Document:

cala-ex43_373.htm

Exhibit 4.3

DESCRIPTION OF THE REGISTRANT’S SECURITIES
REGISTERED PURSUANT TO SECTION 12 OF THE
SECURITIES EXCHANGE ACT OF 1934

The following is a description of the common stock, $0.0001 par value per share (“Common Stock”) of Calithera Biosciences, Inc. (the “Company,” “we,” “our,” or “us”) , which is the only security of the Company registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended. The following summary description is based on the provisions of our Amended and Restated Certificate of Incorporation (the “Certificate of Incorporation”), our Amended and Restated Bylaws, (the “Bylaws”), and the applicable provisions of the Delaware General Corporation Law (the “DGCL”). This information may not be complete in all respects and is qualified entirely by reference to the provisions of our Certificate of Incorporation, our Bylaws and the DGCL.  Our Certificate of Incorporation and our Bylaws are filed as exhibits to this Annual Report on Form 10-K.

Authorized Capital Stock

Our authorized capital stock consists of 200,000,000 shares of Common Stock, and 10,000,000 shares of preferred stock, par value $0.0001 per share (“Preferred Stock”). The rights, preferences and privileges of the holders of our Common Stock are subject to and may be adversely affected by the rights of the holders of shares of any series of our Preferred Stock that we may designate in the future. As of December 31, 2019, we have no shares of Preferred Stock issued and outstanding. For a complete description of the terms and provisions of the Company’s Preferred Stock refer to our Certificate of Incorporation and Bylaws. 

Common Stock

Voting Rights

Each holder of Common Stock is entitled to one vote for each share of Common Stock held on all matters submitted to a vote of the stockholders. Our Certificate of Incorporation does not provide for the right of stockholders to cumulate votes for the election of directors. Our Certificate of Incorporation establishes a classified board of directors, divided into three classes with staggered three-year terms. Only one class of directors is elected at each annual meeting of our stockholders, with the other classes continuing for the remainder of their respective three-year terms. These provisions in our Certificate of Incorporation could discourage potential takeover attempts. See “Anti-takeover Effects of Provisions of Our Certificate of Incorporation and Bylaws and Delaware Law” below.

 The affirmative vote of holders of at least a majority of the voting power of all of the then-outstanding shares of capital stock, voting as a single class, is required to amend certain provisions of our Certificate of Incorporation, including provisions relating to amending our Bylaws, the classified board, the size of our board, removal of directors, director liability, vacancies on our board, special meetings, stockholder notices, actions by written consent and exclusive jurisdiction.

Dividend Rights

Subject to preferences that may apply to any outstanding Preferred Stock, holders of our Common Stock are entitled to receive ratably any dividends that our board of directors may declare out of funds legally available for that purpose on a non-cumulative basis.

Right to Receive Liquidation Distributions 

In the event of our liquidation, dissolution or winding up, holders of our Common Stock are entitled to share ratably in all assets remaining after payment of liabilities and the liquidation preference of any outstanding Preferred Stock.

No Preemptive or Similar Rights 

Holders of our Common Stock have no preemptive, conversion, subscription or other rights, and there are no redemption or sinking fund provisions applicable to our Common Stock. 

Anti-takeover Effects of Provisions of Our Certificate of Incorporation and Bylaws and Delaware Law

Section 203 of the Delaware General Corporation Law

We are subject to Section 203 of the DGCL (“Section 203”), which prohibits a Delaware corporation from engaging in any business combination with any interested stockholder for a period of three years after the date that such stockholder became an interested stockholder, with the following exceptions:

	
  
	
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before such date, the board of directors of the corporation approved either the business combination or the transaction that resulted in the stockholder becoming an interested stockholder;

 

	
 
	
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upon completion of the transaction that resulted in the stockholder becoming an interested stockholder, the interested stockholder owned at least 85% of the voting stock of the corporation outstanding at the time the transaction began, excluding for purposes of determining the voting stock outstanding (but not the outstanding voting stock owned by the interested stockholder) those shares owned (1) by persons who are directors and also officers and (2) employee stock plans in which employee participants do not have the right to determine confidentially whether shares held subject to the plan will be tendered in a tender or exchange offer; and

 

	
 
	
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on or after such date, the business combination is approved by the board of directors and authorized at an annual or special meeting of the stockholders, and not by written consent, by the affirmative vote of at least 66-2⁄3% of the outstanding voting stock that is not owned by the interested stockholder.

