EX-99.(A)(1)(C) 4 ex99a1c.htm

 

Exhibit (a)(1)(C)

 

NOTICE OF GUARANTEED DELIVERY
(Not to be used for Signature Guarantee)
for
Tender of Shares of Common Stock
of
PROPHASE LABS, INC.

 

THE OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON MONDAY, SEPTEMBER 25, 2017, UNLESS THE OFFER IS EXTENDED.

 

As set forth in Section 3 of the Offer to Purchase (as defined below) this form must be used to accept the Offer (as defined below) if (1) certificates representing your shares of common stock, par value $0.0005 per share of ProPhase Labs, Inc., a Delaware corporation, are not immediately available or cannot be delivered to the Depositary prior to the Expiration Time (as defined in the Offer to Purchase), (2) the procedures for book-entry transfer cannot be completed before the Expiration Time or (3) time will not permit all required documents to reach the Depositary prior to the Expiration Time. This form may be transmitted by facsimile transmission or mail to the Depositary. See Section 3 of the Offer to Purchase. Unless the context otherwise requires, all references to the shares shall refer to the common stock of the Company.

 

The Depositary for the Offer is:

 

American Stock Transfer & Trust Company, LLC

 

 



By Hand, Express Mail, Courier, or Other Expedited Service:

American Stock Transfer

& Trust Company, LLC

Operations Center

Attention: Reorganization

Department

6201 15th Avenue

Brooklyn, NY 11219

 

By Facsimile Transmission

(for eligible institutions only):

American Stock Transfer

& Trust Company, LLC

Attention: Reorganization

Department

Facsimile: 718-234-5001

To confirm: 1-877-248-6417

 

By Mail:

American Stock Transfer

& Trust Company, LLC

Operations Center

Attention: Reorganization

Department

P.O. Box 2042

New York, NY 10272-2042

 

DELIVERY OF THIS NOTICE OF GUARANTEED DELIVERY TO AN ADDRESS, OR TRANSMISSION OF INSTRUCTIONS VIA A FACSIMILE NUMBER, OTHER THAN AS SET FORTH ABOVE WILL NOT CONSTITUTE A VALID DELIVERY.

 

This Notice is not to be used to guarantee signatures. If a signature on a Letter of Transmittal is required to be guaranteed by an eligible institution under the instructions in the Letter of Transmittal, the signature guarantee must appear in the applicable space provided in the signature box on the Letter of Transmittal.

 

   
 

 

Ladies and Gentlemen:

 

The undersigned hereby tenders to ProPhase Labs, Inc., a Delaware corporation (the “Company”), on the terms and subject to the conditions set forth in the Offer to Purchase dated August 25, 2017 (the “Offer to Purchase”), and the related Letter of Transmittal (which, together with any amendments or supplements thereto, collectively constitute the “Offer”), receipt of which is hereby acknowledged, the number of shares set forth below, all pursuant to the guaranteed delivery procedures set forth in Section 3 of the Offer to Purchase. Unless the context otherwise requires, all references to the shares shall refer to the common stock of the Company.

 

Number of shares to be tendered:  _______________________ shares*

 

* Unless otherwise indicated, it will be assumed that all shares held by the undersigned are to be tendered.

 

ODD LOTS
(See Instruction 12 of the Letter of Transmittal)

 

To be completed only if shares are being tendered by or on behalf of a person owning, beneficially or of record, an aggregate of fewer than 100 shares. The undersigned either (check one box):

 

[  ] is the beneficial or record owner of an aggregate of fewer than 100 shares, all of which are being tendered; or

[  ] is a broker, dealer, commercial bank, trust company, or other nominee that (a) is tendering for the beneficial owner(s), shares with respect to which it is the record holder, and (b) believes, based upon representations made to it by the beneficial owner(s), that each such person is the beneficial owner of an aggregate of fewer than 100 shares and is tendering all of the shares.

 

Certificate Nos. (if available): _________________________________________________________________________
 
Name(s) of Record Holder(s):
________________________________________________________________________________________________
 
________________________________________________________________________________________________
 
Address(es):
________________________________________________________________________________________________
 
Zip Code: ________________________________________________________________________________________
 
Daytime Area Code and Telephone Number: ______________________________________________________________
 
(Signature(s)): ____________________________________________________________________________________
 
Dated: _________________________, 20____
 
If shares will be tendered by book-entry transfer, check this box [  ]         and provide the following information:
 
Name of Tendering Institution: ________________________________________________________________________
 
Account Number at Book-Entry Transfer Facility: __________________________________________________________

 

THE GUARANTEE BELOW MUST BE COMPLETED

 

  -2- 
 

 


(Not to Be Used For Signature Guarantee)

 

The undersigned, a firm that is a member in good standing of a recognized Medallion Program approved by the Securities Transfer Association, Inc., including the Securities Transfer Agents Medallion Program, the New York Stock Exchange, Inc. Medallion Signature Program or the Stock Exchange Medallion Program, or is otherwise an “eligible guarantor institution,” as that term is defined in Rule 17Ad-15 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), hereby guarantees (1) that the above named “own(s)” the shares tendered hereby within the meaning of Rule 14e-4 under the Exchange Act, (2) that such tender of shares complies with Rule 14e-4 under the Exchange Act and (3) to deliver to the Depositary either the certificates representing the shares tendered hereby, in proper form for transfer, or a book-entry confirmation (as defined in the Offer to Purchase) with respect to such shares, in any such case together with a properly completed and duly executed Letter of Transmittal, with any required signature guarantees, or an agent’s message (as defined in the Offer to Purchase) in the case of a book-entry delivery, and any other required documents, within two trading days (as defined in the Offer to Purchase) after the date hereof.

 

The eligible institution that completes this form must communicate the guarantee to the Depositary and must deliver the Letter of Transmittal and certificates for shares to the Depositary within the time period shown herein. Failure to do so could result in financial loss to such eligible institution.

 

Name of Firm: ____________________________________________________________________________________
 
Authorized Signature: ______________________________________________________________________________
 
Name:___________________________________________________________________________________________
 
Title:____________________________________________________________________________________________
 
Address: ________________________________________________________________________________________
 
Zip Code: ________________________________________________________________________________________
 
Area Code and Telephone Number: ____________________________________________________________________
 
Dated: ______________________, 20 ______

 

Note: Do not send certificates for shares with this Notice.

 

Certificates for shares should be sent with your Letter of Transmittal.

 

  -3-