Document:

Form of Common Stock Certificate

 Exhibit 4.1 

 

	
	 

  
 SEE
RESTRICTIVE LEGENDS ON REVERSE SIDE HEREOF *CS-XX* PUMA BIOTECHNOLOGY, INC A Delaware Corporation *XXXXXXXX* Shares Common Stock THIS CERTIFIES THAT XXXXXXXXXXXXXXXXXXXX is the record holder of XXXXXXXXXXX(XXXXXXX) fully paid and non-assessable
shares of COMMON STOCK, par value $0.0001 per share, of PUMA BIOTECHNOLOGY, INC. (the “Corporation”), transferable only on the share register of the Corporation by the holder, in person or by such holder’s duly authorized attorney,
upon surrender of this Certificate properly endorsed or assigned.
 This Certificate and the shares represented
hereby shall be held subject to all of the provisions of the Certificate of Incorporation and the Bylaws of said Corporation and any amendments thereto, a copy of each of which is on file at the office of the Corporation and made a part hereof as
fully as though the provisions of said Certificate of Incorporation and Bylaws were imprinted in full on this Certificate, to all of which the holder of this Certificate, by acceptance hereof, assents and agrees to be bound. IN WITNESS WHEREOF, the
Corporation has caused this Certificate to be signed by its duly authorized officers this day of , 20. Secretary President and Chief Executive Officer

 FOR VALUE RECEIVED,
                                         HEREBY
SELLS, ASSIGNS AND TRANSFERS UNTO
                                         
                               , SHARES REPRESENTED BY THE WITHIN CERTIFICATE, AND DOES HEREBY
IRREVOCABLY CONSTITUTE AND APPOINT
                                         ATTORNEY
TO TRANSFER THE SAID SHARES ON THE BOOKS OF THE WITHIN-NAMED CORPORATION WITH FULL POWER OF SUBSTITUTION IN THE PREMISES. 
 DATED
            ,          
  

			
	IN PRESENCE OF	  	IN PRESENCE OF
		
	  
	  	  

	(Witness)	  	(Witness)
		
	  
	  	  

	(Shareholder)	  	(Shareholder)

 NO TRANSFER, SALE, ASSIGNMENT, PLEDGE, HYPOTHECATION OR OTHER DISPOSITION OF THE SECURITIES REPRESENTED BY THIS
CERTIFICATE MAY BE MADE EXCEPT (A) PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND THE RULES AND REGULATIONS IN EFFECT THEREUNDER AND ALL APPLICABLE STATE SECURITIES OR “BLUE SKY” LAWS
(SUCH FEDERAL AND STATE LAWS, THE “SECURITIES LAWS”) OR (B) IF THE CORPORATION HAS BEEN FURNISHED WITH AN OPINION OF COUNSEL FOR THE HOLDER, WHICH OPINION AND COUNSEL SHALL BE REASONABLY SATISFACTORY TO THE CORPORATION, TO THE
EFFECT THAT SUCH TRANSFER, SALE, ASSIGNMENT, PLEDGE, HYPOTHECATION OR OTHER DISPOSITION IS EXEMPT FROM THE PROVISIONS OF THE SECURITIES LAWS.Form of Non-Employee Director RSU Award Agreement

 Exhibit 10.16 
 DELPHI AUTOMOTIVE PLC 
 LONG TERM INCENTIVE PLAN 

Non-Employee Director RSU Award Agreement 
 You have been granted an RSU award (this “Award”) on the following terms and subject to the provisions of Attachment A and the Delphi Automotive PLC Long Term Incentive Plan (the
“Plan”). Unless defined in this Award agreement (including Attachment A, this “Agreement”), capitalized terms will have the meanings assigned to them in the Plan. In the event of a conflict among the provisions of
the Plan, this Agreement and any descriptive materials provided to you, the provisions of the Plan will prevail. 
  

