NOT BE...Convertible Subordinated Note • November 13th, 2001 • Information Analysis Inc • Services-prepackaged software • Virginia
ContractConvertible Subordinated Note • November 25th, 2008 • Riptide Worldwide, Inc. • Services-prepackaged software • New York
THIS SECURITY HAS BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR FOR SALE IN CONNECTION WITH, ANY DISTRIBUTION THEREOF WITHIN THE MEANING OF THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”).
ContractConvertible Subordinated Note • December 26th, 2006 • Columbia Laboratories Inc • Pharmaceutical preparations • New York
THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THIS NOTE MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE NOTE UNDER APPLICABLE SECURITIES LAWS OR UNLESS OFFERED, SOLD, PLEDGED, HYPOTHECATED OR TRANSFERRED PURSUANT TO AN AVAILABLE EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF THOSE LAWS. THE COMPANY SHALL BE ENTITLED TO REQUIRE AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED TO THE EXTENT THAT AN OPINION IS REQUIRED PURSUANT TO THE AGREEMENT UNDER WHICH THE NOTE WAS ISSUED.
CHINA EDUCATION ALLIANCE, INC. 3% CONVERTIBLE SUBORDINATED NOTE DUE SEPTEMBER 30, 2007Convertible Subordinated Note • May 15th, 2007 • China Education Alliance Inc. • Services-educational services • New York
FOR VALUE RECEIVED, China Education Alliance, Inc., a North Carolina corporation (the “Company”), hereby promises to pay to the order of EOS Holdings or registered assigns (the “Holder”), the principal amount of one hundred twenty five thousand dollars ($125,000) on September 30, 2007 (“Maturity Date”). Interest on the outstanding principal balance shall be paid at the rate of three percent (3%) per annum, payable on the Maturity Date. Interest shall be computed on the basis of a 360-day year, using the number of days actually elapsed. This Note is issued pursuant to a securities purchase agreement (the “Agreement”) dated May 8, 2007, by and among the Company, Barron Partners LP and the other Investors named therein. All terms defined in the Agreement and used in this Note shall have the same meaning in this Note as in the Agreement.
THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE, LOCAL OR FOREIGN SECURITIES LAW AND MAY NOT BE SOLD, TRANSFERRED OR ASSIGNED UNLESS SO REGISTERED OR AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT...Convertible Subordinated Note • June 16th, 1999 • Geographics Inc • Wholesale-paper & paper products • Washington
ContractConvertible Subordinated Note • June 28th, 2012 • EQM Technologies & Energy, Inc. • Industrial organic chemicals • New York
THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (“ACT”), OR UNDER ANY STATE SECURITIES LAW AND THIS NOTE MAY NOT BE PLEDGED, SOLD, ASSIGNED OR TRANSFERRED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT WITH RESPECT THERETO UNDER THE ACT AND ANY APPLICABLE STATE SECURITIES LAW, OR UNLESS THE DEBTOR RECEIVES AN OPINION OF COUNSEL, SATISFACTORY TO THE DEBTOR, THAT SUCH REGISTRATION IS NOT REQUIRED.
THIS CONVERTIBLE SUBORDINATED NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION OF THIS CONVERTIBLE SUBORDINATED NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE TRANSFERRED OR OTHERWISE DISPOSED OF...Convertible Subordinated Note • April 30th, 2004 • Kanders Warren B • Services-prepackaged software • New York
FIRST AMENDMENT TO CONVERTIBLE SUBORDINATE NOTEConvertible Subordinated Note • December 19th, 2008 • Artistdirect Inc • Services-business services, nec
FIRST AMENDMENT TO CONVERTIBLE SUBORDINATED NOTE (this “Amendment”) made and entered into as of December 16, 2008, by ARTISTdirect, Inc., a Delaware corporation (the “Company”) in favor of the Holders, with reference to the following facts:
ContractConvertible Subordinated Note • July 2nd, 2004 • Whittier Energy Corp • Oil & gas field exploration services • Texas
THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY STATE. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, ASSIGNED OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND APPLICABLE STATE SECURITIES LAWS OR DELIVERY TO MAKER OF AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO MAKER THAT REGISTRATION IS NOT REQUIRED UNDER SUCH ACT AND LAWS.
AMENDMENT NO. 1 TO CONVERTIBLE SUBORDINATED NOTEConvertible Subordinated Note • March 4th, 2010 • Columbia Laboratories Inc • Pharmaceutical preparations • New York
This Amendment No. 1 (this “Amendment”) to each of Columbia Laboratories, Inc.’s (the “Company”) Convertible Subordinated Notes due December 31, 2011 (each, a “Note” and collectively, the “Notes”), is made as of March 3, 2010. Except as otherwise provided herein, capitalized terms used herein shall have the meanings set forth in the Notes. For purposes hereof, the “Note Purchase Agreements” shall mean the Note Purchase and Amendment Agreements, dated on or after March 3, 2010, each by and among the Company and certain other persons relating to the Notes.
NUMBER $___________ R- SPORTS & RECREATION, INC. 4 1/4% Convertible Subordinated Note Due 2000 CUSIP 481386 AA 8 Sports & Recreation, Inc, a Delaware corporation (hereinafter called the "Company", which term includes any successor corporation under...Convertible Subordinated Note • November 16th, 1998 • Jumbosports Inc • Retail-miscellaneous shopping goods stores
Sports & Recreation, Inc, a Delaware corporation (hereinafter called the "Company", which term includes any successor corporation under the indenture hereinafter referenced), for value received, hereby promises to pay to:
EXHIBIT BConvertible Subordinated Note • December 14th, 2006 • Langer Inc • Orthopedic, prosthetic & surgical appliances & supplies • New York
THIS CONVERTIBLE SUBORDINATED NOTE AND THE SHARES OF COMMON STOCK ISSU-ABLE UPON CONVERSION HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND ARE NOT TRANSFERABLE EXCEPT UPON THE CONDITIONS SPE-CIFIED IN THE PURCHASE AGREEMENT REFERRED TO HEREIN.
1 EXHIBIT 4.2 10% CONVERTIBLE SUBORDINATED NOTE October 28, 1996 ON OR BEFORE the earlier of (i) February 1, 1997 or (ii) the closing of any public or private debt or equity financing of Maker or its direct or indirect parent corporation exceeding...Convertible Subordinated Note • November 19th, 1996 • Striker Industries Inc • Paper mills
THIS CONVERTIBLE SUBORDINATED NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED AND MAY NOT BE SOLD, TRANSFERRED, ASSIGNED, PLEDGED, OR HYPOTHECATED UNLESS AND UNTIL REGISTERED UNDER SUCH ACT, OR UNLESS THE ISSUER HAS RECEIVED...Convertible Subordinated Note • March 28th, 2012 • API Technologies Corp. • Semiconductors & related devices • New York
THIS NOTE IS SUBJECT TO THE NOTE PURCHASE AGREEMENT DATED AS OF MARCH 22, 2012, AS THE SAME MAY BE AMENDED, SUPPLEMENTED, MODIFIED OR REPLACED FROM TIME TO TIME, INCLUDING, WITHOUT LIMITATION, THE SUBORDINATION PROVISIONS OF ARTICLE XIV THEREOF. IF ANY PROVISION OF THIS NOTE IS FOUND TO CONFLICT WITH SUCH NOTE PURCHASE AGREEMENT, THE PROVISIONS OF SUCH NOTE PURCHASE AGREEMENT SHALL PREVAIL.
