Document:

exv4w13

 

EXHIBIT 4.13

AMENDMENT TO COMMON STOCK PURCHASE WARRANT

OF ARTES MEDICAL, INC.

(Issued in Connection with Services Provided)

     This Amendment dated as of June 23, 2006 (this “Amendment”), to each of the Common Stock
Purchase Warrants (each, a “Warrant” and collectively, the “Warrants”) for the purchase of shares
of Common Stock of Artes Medical, Inc. (the “Company”) listed on Exhibit A hereto, is made
by and between the Company and each of the holders of one or more Warrants listed on Exhibit
A (each, a “Holder” and collectively, the “Holders”).

RECITALS

     Whereas, pursuant to the Preamble of each Warrant, each of the Warrants expires and
ceases to be exercisable on the earlier of (i) 5:00 P.M. Pacific Standard Time, on the date set
forth under “Original Expiration Date” on Exhibit A hereto or (ii) the closing of (a) the
sale, lease, transfer or conveyance of all or substantially all of the assets of the Company, (b) a
consolidation of the Company with, or merger of the Company with or into, any person (including any
individual, partnership, joint venture, corporation, trust or group thereof) other than a
consolidation or merger by the Company with a subsidiary of the Company in which the Company is the
continuing entity or (c) the initial underwritten public offering of the Company’s common stock;

     Whereas, pursuant to Section 3 of each Warrant, each Holder is entitled to exercise
such Holder’s Warrant through a “cashless exercise” feature by converting the Warrant into Warrant
Shares (as defined in each of the Warrants) at any time or from time to time during the exercise
period, the number of Warrant Shares to be computed using the Net Issuance formula provided in
Section 3.1 of the Warrant; and

     Whereas, the Company and each of the Holders desire to amend the Warrants held by the
Holders as set forth below.

AGREEMENT

     NOW, THEREFORE, IT IS HEREBY AGREED AS FOLLOWS:

     1. Amendment to Preamble. The first paragraph of the Preamble of each of the Warrants
is hereby amended and restated in its entirety to read as follows:

     “Artes Medical USA, Inc., a Delaware corporation (the “Company”), hereby certifies that, for
value received,                      (including any successors and assigns, “Holder”), is entitled
immediately upon or after the date hereof, and subject to the terms set forth below, to purchase
from the Company at any time or from time to time before the earlier of (i) 5:00 P.M. Pacific
Standard Time, on March 15, 2007 or (ii) the closing of (a) the sale, lease, transfer or conveyance
of all or substantially all of the assets of the Company or (b) a consolidation of the Company
with, or merger of the Company with or into, any person
(including any individual, partnership, joint venture, corporation, trust or group thereof)
other than a consolidation or merger by the Company with a subsidiary of the Company in which the
Company is the continuing entity (the earlier to occur of (i) or (ii) the “Expiration Date”), fully

 

 

paid and nonassessable shares of the Company’s Common Stock (the “Warrant Shares”), with the number
and character of the Warrant Shares and the exercise price of the Warrant Shares to be determined
as follows:”

     2. Amendment to Section 3. Section 3 of each of the Warrants is hereby deleted in its
entirety.

     3. Governing Law. This Amendment shall be governed by and construed in accordance
with the laws of the State of California as applied to agreements among California residents,
entered into and to be performed entirely within California.

     4. Successors and Assigns. This Amendment shall be binding upon, and inure to the
benefit of, the parties hereto, their respective successors and legal representatives and their
permitted assigns.

     5. Warrant Terms to Remain in Effect. Except as specifically otherwise modified
herein, each Warrant as previously executed remains in full force and effect.

     6. Effectiveness. This Amendment shall become effective as to each of the Warrants
upon the execution and delivery by each Holder of a Warrant Holder Election Form in the form
provided by the Company to the Holder with respect to the applicable Warrant, indicating such
Holder’s agreement to be bound by this Amendment. Each Warrant so amended by this Amendment shall
be listed on Exhibit A.

     7. Counterparts. This Amendment may be executed in any number of counterparts, each
of which shall be deemed an original, but all of which together shall constitute one and the same
instrument.