					
			
	Participant    	 	  
	 	
			
	 Number of Shares
 Underlying Award  
	 	  
	 	Shares (the “RSU Shares”)
			
	Grant Date	 	  
	 	
		
	Vesting	 	 Subject to Section 2, the RSU Shares shall vest on

		 	  
	 	(the “Scheduled Vesting Date”).

 Attachment A 
 Non-Employee Director RSU Award Agreement 
 Terms and Conditions

 Grant to:
                             

Section 1. Grant of Award. Subject to the terms and conditions of the Plan and this Agreement, the Company hereby grants this
Award to the Participant on the Grant Date on the terms set forth on the cover page of this Agreement, as more fully described in this Attachment A. This Award is granted under the Plan, which is incorporated herein by this reference and made a part
of this Agreement. 
 Section 2. Timing of Vesting and Delivery. 

(a) Scheduled Vesting. Subject to this Section 2, the RSU Shares shall vest on the Scheduled Vesting Date. 

(b) Terminations of Service. 
 (i) If the Participant’s service with the Board terminates prior to the Scheduled Vesting Date as a result of a removal from office pursuant to Article 24.1.5 of the Delphi Automotive PLC Memorandum
and Articles of Association, the Participant shall forfeit the Award. 
 (ii) If the Participant’s service
with the Board terminates prior to the Scheduled Vesting Date for any reason other than as described in clause (i) above, a pro rata portion of the RSU Shares shall vest on the date of such termination and the portion of the RSU Shares that
does not vest on the date of such termination shall be forfeited without any payment to the Participant. The pro rata portion of the RSU Shares that vests upon the Participant’s termination of service pursuant to this clause (ii) shall
equal (A) the total number of RSU Shares underlying the Award, multiplied by (B) a fraction, the numerator of which shall be the number of days between the Grant Date and the termination date (counting both the Grant Date and the
termination date) and the denominator of which shall be the number of days between the Grant Date and the Scheduled Vesting Date (counting both the Grant Date and the Scheduled Vesting Date). 

(c) Change in Control. Upon a Change in Control prior to the Scheduled Vesting Date, the RSU Shares shall vest in full.

 (d) Delivery of Shares. The Company shall deliver the RSU Shares to the Participant on or as soon as practicable
following the date on which the RSU Shares vest. 

  
 2 

 Section 3. Dividend Equivalents. If a dividend is paid on Shares during the
period commencing on the Grant Date and ending on the date on which the RSU Shares are delivered to the Participant, the Participant shall be eligible to receive an amount equal to the amount of the dividend that the Participant would have received
had the RSU Shares been delivered to the Participant as of the time at which such dividend is paid; it being understood that no such amount shall be payable with respect to any RSU Shares that are forfeited pursuant to Section 2(b). Such
amount shall be paid to the Participant on the date on which the RSU Shares are delivered to the Participant in the same form (cash, Shares or other property) in which such dividend is paid to holders of Shares generally. Any Shares that the
Participant is eligible to receive pursuant to this Section 3 are referred to herein as “Dividend Shares.” 
 Section 4. Additional Terms and Conditions. 
 (a) Issuance of
Shares. Upon delivery of the RSU Shares and, if applicable, any Dividend Shares, such Shares shall be evidenced by book-entry registration; provided, however, that the Committee may determine that such Shares shall be evidenced in such
other manner as it deems appropriate, including the issuance of a stock certificate or certificates. 
 (b) Voting
Rights. The Participant shall not have voting rights with respect to the RSU Shares or, if applicable, any Dividend Shares unless and until such Shares are delivered to the Participant. 

(c) Transferability. Unless and until the RSU Shares and, if applicable, any Dividend Shares are delivered to the Participant,
such Shares shall not be assigned, sold, transferred or otherwise be subject to alienation by the Participant. 