In general, Section 203 defines a “business combination” to include the following:

 

	
 
	
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any merger or consolidation involving the corporation and the interested stockholder;

 

	
 
	
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any sale, transfer, pledge or other disposition of 10% or more of the assets of the corporation involving the interested stockholder;

 

	
 
	
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subject to certain exceptions, any transaction that results in the issuance or transfer by the corporation of any stock of the corporation to the interested stockholder;

 

	
 
	
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any transaction involving the corporation that has the effect of increasing the proportionate share of the stock or any class or series of the corporation beneficially owned by the interested stockholder; and

 

	
 
	
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the receipt by the interested stockholder of the benefit of any loans, advances, guarantees, pledges or other financial benefits by or through the corporation.

In general, Section 203 defines an “interested stockholder” as an entity or person who, together with the person’s affiliates and associates, beneficially owns, or within three years prior to the time of determination of interested stockholder status owned, 15% or more of the outstanding voting stock of the corporation.

Section 203 could prohibit or delay mergers or other takeover or change in control attempts and, accordingly, may discourage attempts to acquire us even though such a transaction may offer our stockholders the opportunity to sell their stock at a price above the prevailing market price.

Certificate of Incorporation and Bylaws

Among other things, our Certificate of Incorporation and Bylaws:

	
 
	
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permit our board of directors to issue up to 10,000,000 shares of Preferred Stock, with any rights, preferences and privileges as they may designate, including the right to approve an acquisition or other change of control;

 

	
 
	
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provide that the authorized number of directors may be changed only by resolution of our board of directors;

 

	
 
	
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provide that our board of directors will be classified into three classes of directors;

 

	
 
	
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provide that, subject to the rights of any series of Preferred Stock to elect directors, directors may only be removed for cause, which removal may be effected, subject to any limitation imposed by law, by the holders of at least a majority of the voting power of all of our then-outstanding shares of the capital stock entitled to vote generally at an election of directors;

 

	
 
	
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provide that all vacancies, including newly created directorships, may, except as otherwise required by law, be filled by the affirmative vote of a majority of directors then in office, even if less than a quorum and not by the stockholders;

 

	
 
	
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require that any action to be taken by our stockholders must be effected at a duly called annual or special meeting of stockholders and not be taken by written consent or electronic transmission;

 

	
 
	
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provide that stockholders seeking to present proposals before a meeting of stockholders or to nominate candidates for election as directors at a meeting of stockholders must provide advance notice in writing, and also specify requirements as to the form and content of a stockholder’s notice;

 

	
 
	
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provide that special meetings of our stockholders may be called only by the chairman of our board of directors, our chief executive officer or by our board of directors pursuant to a resolution adopted by a majority of the total number of authorized directors; and

 

	
 
	
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do not provide for cumulative voting rights, therefore allowing the holders of a majority of the shares of Common Stock entitled to vote in any election of directors to elect all of the directors standing for election, if they should so choose.

The amendment of any of these provisions would require approval by the holders of at least 66-2⁄3% of the voting power of all of our then-outstanding Common Stock entitled to vote generally in the election of directors, voting together as a single class.

The combination of these provisions will make it more difficult for our existing stockholders to replace our board of directors as well as for another party to obtain control of us by replacing our board of directors. Since our board of directors has the power to retain and discharge our officers, these provisions could also make it more difficult for existing stockholders or another party to effect a change in management. In addition, the authorization of undesignated Preferred Stock makes it possible for our board of directors to issue Preferred Stock with voting or other rights or preferences that could impede the success of any attempt to change our control.

These provisions are intended to enhance the likelihood of continued stability in the composition of our board of directors and its policies and to discourage coercive takeover practices and inadequate takeover bids. These provisions are also designed to reduce our vulnerability to hostile takeovers and to discourage certain tactics that may be used in proxy fights. However, such provisions could have the effect of discouraging others from making tender offers for our shares and may have the effect of delaying changes in our control or management. As a consequence, these provisions may also inhibit fluctuations in the market price of our stock that could result from actual or rumored takeover attempts. We believe that the benefits of these provisions, including increased protection of our potential ability to negotiate with the proponent of an unfriendly or unsolicited proposal to acquire or restructure the Company, outweigh the disadvantages of discouraging takeover proposals, because negotiation of takeover proposals could result in an improvement of their terms.

