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(State or other jurisdiction of
incorporation)
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(Commission
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(I.R.S. Employer
Identification No.)
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(Address of principal executive offices)
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(Zip Code)
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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The
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The
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Item 9.01.
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Financial Statements and Exhibits.
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(d)
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Exhibits.
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Number
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Description
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3.1
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3.2
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3.3
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104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
MIND Technology, Inc.
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November 4, 2021
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By:
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/s/ Robert P. Capps
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Name: Robert P. Capps
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Title: President and Chief Executive Officer
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Exhibit 3.3
THIRD CERTIFICATE OF AMENDMENT
OF
CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS
OF
9.00% SERIES A CUMULATIVE PREFERRED STOCK
OF
MIND TECHNOLOGY, INC.
Pursuant to Section 151 of the
General Corporation Law of the State of Delaware
MIND Technology, Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware, does hereby certify:
1. The name of the corporation is MIND Technology, Inc. (the “Corporation”).
2. The original Certificate of Designations, Preferences and Rights of 9.00% Series A Cumulative Preferred Stock was filed with the Secretary of State of the State of Delaware on August 3, 2020 (the “Original Certificate”).
3. A Certificate of Amendment to the Original Certificate (the “First Amendment”) was filed with the Secretary of State of the State of Delaware on September 25, 2020 to increase the number of shares of Series A Preferred Stock (as defined in the Certificate of Designations) to 1,494,046 shares.
4. A Second Certificate of Amendment to the Original Certificate (the “Second Amendment”) was filed with the Secretary of State of the State of Delaware on October 25, 2021 (the Original Certificate as amended by the First Amendment and Second Amendment, the “Certificate of Designations”) to increase the number of shares of Series A Preferred Stock (as defined in the Certificate of Designations) to 1,994,046 shares.
5. The Certificate of Designations is further amended by deleting Section 7(b) and replacing it with the following:
“(b) The Share Cap is subject to pro rata adjustments for any share splits (including those effected pursuant to a distribution of Common Stock to existing holders of Common Stock), subdivisions or combinations (in each case, a “Share Split”) with respect to Common Stock as follows: the adjusted Share Cap as the result of a Share Split will be the number of shares of Common Stock that is equivalent to the product obtained by multiplying (i) the Share Cap in effect immediately prior to such Share Split by (ii) a fraction, the numerator of which is the number of shares of Common Stock outstanding immediately after giving effect to such Share Split and the denominator of which is the number of shares of Common Stock outstanding immediately prior to such Share Split. For the avoidance of doubt, subject to the immediately succeeding sentence, the aggregate number of shares of Common Stock (or equivalent Alternative Conversion Consideration (as defined below), as applicable) issuable or deliverable, as applicable, in connection with the exercise of the Change of Control Conversion Right will not exceed 49,851,150 shares of Common Stock (or equivalent Alternative Conversion Consideration, as applicable) (the “Exchange Cap”). The Exchange Cap is subject to pro rata adjustments for any Share Splits on the same basis as the corresponding adjustment to the Share Cap.”
6. The foregoing amendment to the Certificate of Designations has been duly adopted by the Corporation’s Board of Directors pursuant to the authority vested in the Corporation’s Board of Directors by the Certificate of Incorporation of the Corporation, as amended, and in accordance with Section 151 of the General Corporation Law of the State of Delaware.
7. All other provisions of the Certificate of Designations shall remain in full force and effect.
[Signature on Following Page]
IN WITNESS WHEREOF, the Corporation has caused this Third Certificate of Amendment of Certificate of Designations, Preferences and Rights of 9.00% Series A Cumulative Preferred Stock to be signed by a duly authorized officer this 3rd day of November, 2021.
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MIND Technology, Inc. |
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By: |
/s/ Robert P. Capps |
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Robert P. Capps Chief Executive Officer and President |
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Signature Page to Third Certificate of Amendment of
Certificate of Designations
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