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

 2

 

 

	 	 	 	 	 	 	 
	Acknowledged and agreed:	 	ARTES MEDICAL, INC.,

a Delaware corporation
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 	 	 	 	 
	 
	 	 	 	 	 	 
	 	 	Name:	 	 
	 

	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	 	 	Title:	 	 
	 

	 	 	 	 	 	 

[Signature Page to Amendment to Common Stock Purchase Warrant]

 

 

EXHIBIT A

WARRANT HOLDERS

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Number of Shares	 	 	 	 	 	 
	 	 	Underlying	 	 	 	 	 	Original
	Name of Warrant Holder	 	Warrant	 	Exercise Price	 	Expiration Date
	Alastair Carruthers
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	Barry Vogel
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	Christopher Reinhard
	 	 	650,000	 	 	$	1.25	 	 	 	03/15/07	 
	Christopher Reinhard
	 	 	150,000	 	 	$	1.25	 	 	 	03/15/07	 
	Daren Barone
	 	 	75,000	 	 	$	1.25	 	 	 	03/15/07	 
	Daren Barone
	 	 	50,000	 	 	$	1.25	 	 	 	03/15/07	 
	Harald Ott
	 	 	10,000	 	 	$	1.25	 	 	 	03/15/07	 
	Harald Ott
	 	 	10,000	 	 	$	1.25	 	 	 	03/15/07	 
	Harvey Abrams
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	Jean Carruthers
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	John Joseph
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	Mark Rubin
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	Merrel Olesen
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	Merrel Olesen, MD
	 	 	150,000	 	 	$	1.00	 	 	 	03/15/07	 
	Miles Graivier
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	Roy Lessard
	 	 	40,000	 	 	$	1.25	 	 	 	03/15/07	 
	Roy Lessard
	 	 	30,000	 	 	$	1.25	 	 	 	03/15/07	 
	Sassan Alavi
	 	 	25,000	 	 	$	1.25	 	 	 	03/15/07	 
	Stuart Young, MD
	 	 	150,000	 	 	$	1.00	 	 	 	03/15/07	 
	Stuart Young, MD
	 	 	75,000	 	 	$	1.25	 	 	 	03/15/07	 
	Valerie Cooper
	 	 	25,000	 	 	$	2.00	 	 	 	03/15/07exv4w14

 

EXHIBIT 4.14

AMENDMENT TO COMMON STOCK PURCHASE WARRANT

OF ARTES MEDICAL, INC.

(Issued in Connection with Bridge Loan 2004)

     This Amendment dated as of June 23, 2006 (this “Amendment”), to each of the Common Stock
Purchase Warrants (each, a “Warrant” and collectively, the “Warrants”) for the purchase of shares
of Common Stock of Artes Medical, Inc. (the “Company”) listed on Exhibit A hereto, is made
by and between the Company and each of the holders of one or more Warrants listed on Exhibit
A (each, a “Holder” and collectively, the “Holders”).

RECITALS

     Whereas, pursuant to the Preamble of each Warrant, each of the Warrants expires and
ceases to be exercisable on the earlier of (i) 5:00 P.M. Pacific Standard Time, on June 30, 2009 or
(ii) the closing of (a) the sale, lease, transfer or conveyance of all or substantially all of the
assets of the Company, (b) a consolidation of the Company with, or merger of the Company with or
into, any person (including any individual, partnership, joint venture, corporation, trust or group
thereof) other than a consolidation or merger by the Company with a subsidiary of the Company in
which the Company is the continuing entity or (c) the initial underwritten public offering of the
Company’s common stock;

     Whereas, pursuant to Section 3 of each Warrant, each Holder is entitled to exercise
such Holder’s Warrant through a “cashless exercise” feature by converting the Warrant into Warrant
Shares (as defined in each of the Warrants) at any time or from time to time during the exercise
period, the number of Warrant Shares to be computed using the Net Issuance formula provided in
Section 3.1 of the Warrant; and

     Whereas, the Company and each of the Holders desire to amend the Warrants held by the
Holders as set forth below.

AGREEMENT

     NOW, THEREFORE, IT IS HEREBY AGREED AS FOLLOWS:

     1. Amendment to Preamble. The first paragraph of the Preamble of each of the Warrants
is hereby amended and restated in its entirety to read as follows:

     “Artes Medical USA, Inc., a Delaware corporation (the “Company”), hereby certifies that, for
value received,                      (including any successors and assigns, “Holder”), is entitled
immediately upon or after the date hereof, and subject to the terms set forth below, to purchase
from the Company at any time or from time to time before the earlier of (i) 5:00 P.M. Pacific
Standard Time, on June 30, 2009 or (ii) the closing of (a) the sale, lease, transfer or conveyance
of all or substantially all of the assets of the Company or (b) a consolidation of the Company
with, or merger of the Company with or into, any person (including any individual, partnership,
joint venture, corporation, trust or group thereof) other than a consolidation or merger by the
Company with a subsidiary of the Company in which the Company is the continuing entity (the earlier
to occur of (i) or (ii) the “Expiration Date”), fully paid and nonassessable shares of the
Company’s Common Stock (the “Warrant Shares”), with

 

 

the number of the Warrant Shares and the exercise price of the Warrant Shares to be determined
as follows:”

     2. Amendment to Section 3. Section 3 of each of the Warrants is hereby deleted in its
entirety.

     3. Governing Law. This Amendment shall be governed by and construed in accordance
with the laws of the State of California as applied to agreements among California residents,
entered into and to be performed entirely within California.