Choice of Forum

Our Certificate of Incorporation provides that the Court of Chancery of the State of Delaware will be the exclusive forum for any derivative action or proceeding brought on our behalf; any action asserting a breach of fiduciary duty; any action asserting a claim against us arising pursuant to the DGCL, our Certificate of Incorporation or our Bylaws; or any action asserting a claim against us that is governed by the internal affairs doctrine. The enforceability of similar choice of forum provisions in other companies’ certificates of incorporation has been challenged in legal proceedings, and it is possible that, in connection with one or more actions or proceedings described above, a court could find the choice of forum provisions contained in our Certificate of Incorporation to be inapplicable or unenforceable.

Transfer Agent and Registrar

The transfer agent and registrar for our Common Stock is American Stock Transfer & Trust Company, LLC. The transfer agent’s address is 6201 15th Avenue, Brooklyn, New York 11219, and its telephone number is (800) 937-5449.Exhibit 4.3

 

DESCRIPTION OF SECURITIES

 

When used herein, the terms “we,”
 “our,” and “us” refer to Checkpoint Therapeutics, Inc. 

 

DESCRIPTION OF CAPITAL STOCK

 

The following description
summarizes the material terms of Checkpoint capital stock. Because it is only a summary, it does not contain all the information
that may be important to you. For a complete description of our capital stock, you should refer to our certificate of incorporation,
our bylaws and to the provisions of applicable Delaware law.

 

Common Stock

 

Our common stock is
traded on The Nasdaq Capital Market, or the Exchange, under the symbol “CKPT.”

 

The authorized capital
stock of Checkpoint consists of 60,000,000 shares of common stock, of which 7,000,000 shares have been designated as Class A common
stock. The description of our Class A Common Stock in this item is for information purposes only. All of the Class A common stock
has been issued to Fortress. Class A common stock is identical to common stock other than as to voting rights, the election of
directors for a definite period, and conversion rights. On any matter presented to our stockholders for their action or consideration
at any meeting of our stockholders (or by written consent of stockholders in lieu of meeting), each holder of outstanding shares
of Class A common stock will be entitled to cast for each share of Class A common stock held by such holder as of the record date
for determining stockholders entitled to vote on such matter, the number of votes that is equal to one and one-tenth (1.1) times
a fraction, the numerator of which is the sum of the shares of outstanding common stock and the denominator of which is the number
of shares of outstanding Class A common stock. Thus, the Class A common stock will at all times constitute a voting majority. For
a period of ten (10) years from the date of the first issuance of shares of Class A common stock (the “Class A Director Period”),
the holders of record of the shares of Class A common stock (or other capital stock or securities issued upon conversion of or
in exchange for the Class A common stock), exclusively and as a separate class, will be entitled to appoint or elect the majority
of the directors of Checkpoint (the “Class A Directors”). Finally, each share of Class A common stock is convertible,
at the option of the holder, into one fully paid and nonassessable share of common stock (the “Conversion Ratio”),
subject to certain adjustments.

 