Section 5. Miscellaneous Provisions. 
 (a) Notices. All notices, requests and other communications under this Agreement shall be in writing and shall be delivered in person (by courier or otherwise), mailed by certified or registered
mail, return receipt requested, or sent by facsimile transmission, as follows: 
 if to the Company, to: 

Delphi Automotive PLC 
 5725 Delphi Drive 
 Troy, MI 48098 

Attention: David M. Sherbin 
 Facsimile: (248) 813-2491 
 if to the Participant, to the address that the
Participant most recently provided to the Company, 

  
 3 

 or to such other address or facsimile number as such party may hereafter specify for the purpose by notice
to the other parties hereto. All such notices, requests and other communications shall be deemed received on the date of receipt by the recipient thereof if received prior to 5:00 p.m. on a business day in the place of receipt. Otherwise, any such
notice, request or communication shall be deemed received on the next succeeding business day in the place of receipt. 
 (b)
Entire Agreement. This Agreement, the Plan, and any other agreements referred to herein and therein and any schedules, exhibits and other documents referred to herein or therein, constitute the entire agreement and understanding between the
parties in respect of the subject matter hereof and supersede all prior and contemporaneous arrangements, agreements and understandings, both oral and written, whether in term sheets, presentations or otherwise, between the parties with respect to
the subject matter hereof. 
 (c) Amendment; Waiver. No amendment or modification of any provision of this Agreement
shall be effective unless signed in writing by or on behalf of the Company and the Participant, except that the Committee may amend or modify this Agreement without the Participant’s consent in accordance with the provisions of the Plan or as
otherwise set forth in this Agreement. No waiver of any breach or condition of this Agreement shall be deemed to be a waiver of any other or subsequent breach or condition whether of like or different nature. Any amendment or modification of or to
any provision of this Agreement, or any waiver of any provision of this Agreement, shall be effective only in the specific instance and for the specific purpose for which made or given. 

(d) Assignment. Neither this Agreement nor any right, remedy, obligation or liability arising hereunder or by reason hereof shall
be assignable by the Participant. 
 (e) Successors and Assigns; No Third Party Beneficiaries. This Agreement shall inure
to the benefit of and be binding upon the Company and the Participant and their respective heirs, successors, legal representatives and permitted assigns. Nothing in this Agreement, expressed or implied, is intended to confer on anyone other than
the Company and the Participant, and their respective heirs, successors, legal representatives and permitted assigns, any rights, remedies, obligations or liabilities under or by reason of this Agreement. 

(f) Participant Undertaking. By accepting this Award, the Participant agrees to take whatever additional action and execute
whatever additional documents the Company may deem necessary or advisable to carry out or give effect to any of the obligations or restrictions imposed on the Participant pursuant to the provisions of this Agreement. 

  
 4 

 (g) Plan. The Participant acknowledges and understands that material definitions and
provisions concerning this Award and the Participant’s rights and obligations with respect thereto are set forth in the Plan. The Participant has read carefully, and understands, the provisions of the Plan. 

(h) Risk Statement. The Participant acknowledges and accepts that the future value of the Shares is unknown and cannot be
predicted with certainty and that the value the Award at the time when the RSU Shares are delivered may be less than the value of the Award on the Grant Date. The Participant understands that if he or she is in any doubt as to whether he or she
should accept this Award, the Participant should obtain independent advice. 
 (i) Governing Law. The Agreement shall be
governed by the laws of the State of New York, without application of the conflicts of law principles thereof. 
 (j) WAIVER
OF JURY TRIAL. EACH OF THE PARTIES HERETO IRREVOCABLY WAIVES ANY AND ALL RIGHT TO TRIAL BY JURY IN ANY LEGAL PROCEEDING ARISING OUT OF OR RELATED TO THIS AGREEMENT OR THE TRANSACTIONS CONTEMPLATED HEREBY. 

 

  
 5 

 IN WITNESS WHEREOF, the parties have executed this Agreement as of the day and year first
written above. 
  

					
	 DELPHI AUTOMOTIVE PLC

			
	 By:
	 		 	
		 	  

		 	Name:	 	
		 	Title:	 	
	
	 PARTICIPANT

 

		 	  

		 	Name:	 	

  
 6

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00198-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00198-of-00352.parquet"}]]