     4. Successors and Assigns. This Amendment shall be binding upon, and inure to the
benefit of, the parties hereto, their respective successors and legal representatives and their
permitted assigns.

     5. Warrant Terms to Remain in Effect. Except as specifically otherwise modified
herein, each Warrant as previously executed remains in full force and effect.

     6. Effectiveness; No Amendment to Other Warrants. This Amendment shall become
effective as to each of the Warrants upon the execution and delivery by each Holder of a Warrant
Holder Election Form in the form provided by the Company to the Holder with respect to the
applicable Warrant, indicating such Holder’s agreement to be bound by this Amendment.
Notwithstanding Section 8.5 of each Warrant, this Amendment shall be effective only as to each
Warrant that the applicable Holder has elected to amend as set forth in this Section 6, and shall
not be effective as to any other warrant. Each Warrant so amended by this Amendment shall be
listed on Exhibit A.

     7. Counterparts. This Amendment may be executed in any number of counterparts, each
of which shall be deemed an original, but all of which together shall constitute one and the same
instrument.

[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]

2

 

	 	 	 	 	 	 	 
	Acknowledged and agreed:	 	ARTES MEDICAL, INC.,

a Delaware corporation
	 
	 	 	 	 	 	 
	 

	 	By:	 	 	 	 
	 

	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	 

	 	Name:	 	 	 	 
	 

	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	 

	 	Title:	 	 	 	 
	 

	 	 	 	 	 	 

[Signature Page to Amendment to Common Stock Purchase Warrant]

 

 

EXHIBIT A

WARRANT HOLDERS

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Number of Shares	 	 	 	 	 	Original
	 	 	Underlying	 	 	 	 	 	Expiration
	Name of Warrant Holder	 	Warrant	 	Exercise Price	 	Date
	Adi Ruegg
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Adi Ruegg
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Adi Ruegg
	 	 	1,200	 	 	$	1.25	 	 	 	06/30/09	 
	Alavi Intervivos Trust
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Ali Pourhasseini
	 	 	12,000	 	 	$	1.25	 	 	 	06/30/09	 
	Amir Jamali
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Andreas Lemperle
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Andreas Lemperle
	 	 	1,200	 	 	$	1.25	 	 	 	06/30/09	 
	Andrew Heinle
	 	 	16,000	 	 	$	1.25	 	 	 	06/30/09	 
	Ann T. Thomas Separate Property Trust
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Arda Yalvac
	 	 	6,000	 	 	$	1.25	 	 	 	06/30/09	 
	Camille Lieners
	 	 	100,000	 	 	$	1.25	 	 	 	06/30/09	 
	Charlie Harb
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Christopher Holbech & Gregg Rudenberg
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Christopher Reinhard
	 	 	30,000	 	 	$	1.25	 	 	 	06/30/09	 
	Claus Klohk
	 	 	24,000	 	 	$	1.25	 	 	 	06/30/09	 
	David Keefe
	 	 	4,000	 	 	$	1.25	 	 	 	06/30/09	 
	Dieter Simonson
	 	 	30,000	 	 	$	1.25	 	 	 	06/30/09	 
	DJB Holdings, LLC
	 	 	80,000	 	 	$	1.25	 	 	 	06/30/09	 
	Dorin Radu
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Ernst Meier
	 	 	28,000	 	 	$	1.25	 	 	 	06/30/09	 
	Floyd & Ellen Larson
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Frederick Sandvick
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Gail Gobbato Salvatierra
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Gregory Anderson
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Gregory Schneider
	 	 	62,000	 	 	$	1.25	 	 	 	06/30/09	 
	GSW Holdings, LLC
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Hanne Raymond
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Harry Booth
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Heinz Boksberger
	 	 	16,000	 	 	$	1.25	 	 	 	06/30/09	 
	Horst Van Der Linden
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Horst Van Der Linden
	 	 	1,000	 	 	$	1.25	 	 	 	06/30/09	 
	Irina Serpoukhovitina
	 	 	2,000	 	 	$	1.25	 	 	 	06/30/09	 
	Isaac Moreno
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Jamshid Hamidi
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Jehangir Arjoman Kermani
	 	 	11,000	 	 	$	1.25	 	 	 	06/30/09	 

