Warrant to Purchase Shares of Common StockGAM Selection Investment IncWord文档格式.docx
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Warrant to Purchase Shares of Common StockGAM Selection Investment IncWord文档格式.docx
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THE3DOCOMPANY
IssueDate:
October9,2001
WarrantNo.CW-836,000SharesofCommonStock
1.Issuance.ThisWarrantisissuedtoGAMSelectionInvestmentInc.
(the"
Holder"
),byThe3DOCompany,aDelawarecorporation(hereinafterwithits
successorscalledthe"
Company"
)pursuanttotheStockPurchaseAgreementofevendateherewith(the"
PurchaseAgreement"
).CapitalizedtermsusedbutnototherwisedefinedhereinshallhavethemeaningsascribedtotheminthePurchaseAgreement.
2.PurchasePrice;
NumberofShares.Subjecttotheexercise
restrictionprovidedforinSection6hereof,thisWarrantcertifiesthat,for
valuereceived,theHolderofthisWarrantisentitleduponsurrenderofthis
WarrantwiththesubscriptionformannexedheretoasAppendix1dulyexecuted,
attheprincipalofficeoftheCompany,topurchasefromtheCompany36,000fullypaidandnonassessablesharesofCommonStockoftheCompany(the"
CommonStock"
)atapricepershare(the"
PurchasePrice"
)of$2.27,subjecttoadjustmentpursuanttoSections8and9below.
3.PaymentofPurchasePrice.ThePurchasePricemaybepaid(i)in
cashorbycertifiedcheckorwiretransfer,(ii)bythecancellation,surrender
orforgivenessbytheHoldertotheCompanyofanypromissorynotesorother
obligationsissuedbytheCompany,withallsuchnotesandobligationssosurrenderedbeingcreditedagainstthePurchasePriceinanamountequaltothe
principalamountthereofplusaccruedinteresttothedateofsurrender,or
(iii)byanycombinationoftheforegoing.
4.NetIssueElection.Notwithstandinganyprovisionshereintothe
contrary,theHoldermayelecttoreceive,withoutthepaymentbytheHolderof
anyadditionalconsideration,sharesofCommonStockequaltothevalue(as
determinedbelow)ofthisWarrantbythesurrenderofthisWarranttothe
Company,withthenetissueelectionnoticesetforthinAppendix1annexed
heretodulyexecuted,attheprincipalofficeoftheCompany.Thereupon,the
CompanyshallissuetotheHoldersuchnumberoffullypaidandnonassessable
sharesofCommonStockasiscomputedusingthefollowingformula:
X=Y(A-B)
------
A
where:
X=thenumberofsharesofCommonStocktobeissuedtotheHolderpursuanttothisSection4.
Y=thenumberofsharesofCommonStockcoveredbythisWarrantor,ifonlyaportionoftheWarrantisbeingexercised,theportionoftheWarrantbeingexercisedatthetimethenetissueelectionismadepursuanttothisSection
4.
A=thefairmarketvalueofoneshareofCommonStock,determinedasfollows:
(i)ifatsuchtimetheCommonStockislistedonanationalsecuritiesexchangeorontheover-the-countermarket,thentheclosingpriceoftheCommonStockonthebusinessdayimmediatelypriortothedateofexerciseor,ifnosaleoftheCommonStockwasmadeonsuchday,thefirstbusinessdayimmediatelyprecedingsuchdayuponwhichasalewasmade,or(ii)ifatsuchtimetheCommonStockisnotlistedonanationalsecuritiesexchangeoron
theover-the-countermarket,thenasdeterminedingoodfaithbytheBoardandagreedtobyHolderatthetimethenetissueelectionismadepursuanttothisSection4.
B=thePurchasePriceineffectunderthisWarrantatthetimethenetissueelectionismadepursuanttothisSection4.
5.FractionalShares.Nofractionalsharesshallbeissuedupon
exerciseofthisWarrant.TheCompanyshall,inlieuofissuinganyfractional
share,paytheholderentitledtosuchfractionasumincashequaltosuch
fractionmultipliedbythetheneffectivePurchasePrice.
6.Exercise.
(a)ExpirationDate.Holder'
srightsunderthisWarrantexpireat
5:
00p.m.PacificTimeonthefifthanniversaryofthedateofthisWarrant(the
"
ExpirationDate"
)andshallbevoidthereafter.
