Attached files
file | filename |
---|---|
EX-10.2 - EX-10.2 - Oncotelic Therapeutics, Inc. | b89285exv10w2.htm |
EX-10.1 - EX-10.1 - Oncotelic Therapeutics, Inc. | b89285exv10w1.htm |
EX-99.1 - EX-99.1 - Oncotelic Therapeutics, Inc. | b89285exv99w1.htm |
8-K - FORM 8-K - Oncotelic Therapeutics, Inc. | b89285e8vk.htm |
Exhibit 4.1
AMENDMENT NO. 5 TO
STOCKHOLDER RIGHTS AGREEMENT
STOCKHOLDER RIGHTS AGREEMENT
This Amendment No. 5 to Stockholder Rights Agreement (the Amendment), dated as of November
28, 2011, by and between OXiGENE, Inc., a Delaware corporation (the Company), and American Stock
Transfer & Trust Company, LLC (the Rights Agent), amends that certain Stockholder Rights
Agreement, dated as of March 24, 2005, as amended as of October 1, 2008, October 14, 2009, March
10, 2010 and January 18, 2011, between the Company and the Rights Agent (as so amended, the
Agreement).
WHEREAS, the parties desire to amend the Agreement, pursuant to Section 27 thereof, in
connection with the transactions described in that certain Purchase Agreement by and between the
Company and Lincoln Park Capital Fund, LLC, dated as of even date herewith.
NOW THEREFORE, the parties hereby agree as follows:
1. Definition of Acquiring Person. The definition of Acquiring Person as set
forth in Section 1(a) of the Agreement is hereby further amended by adding the following to the end
thereof:
Notwithstanding anything herein to the contrary, Lincoln Park Capital Fund, LLC (LPC) shall
not be deemed to be an Acquiring Person solely by virtue of the transactions contemplated by the
Purchase Agreement by and between the Company and LPC, dated as of November 28, 2011, as amended
from time to time (the LPC Purchase Agreement), including but not limited to, the acquisition of
Common Stock by LPC pursuant to the LPC Purchase Agreement.
2. Definition of Stock Acquisition Date. The definition of Stock Acquisition Date
as set forth in Section 1(hh) of the Agreement is hereby further amended by adding the following to
the end thereof:
Notwithstanding anything herein to the contrary, the execution, delivery and performance of
the LPC Purchase Agreement shall not be deemed, by itself, to constitute or lead to a Stock
Acquisition Date under this Agreement.
3. Definition of Distribution Date. The definition of Distribution Date as set
forth in Section 3(a) of the Agreement is hereby further amended by adding the following to the end
thereof:
Notwithstanding anything herein to the contrary, the execution, delivery and performance of
the LPC Purchase Agreement shall not be deemed, by itself, to constitute or lead to a Distribution
Date under this Agreement.
4. Ratification. The parties hereby ratify and confirm in all respects the Agreement,
as amended by this Amendment.
5. Governing Law. This Amendment shall be deemed to be a contract made under the laws
of the State of Delaware and for all purposes shall be governed by and construed in accordance with
the laws of such State applicable to contracts to be made and performed entirely within such State.
6. Counterparts. This Amendment may be executed in any number of
counterparts and each of such counterparts shall for all purposes be deemed to be an original, and
all such counterparts shall together constitute but one and the same instrument.
7. Descriptive Headings. Descriptive headings of the several Sections of
this Amendment are inserted for convenience only and shall not control or affect the meaning or
construction of any of the provisions hereof.
[remainder left intentionally blank]
IN
WITNESS WHEREOF, the parties have entered into this Fifth Amendment to Stockholder Rights
Agreement as of the date first stated above.
OXiGENE, INC. |
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By: | /s/ Peter J. Langecker | |||
Peter J. Langecker, M.D., Ph.D., Chief Executive Officer | ||||
AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC |
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By: | /s/ Paula Caroppoli | |||
Paula Caroppoli, Vice President | ||||