1

 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Number of Shares	 	 	 	 	 	Original
	 	 	Underlying	 	 	 	 	 	Expiration
	Name of Warrant Holder	 	Warrant	 	Exercise Price	 	Date
	Joerg Obwegeser
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	John Olbrich
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	John Zeeb
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Kamran Hamidi
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Kathleen & Richard Bryson
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Kathleen & Richard Bryson
	 	 	2,500	 	 	$	1.25	 	 	 	06/30/09	 
	Kevin Green
	 	 	18,000	 	 	$	1.25	 	 	 	06/30/09	 
	Knowles Family Trust
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Le Femme Investments, Inc.
	 	 	10,350	 	 	$	1.25	 	 	 	06/30/09	 
	Le Femme Investments, Inc.
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Le Femme Investments, Inc.
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Lisa Bea Alton Anderson
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Lisa Bea Alton Anderson
	 	 	500	 	 	$	1.25	 	 	 	06/30/09	 
	Lone Jack Ranch, LP
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Mark Ransom
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Martin Moehr
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Mehrdad Majlessi
	 	 	14,000	 	 	$	1.25	 	 	 	06/30/09	 
	Merrel Olesen MD
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Michael Atallah
	 	 	4,000	 	 	$	1.25	 	 	 	06/30/09	 
	Mira Habel
	 	 	4,010	 	 	$	1.25	 	 	 	06/30/09	 
	Mira Habel
	 	 	500	 	 	$	1.25	 	 	 	06/30/09	 
	Mission Consultants, Inc.
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Mones International, Inc.
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Nasri Investment, LLC
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Nathalie Ransom
	 	 	1,000	 	 	$	1.25	 	 	 	06/30/09	 
	Neville Alleyne, MD
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Nhu-Y Huynh
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Opal Investments Management, Inc.
	 	 	32,000	 	 	$	1.25	 	 	 	06/30/09	 
	Paul & Ann Thomas Community Property
Trust
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Paul Becker
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Paul Treger
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Paul Treger
	 	 	500	 	 	$	1.25	 	 	 	06/30/09	 
	Paul Zlotnik
	 	 	12,000	 	 	$	1.25	 	 	 	06/30/09	 
	Paul Zlotnik
	 	 	600	 	 	$	1.25	 	 	 	06/30/09	 
	Prof. Dr. Hannes Schierle
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Proteus Global Ventures, LP
	 	 	75,000	 	 	$	1.25	 	 	 	06/30/09	 
	Quentin Rosas
	 	 	2,000	 	 	$	1.25	 	 	 	06/30/09	 
	Riyadh Taila
	 	 	6,000	 	 	$	1.25	 	 	 	06/30/09	 
	Robert Dagosta
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Rolf Schierl
	 	 	50,000	 	 	$	1.25	 	 	 	06/30/09	 
	Rullan Family Trust
	 	 	24,000	 	 	$	1.25	 	 	 	06/30/09	 

2

 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Number of Shares	 	 	 	 	 	Original
	 	 	Underlying	 	 	 	 	 	Expiration
	Name of Warrant Holder	 	Warrant	 	Exercise Price	 	Date
	Sassan Alavi
	 	 	72,000	 	 	$	1.25	 	 	 	06/30/09	 
	Sassan Alavi
	 	 	17,600	 	 	$	1.25	 	 	 	06/30/09	 
	Schneider Family Trust
	 	 	80,000	 	 	$	1.25	 	 	 	06/30/09	 
	South Bay Skin & Cancer Pension Plan
for Dr. Peter Rullan
	 	 	16,000	 	 	$	1.25	 	 	 	06/30/09	 
	Steen Allan Christensen
	 	 	10,218	 	 	$	1.25	 	 	 	06/30/09	 
	Stefan Lemperle
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 
	Steven Parkes
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Stuart Young MD
	 	 	40,000	 	 	$	1.25	 	 	 	06/30/09	 
	Susan L. Wedell
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Theodore L. Folkerth MD
	 	 	32,000	 	 	$	1.25	 	 	 	06/30/09	 
	Thomas Nutter & Shervin Yazdan
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Tracy Howell
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Urs W Schmid
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Wade Harb
	 	 	50,000	 	 	$	1.25	 	 	 	06/30/09	 
	Wade Harb
	 	 	10,700	 	 	$	1.25	 	 	 	06/30/09	 
	Wells Family Trust
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Wolfgang Jakob
	 	 	10,000	 	 	$	1.25	 	 	 	06/30/09	 
	Zohreh Alaghemand
	 	 	20,000	 	 	$	1.25	 	 	 	06/30/09	 

3

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