(b)Delivery.Upontheexerciseoftherightsrepresentedbythis
Warrant,theCompanyshallusegoodfaitheffortstoissueanddelivertothe
HolderacertificateorcertificatesforthesharesofCommonStockissuable
uponexerciseofthisWarrantsopurchased,registeredinthenameoftheHolder
withinareasonabletimeaftertherightsrepresentedbythisWarrantshallhave
beensoexercisedandinanyeventwithintwenty(20)daysafterreceiptofthe
NoticeofExerciseand,unlesstheWarranthasbeenfullyexercisedorexpired,
anewwarrantrepresentingtheremainingportionoftheWarrantandtheunderlyingCommonStock,ifany,withrespecttowhichthisWarrantshallnothavebeenexercisedshallalsobeissuedtotheHolderassoonaspossibleand
inanyeventwithinsuchtwenty(20)dayperiod.
7.ReservedShares;
ValidIssuance.TheCompanycovenantsthatitwill
atalltimesfromandafterthedatehereofreserveandkeepavailablesuch
numberofitsauthorizedsharesofCommonStockoftheCompany,freefromall
preemptiveorsimilarrightstherein,aswillbesufficienttopermitthe
exerciseofthisWarrantinfull.Ifatanytimebetweenthedatehereofandthe
ExpirationDate,thenumberofauthorizedbutunissuedsharesofCommonStockshallnotbesufficienttopermitexerciseofthisWarrant,theCompanywilltakesuchcorporateactionasmaybenecessarytoincreaseitsauthorizedbutunissuedsharesofCommonStocktosuchnumberofsharesasshallbesufficientforsuchpurposes.TheCompanyfurthercovenantsthatsuchsharesasmaybeissuedpursuanttosuchexercisewill,uponissuance,bedulyandvalidlyissued,fullypaidandnonassessableandfreefromalltaxes,liensandchargeswithrespecttotheissuancethereof.
8.StockSplitsandDividends.IfafterthedatehereoftheCompany
shallsubdividetheCommonStock,bystocksplitorotherwise,orcombinethe
CommonStock,orissueadditionalsharesofCommonStockinpaymentofastockdividendontheCommonStock,thenumberofsharesofCommonStockissuableontheexerciseofthisWarrantshallforthwithbeproportionatelyincreasedinthecaseofasubdivisionorstockdividend,orproportionatelydecreasedinthe
caseofacombination,andthePurchasePriceshallforthwithbeproportionately
decreasedinthecaseofasubdivisionorstockdividend,orproportionately
increasedinthecaseofacombination.
9.MergersandReclassifications.IfafterthedatehereoftheCompany
shallenterintoanyReorganization(ashereinafterdefined),then,asa
conditionofsuchReorganization,lawfulprovisionsshallbemade,andduly
executeddocumentsevidencingthesamefromtheCompanyoritssuccessorshall
bedeliveredtotheHolder,sothattheHoldershallthereafterhavetheright
topurchase,atatotalpricenottoexceedthatpayableupontheexerciseof
thisWarrantinfull,thekindandamountofsharesofstockandothersecuritiesandpropertyreceivableuponsuchReorganizationbyaholderofthenumberofsharesofCommonStockwhichmighthavebeenpurchasedbytheHolderimmediatelypriortosuchReorganization,andinanysuchcaseappropriateprovisionsshallbemadewithrespecttotherightsandinterestoftheHoldertotheendthattheprovisionshereof(includingwithoutlimitation,provisionsfortheadjustmentofthePurchasePriceandthenumberofsharesissuablehereunder)shallthereafterbeapplicableinrelationtoanysharesofstockorothersecuritiesandpropertythereafterdeliverableuponexercisehereof.ForthepurposesofthisSection9,theterm"
Reorganization"
shallincludewithoutlimitationanyreclassification,capitalreorganizationorchangeoftheCommonStock(otherthanasaresultofasubdivision,combinationorstockdividendprovidedforinSection8hereof),oranyconsolidationoftheCompanywith,ormergeroftheCompanyinto,anothercorporationorotherbusinessorganization(otherthanamergerinwhichtheCompanyisthesurvivingcorporationandwhichdoesnotresultinanyreclassificationorchangeoftheoutstandingCommonStock),oranysaleorconveyancetoanothercorporationorotherbusinessorganizationofallorsubstantiallyalloftheassetsoftheCompany.
10.NoVotingorDividendRights.NothingcontainedinthisWarrant
shallbeconstruedasconferringupontheHolderhereoftherighttovoteorto
consentortoreceivenoticeasashareholderoftheCompanyoranyothermattersoranyrightswhatsoeverasashareholderoftheCompanypriortotheexerciseoftheHolder'
srightstopurchasesharesofCommonStockasprovidedforherein.NodividendsorinterestshallbepayableoraccruedinrespectofthisWarrantortheinterestrepresentedherebyorthesharespurchasablehereunderuntil,andonlytotheextentthat,thisWarrantshallhavebeenexercised.
11.Amendment.ThetermsofthisWarrantmaybeamended,modifiedor
waivedonlywiththewrittenconsentoftheHolder.
12.Notices,Etc.Anynotice,requestorothercommunicationrequired
orpermittedhereu
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