If Checkpoint at any
time effects a subdivision of the outstanding common stock (or other capital stock or securities at the time issuable upon conversion
of the Class A common stock) by any stock split, stock dividend, recapitalization or otherwise, the applicable Conversion Ratio
in effect immediately before that subdivision will be proportionately decreased so that the number of shares of common stock (or
other capital stock or securities at the time issuable upon conversion of the Class A common stock) issuable on conversion of each
share of Class A common stock will be increased in proportion to such increase in the aggregate number of shares of common stock
(or other capital stock or securities at the time issuable upon conversion of the Class A common stock) outstanding. If Checkpoint
at any time combines the outstanding shares of common stock, the applicable Conversion Ratio in effect immediately before the combination
will be proportionately increased so that the number of shares of common stock (or other capital stock or securities at the time
issuable upon conversion of the Class A common stock) issuable on conversion of each share of Class A common stock will be decreased
in proportion to such decrease in the aggregate number of shares of common stock (or other capital stock or securities at the time
issuable upon conversion of the Class A common stock) outstanding. Additionally, if any reorganization, recapitalization, reclassification,
consolidation or merger involving Checkpoint occurs in which the common stock (but not the Class A common stock) is converted into
or exchanged for securities, cash or other property (other than a transaction involving the subdivision or combination of the common
stock), then, following any such reorganization, recapitalization, reclassification, consolidation or merger, each share of Class
A common stock becomes convertible into the kind and amount of securities, cash or other property which such Class A Stockholder
would have been entitled to receive had he or she converted the Class A Shares immediately before said transaction. In such case,
appropriate adjustment (as determined in good faith by the Board of Directors of Checkpoint) will be made in the application of
the provisions of Checkpoint’s Amended and Restated Certificate of Incorporation relating the subdivision or combination
of the common stock with respect to the rights and interests thereafter of the holders of the Class A common stock, such that the
provisions set forth in of Checkpoint’s Amended and Restated Certificate of Incorporation relating to the subdivision or
combination of the common stock (including the provisions with respect to changes in and other adjustments of the applicable Conversion
Ratio) will thereafter be applicable, as nearly as reasonably may be, in relation to any securities or other property thereafter
deliverable upon the conversion of the Class A common stock. Checkpoint is not authorized to issue preferred stock.

 

    

     

    

 

Dividends

 

The holders of outstanding
shares of our common stock, including Class A common stock, are entitled to receive dividends out of funds legally available at
the times and in the amounts that our board of directors may determine. All dividends are non-cumulative. 

 

Voting Rights

 

The holders of our
common stock are entitled to one vote for each share of common stock held on all matters submitted to a vote of the stockholders,
including the election of directors, except as to the Class A Directors during the Class A Director Period. Our certificate of
incorporation and bylaws do not provide for cumulative voting rights. 

 

Liquidation and Dissolution

 

Upon our liquidation,
dissolution, or winding-up, the assets legally available for distribution to our stockholders would be distributable ratably among
the holders of our common stock, including Class A common stock, outstanding at that time after payment of other claims of creditors,
if any.

 

Other

 

The holders of our
common stock have no preemptive, conversion, or subscription rights, and there are no redemption or sinking fund provisions applicable
to our common stock. 

 

All of the outstanding
shares of our common stock, including Class A common stock, are duly issued, fully paid and non-assessable.

 

DESCRIPTION OF WARRANTS

 

We may issue warrants
to purchase shares of our common stock in one or more series together with other securities or separately, as described in each
applicable prospectus supplement.

 

The prospectus supplement
relating to any warrants we offer will include specific terms relating to the offering. These terms will include some or all of
the following:

 

		·	the title of the warrants;

 

		·	the aggregate number of warrants offered;

 

		·	the designation, number and terms of the shares of common stock purchasable upon exercise of the
warrants and procedures by which those numbers may be adjusted;

 

		·	the exercise price of the warrants;

 

		·	the dates or periods during which the warrants are exercisable; 

 

		·	the designation and terms of any securities with which the warrants are issued;

 

		·	if the warrants are issued as a unit with another security, the date on and after which the warrants and the other security
will be separately transferable;

 

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		·	if the exercise price is not payable in U.S. dollars, the foreign currency, currency unit or composite currency in which the
exercise price is denominated;

 

		·	any minimum or maximum amount of warrants that may be exercised at any one time;

 

		·	any terms relating to the modification of the warrants;

 

		·	any terms, procedures and limitations relating to the transferability, exchange or exercise of the warrants; and

 

		·	any other specific terms of the warrants.

 

DESCRIPTION OF DEBT SECURITIES

 

We may offer debt securities
which may be senior, subordinated or junior subordinated and may be convertible. Unless otherwise specified in the applicable prospectus
supplement, our debt securities will be issued in one or more series under an indenture to be entered into between us and a trustee.
We will issue the debt securities offered by any applicable prospectus supplement under an indenture to be entered into between
us and the trustee identified in the applicable prospectus supplement. The terms of the debt securities will include those stated
in the indenture and those made part of the indenture by reference to the Trust Indenture Act of 1939, as in effect on the date
of the indenture. The indenture will be subject to and governed by the terms of the Trust Indenture Act of 1939.

 

The following description
briefly sets forth certain general terms and provisions of the debt securities that we may offer. The particular terms of the debt
securities offered by any prospectus supplement and the extent, if any, to which these general provisions may apply to the debt
securities, will be described in the related prospectus supplement. Accordingly, for a description of the terms of a particular
issue of debt securities, reference must be made to both the related prospectus supplement and to the following description.

  

The aggregate principal
amount of debt securities that may be issued under the indenture is unlimited. The debt securities may be issued in one or more
series as may be authorized from time to time pursuant to a supplemental indenture entered into between us and the trustee or an
order delivered by us to the trustee. For each series of debt securities we offer, a prospectus supplement will describe the following
terms and conditions of the series of debt securities that we are offering, to the extent applicable:

 

		·	title and aggregate principal amount;

 

		·	whether the debt securities will be senior, subordinated or junior subordinated;

 

		·	applicable subordination provisions, if any;

 

		·	provisions regarding whether the debt securities will be convertible or exchangeable into other securities or property of the
Company or any other person;

 

		·	percentage or percentages of principal amount at which the debt securities will be issued;

 

		·	maturity date(s);

 

		·	interest rate(s) or the method for determining the interest rate(s);

 

		·	whether interest on the debt securities will be payable in cash or additional debt securities of the same series;

 

		·	dates on which interest will accrue or the method for determining dates on which interest will accrue and dates on which interest
will be payable;

 

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		·	whether the amount of payment of principal of, premium, if any, or interest on the debt securities may be determined with reference
to an index, formula or other method;

 

		·	redemption, repurchase or early repayment provisions, including our obligation or right to redeem, purchase or repay debt securities
under a sinking fund, amortization or analogous provision;

 

		·	if other than the debt securities’ principal amount, the portion of the principal amount of the debt securities that
will be payable upon declaration of acceleration of the maturity;

 

		·	authorized denominations;

 

		·	form;

 

		·	amount of discount or premium, if any, with which the debt securities will be issued, including whether the debt securities
will be issued as “original issue discount” securities;

 

		·	the place or places where the principal of, premium, if any, and interest on the debt securities will be payable;

 

		·	where the debt securities may be presented for registration of transfer, exchange or conversion;

 

		·	the place or places where notices and demands to or upon the Company in respect of the debt securities may be made;

 

		·	whether the debt securities will be issued in whole or in part in the form of one or more global securities;

 

		·	if the debt securities will be issued in whole or in part in the form of a book-entry security, the depository or its nominee
with respect to the debt securities and the circumstances under which the book-entry security may be registered for transfer or
exchange or authenticated and delivered in the name of a person other than the depository or its nominee;

 

		·	whether a temporary security is to be issued with respect to such series and whether any interest payable prior to the issuance
of definitive securities of the series will be credited to the account of the persons entitled thereto;

 

		·	the terms upon which beneficial interests in a temporary global security may be exchanged in whole or in part for beneficial
interests in a definitive global security or for individual definitive securities;

 

		·	the guarantors, if any, of the debt securities, and the extent of the guarantees and any additions or changes to permit or
facilitate guarantees of such debt securities;

 

		·	any covenants applicable to the particular debt securities being issued;

 

		·	any defaults and events of default applicable to the debt securities, including the remedies available in connection therewith;

 

		·	currency, currencies or currency units in which the purchase price for, the principal of and any premium and any interest on,
such debt securities will be payable;

 

		·	time period within which, the manner in which and the terms and conditions upon which the Company or the purchaser of the debt
securities can select the payment currency;

 

		·	securities exchange(s) on which the debt securities will be listed, if any;

 

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		·	whether any underwriter(s) will act as market maker(s) for the debt securities;

 

		·	extent to which a secondary market for the debt securities is expected to develop;

 

		·	provisions relating to defeasance;

 

		·	provisions relating to satisfaction and discharge of the indenture;

 

		·	any restrictions or conditions on the transferability of the debt securities;

 

		·	provisions relating to the modification of the indenture both with and without the consent of holders of debt securities issued
under the indenture;

 

		·	any addition or change in the provisions related to compensation and reimbursement of the trustee;

 

		·	provisions, if any, granting special rights to holders upon the occurrence of specified events;

 

		·	whether the debt securities will be secured or unsecured, and, if secured, the terms upon which the debt securities will be
secured and any other additions or changes relating to such security; and

 

		·	any other terms of the debt securities that are not inconsistent with the provisions of the Trust Indenture Act (but may modify,
amend, supplement or delete any of the terms of the indenture with respect to such series of debt securities).

