EX-4.2 4 v453419_ex4-2.htm EXHIBIT 4.2

Exhibit 4.2

 

 

UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (“DTC”), TO THE CORPORATION OR THE TRANSFER AGENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF [   ] OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC (AND ANY PAYMENT IS MADE TO [   ], OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, [   ] HAS AN INTEREST HEREIN. TRANSFERS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS IN WHOLE, BUT NOT IN PART, TO NOMINEES OF DTC OR TO A SUCCESSOR THEREOF OR SUCH SUCCESSOR’S NOMINEE.

 

THE CORPORATION IS AUTHORIZED TO ISSUE MORE THAN ONE CLASS OF STOCK AND MORE THAN ONE SERIES OF ITS CLASS OF PREFERRED STOCK. THE CORPORATION WILL FURNISH WITHOUT CHARGE TO EACH STOCKHOLDER WHO SO REQUESTS THE POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE PARTICIPATING, OPTIONAL OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK OR SERIES THEREOF AND THE QUALIFICATIONS, LIMITATIONS OR RESTRICTIONS OF SUCH PREFERENCES AND/OR RIGHTS.

 

 

 

 

 

Incorporated under the laws of the State of Delaware, June 24, 1996

 

Certificate Number: [     ]

Initial Number of Shares of Series A Convertible Preferred Stock: [     ]

 

 

  CUSIP [     ]
  ISIN [     ]
   

 

CELLECTAR BIOSCIENCES, INC.

 

Cellectar Biosciences, Inc. (the “Corporation”) hereby certifies that [     ] (the “Holder”) is the registered owner of [     ] fully paid and non-assessable shares of the Corporation’s designated Series A Convertible Preferred Stock, par value $0.00001 per share (the “Series A Preferred Stock”), transferable on the books and records of the Transfer Agent, in person or by a duly authorized attorney, upon surrender of this certificate duly endorsed or assigned and in proper form for transfer.

 

This Certificate and the shares represented hereby are issued and shall be held subject to all the provisions of the Second Amended and Restated Certificate of Incorporation and the Amended and Restated Bylaws of the Corporation and any amendments thereto, including the provisions of the Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Preferred Stock, dated _________, 2016, as the same may be amended from time to time (the “Certificate of Designation”). Capitalized terms used herein but not defined shall have the meaning given them in the Certificate of Designation.

 

The shares of the Series A Preferred Stock shall be convertible in the manner and accordance with the terms set forth in the Certificate of Designation.

 

Reference is hereby made to the provisions of the Series A Preferred Stock set forth in the Certificate of Designation, which provisions shall for all purposes have the same effect as if set forth at this place.

 

Upon receipt of this executed certificate, the Holder is bound by the Certificate of Designation and is entitled to the benefits thereunder.

 

Unless the Transfer Agent has properly countersigned, these shares of the Series A Preferred Stock shall not be entitled to any benefit under the Certificate of Designation or be valid or obligatory for any purpose.

 

 

 

 

IN WITNESS WHEREOF the said Corporation has caused this Certificate to be signed by its duly authorized officer as of _________, 2016.

 

   
  By:   
  Name:
Title:
     

 

 

 

 

 

 

 

 


COUNTERSIGNATURE

 

These are shares of the Series A Convertible Preferred Stock referred to in the within-mentioned Certificate of Designation.

 

Dated: _________, 2016

 

American Stock Transfer & Trust Company, LLC, as Transfer Agent

 

 

   
  By:     ____________________________________________________
  Name:
Title:
     

 

 

 

 

 

NOTICE OF CONVERSION

 

(To be Executed by the Registered Holder in order to Convert Shares of Preferred Stock)

 

The undersigned hereby elects to convert the number of shares of Series A Convertible Preferred Stock indicated below into shares of common stock, par value $0.00001 per share (the “Common Stock”), of Cellectar Biosciences, Inc., a Delaware corporation (the “Corporation”), according to the conditions hereof, as of the date written below. If shares of Common Stock are to be issued in the name of a Person other than the undersigned, the undersigned will pay all transfer taxes payable with respect thereto. No fee will be charged to the Holders for any conversion, except for any such transfer taxes.

 

Conversion calculations:

 

Date to Effect Conversion: _____________________________________________

 

Number of shares of Preferred Stock owned prior to Conversion: _______________

 

Number of shares of Preferred Stock to be Converted: ________________________

 

Stated Value of shares of Preferred Stock to be Converted: ____________________

 

Number of shares of Common Stock to be Issued: ___________________________

 

Applicable Conversion Price:____________________________________________

 

Number of shares of Preferred Stock subsequent to Conversion: ________________

 

Address for Delivery: ______________________

 

Or

 

DWAC Instructions:

Broker no: _________

Account no: ___________

 

 

 

[HOLDER]

 

By:___________________________________

Name:

Title: