Attached files
| file | filename |
|---|---|
| EX-10.1 - EXHIBIT 10.1 - CTI BIOPHARMA CORP | finalcti_-xexchangexagreem.htm |
| EX-5.1 - EXHIBIT 5.1 - CTI BIOPHARMA CORP | finalcti_-xommx5x1xopinion.htm |
| EX-3.1 - EXHIBIT 3.1 - CTI BIOPHARMA CORP | finalcti_-xcertificatexofx.htm |
| EX-1.1 - EXHIBIT 1.1 - CTI BIOPHARMA CORP | ctibiopharma-underwritinga.htm |
| 8-K - 8-K - CTI BIOPHARMA CORP | cti_-x8xkxexchangexagreement.htm |
SEE REVERSE FOR CERTAIN DEFINITIONS
THIS CERTIFIES THAT
is the owner of
CUSIP
DATED
COUNTERSIGNED AND REGISTERED:
COMPUTERSHARE TRUST COMPANY, N.A.
TRANSFER AGENT AND REGISTRAR,
FULLY-PAID AND NON-ASSESSABLE SHARES OF COMMON STOCK, PAR VALUE $0.001, OF
CTI BIOPHARMA CORP. (hereinafter called the “Corporation”), transferable only on the books of the
Corporation by the holder hereof in person or by duly authorized Attorney, upon surrender of this Certificate
properly endorsed. This Certificate is not valid until countersigned and registered by the Transfer Agent
and Registrar.
In Witness Whereof, the said Corporation has caused this Certificate to be signed by its duly authorized officers
and to be sealed with the Seal of the Corporation.
COMMON STOCK
PAR VALUE $0.001
COMMON STOCK
Certificate
Number
Shares
.
CTI BIOPHARMA CORP.
INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE
By
AUTHORIZED SIGNATURE
Chief Executive Officer
Chief Financial Officer
THIS CERTIFICATE IS TRANSFERABLE IN
CITIES DESIGNATED BY THE TRANSFER
AGENT, AVAILABLE ONLINE AT
www.computershare.com
ZQ|CERT#|COY|CLS|RGSTRY|ACCT#|TRANSTYPE|RUN#|TRANS#
12648L 60 1
DD-MMM-YYYY
* * 0 0 0 0 0 0 * * * * * * * * * * * * * * * * * *
* * * 0 0 0 0 0 0 * * * * * * * * * * * * * * * * *
* * * * 0 0 0 0 0 0 * * * * * * * * * * * * * * * *
* * * * * 0 0 0 0 0 0 * * * * * * * * * * * * * * *
* * * * * * 0 0 0 0 0 0 * * * * * * * * * * * * * *
** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
**** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David
Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
**** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David
Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr.
Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Sample **** Mr. Sample
**000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares***
*000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****
000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****0
00000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****00
0000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000
000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****0000
00**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****00000
0**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000
**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000*
*Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**
Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**S
* *ZERO HUNDRED THOUSAND
ZERO HUNDRED AND ZERO**
MR. SAMPLE & MRS. SAMPLE &
MR. SAMPLE & MRS. SAMPLE
ZQ00000000
Certificate
Number
s
1234567890/1234567890
1234567890/1234567890
1234567890/1234567890
1234567890/1234567890
1234567890/1234567890
1234567890/1234567890
Total
Transactio
n
Num
/No.
123456
Denom
.
123456
Tota
l
1234567
MR
A SAMPL
E
DESIGNATION (IF A
NY)
ADD 1
ADD 2
ADD 3
ADD 4
C
TI B
ioPharm
a C
orp.
PO BOX 43004, Providence, RI 02940-3004
CUSIP
XXXXXX XX X
Holder
ID
XXXXXXXXXX
Insurance
Value
1,000,000.00
Number
of
Share
s
123456
DTC
12345678 123456789012345
The IR
S
requires that w
e report the cost basis of certain shares
acquired after January 1, 2011. If your shares w
ere covered by
the legislation and you have sold or transferred the shares and
requested a specific cost basis calculation m
ethod, w
e have
processed as requested. If you did not specify a cost basis
calculation m
ethod, w
e have defaulted to the first in, first out
(FIFO
) m
ethod. P
lease visit our w
ebsite or consult your tax
advisor if you need additional inform
ation about cost basis.
If
you
do
not
keep
in
con
tact
with
us
or
do
not
have
an
y
activity in your account for the tim
e periods specified by state
law
, your property could becom
e subject to state unclaim
ed
property law
s and transferred to the appropriate state.
For value received,____________________________hereby sell, assign and transfer unto
________________________________________________________________________________________________________________________________
________________________________________________________________________________________________________________________________
________________________________________________________________________________________________________________________________
_______________________________________________________________________________________________________________________
S
hares
_______________________________________________________________________________________________________________________
A
ttorney
D
ated:
__________________________________________20
__________________
S
ignature:____________________________________________________________
S
ignature:____________________________________________________________
N
otice: The signature to this assignm
ent m
ust correspond w
ith the nam
e
as w
ritten upon the face of the certificate, in every particular,
w
ithout alteration or enlargem
ent, or any change w
hatever.
PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE
(P
LE
A
S
E
P
R
IN
T O
R
T
Y
P
E
W
R
IT
E
N
A
M
E
A
N
D
A
D
D
R
E
S
S
, IN
C
LU
D
IN
G
P
O
S
TA
L Z
IP
C
O
D
E
, O
F
A
S
S
IG
N
E
E
)
of the com
m
on stock represented by the w
ithin C
ertificate, and do hereby irrevocably constitute and appoint
to transfer the said stock on the books of the w
ithin-nam
ed C
orporation w
ith full pow
er of substitution in the prem
ises.
.CTI
BIOPHARM
A COR
P.
This certificate also evidences and entitles the holder hereof to certain R
ights as set forth in a S
hareholder R
ights A
greem
ent betw
een C
TI B
ioP
harm
a C
orp. and
C
om
putershare Trust C
om
pany, N
.A
. (or any successor thereto), as R
ights A
gent, dated as of D
ecem
ber 28, 2009, as am
ended heretofore and as m
ay be further
am
ended, restated, renew
ed, supplem
ented or extended from
tim
e to tim
e (the “R
ights A
greem
ent”), the term
s of w
hich are hereby incorporated herein by reference
and a copy of w
hich is on file at the principal offices of C
TI B
ioP
harm
a C
orp. and the stock transfer adm
inistration office of the R
ights A
gent. U
nder certain
circum
stances, as set forth in the R
ights A
greem
ent, such R
ights shall be evidenced by separate certificates and shall no longer be evidenced by this certificate. C
TI
B
ioP
harm
a C
orp. m
ay redeem
the R
ights at a redem
ption price of $0.0002 per R
ight, subject to adjustm
ent, under the term
s of the R
ights A
greem
ent. C
TI B
ioP
harm
a
C
orp. shall m
ail to the holder of this certificate a copy of the R
ights A
greem
ent, as in effect on the date of m
ailing, w
ithout charge prom
ptly after receipt of a w
ritten
request therefor. U
nder certain circum
stances, R
ights issued to or held by A
cquiring P
ersons or any A
ffiliates or A
ssociates thereof (as defined in the R
ights
A
greem
ent), and any subsequent holder of such R
ights, m
ay becom
e null and void. The R
ights shall not be exercisable, and shall be void so long as they are held
by a holder in any jurisdiction w
here the requisite qualification, if any, to the issuance to such holder, or the exercise by such holder, of the R
ights in such jurisdiction
shall not have been obtained or be obtainable.
Signature(s) Guaranteed: Medallion Guarantee Stamp
THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (Banks,
Stockbrokers,
Savings
and
Loan
Associations
and
Credit
Unions)
WITH
MEMBERSHI
P IN
AN
APPROVE
D
SIGNATURE GUARANTEE MEDALLION PROGRAM, PURSUANT TO S.E.C. RULE 17Ad-15 .
The follow
ing abbreviations, w
hen used in the inscription on the face of this certificate, shall be construed as though they w
ere w
ritten out in full
according to applicable law
s or regulations:
TE
N
C
O
M
-as tenants in com
m
on
U
N
IF G
IFT M
IN
A
C
T
-............................................C
ustodian
................................................
(C
ust)
(M
inor)
TE
N
E
N
T
-as tenants by the entireties
under U
niform
G
ifts to M
inors A
ct.........................................................
(S
tate
)
JT TE
N
-as
joint
tenan
ts
with
right
of
survivorshi
p
UNIF
TRF
MIN
AC
T
-............................................Custodian
(unti
l age
................................)
and not as tenants in com
m
on
(Cust
)
.............................under U
niform
Transfers to M
inors A
ct...................
(M
inor)
(S
tate)
A
dditional abbreviations m
ay also be used though not in the above list.