 

General

 

One or more series
of debt securities may be sold as “original issue discount” securities. These debt securities would be sold at a substantial
discount below their stated principal amount, bearing no interest or interest at a rate which at the time of issuance is below
market rates. One or more series of debt securities may be variable rate debt securities that may be exchanged for fixed rate debt
securities.

 

United States federal
income tax consequences and special considerations, if any, applicable to any such series will be described in the applicable prospectus
supplement.

 

Debt securities may
be issued where the amount of principal and/or interest payable is determined by reference to one or more currency exchange rates,
commodity prices, equity indices or other factors. Holders of such debt securities may receive a principal amount or a payment
of interest that is greater than or less than the amount of principal or interest otherwise payable on such dates, depending upon
the value of the applicable currencies, commodities, equity indices or other factors. Information as to the methods for determining
the amount of principal or interest, if any, payable on any date, the currencies, commodities, equity indices or other factors
to which the amount payable on such date is linked and certain additional United States federal income tax considerations will
be set forth in the applicable prospectus supplement.

 

The term “debt
securities” includes debt securities denominated in U.S. dollars or, if specified in the applicable prospectus supplement,
in any other freely transferable currency or units based on or relating to foreign currencies.

 

We expect most debt
securities to be issued in fully registered form without coupons and in denominations of $2,000 and any integral multiples thereof.
Subject to the limitations provided in the indenture and in the prospectus supplement, debt securities that are issued in registered
form may be transferred or exchanged at the principal corporate trust office of the trustee, without the payment of any service
charge, other than any tax or other governmental charge payable in connection therewith.

 

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Global Securities

 

The debt securities of a series may be issued
in whole or in part in the form of one or more global securities that will be deposited with, or on behalf of, a depositary identified
in the prospectus supplement. Global securities will be issued in registered form and in either temporary or definitive form. Unless
and until it is exchanged in whole or in part for the individual debt securities, a global security may not be transferred except
as a whole by the depositary for such global security to a nominee of such depositary or by a nominee of such depositary to such
depositary or another nominee of such depositary or by such depositary or any such nominee to a successor of such depositary or
a nominee of such successor. The specific terms of the depositary arrangement with respect to any debt securities of a series and
the rights of and limitations upon owners of beneficial interests in a global security will be described in the applicable prospectus
supplement. 

 

Governing Law

 

The indenture and the
debt securities shall be construed in accordance with and governed by the laws of the State of New York.

 

DESCRIPTION OF UNITS

 

We may issue, in one
more series, units comprised of shares of our common stock, warrants to purchase common stock, debt securities or any combination
of those securities. Each unit will be issued so that the holder of the unit is also the holder of each security included in the
unit. Thus, the holder of a unit will have the rights and obligations of a holder of each included security. The unit agreement
under which a unit is issued may provide that the securities included in the unit may not be held or transferred separately, at
any time or at any time before a specified date.

 

We may evidence units
by unit certificates that we issue under a separate agreement. We may issue the units under a unit agreement between us and one
or more unit agents. If we elect to enter into a unit agreement with a unit agent, the unit agent will act solely as our agent
in connection with the units and will not assume any obligation or relationship of agency or trust for or with any registered holders
of units or beneficial owners of units. We will indicate the name and address and other information regarding the unit agent in
the applicable prospectus supplement relating to a particular series of units if we elect to use a unit agent.

 

We will describe in
the applicable prospectus supplement the terms of the series of units being offered, including:

 

		·	the designation and terms of the units and of the securities comprising the units, including whether
and under what circumstances those securities may be held or transferred separately;

 

		·	any provisions of the governing unit agreement that differ from those described herein; and

 

		·	any provisions for the issuance, payment, settlement, transfer or exchange of the units or of the
securities comprising the units.

 

The other provisions regarding our common
stock, warrants and debt securities as described in this section will apply to each unit to the extent such unit consists of shares
of our common stock, warrants and/or debt securities.

 

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