Document:

Form of Common Stock Certificate

 Exhibit 4.1 

	
	 

 NUMBER 
 SHARES 
 Puma Biotechnology 

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE 

SEE REVERSE SIDE FOR CERTAIN DEFINITIONS 
 CUSIP 74587V 10 7 
 THIS CERTIFIES THAT 

is the owner of 
 FULLY PAID AND NON-ASSESSABLE COMMON SHARES, $0.0001 PAR VALUE, OF 
 PUMA BIOTECHNOLOGY, INC. 
 transferable on the
books of the Corporation by the holder hereof in person or by 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 facsimile signatures of its duly
authorized officers. 
 Dated: 
 PRESIDENT & CHIEF EXECUTIVE OFFICER 

TREASURER 
 COUNTERSIGNED AND REGISTERED; WELLS FARGO BANK, N.A. 
 BY 
 TRANSFER AGENT AND REGISTRAR 

AUTHORIZED SIGNATURE 
 AMERICAN FINANCIAL PRINTING INCORPORATED - MINNEAPOLIS 

 

 
 THE CORPORATION WILL FURNISH WITHOUT CHARGE TO EACH SHAREHOLDER WHO SO REQUESTS A
SUMMARY OF THE POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE, PARTICIPATING, OPTIONAL OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK OF THE CORPORATION AND THE QUALIFICATIONS, LIMITATIONS OR RESTRICTIONS OF SUCH PREFERENCES AND RIGHTS, AND THE
VARIATIONS IN RIGHTS, PREFERENCES AND LIMITATIONS DETERMINED FOR EACH SERIES, WHICH ARE FIXED BY THE CERTIFICATE OF INCORPORATION OF THE CORPORATION, AS AMENDED, AND THE RESOLUTIONS OF THE BOARD OF DIRECTORS OF THE CORPORATION, AND THE AUTHORITY OF
THE BOARD OF DIRECTORS TO DETERMINE VARIATIONS FOR FUTURE SERIES. SUCH REQUEST MAY BE MADE TO THE OFFICE OF THE SECRETARY OF THE CORPORATION OR TO THE TRANSFER AGENT. THE BOARD OF DIRECTORS MAY REQUIRE THE OWNER OF A LOST OR DESTROYED STOCK
CERTIFICATE, OR THE OWNER’S LEGAL REPRESENTATIVES, TO GIVE THE CORPORATION A BOND TO INDEMNIFY IT AND ITS TRANSFER AGENTS AND REGISTRARS AGAINST ANY CLAIM THAT MAY BE MADE AGAINST THEM ON ACCOUNT OF THE ALLEGED LOSS OR DESTRUCTION OF ANY SUCH
CERTIFICATE. 
 The following abbreviations, when used in the inscription on the face of this certificate, shall
be construed as though they were written out in full according to applicable laws or regulations: 
 UTMA -
Custodian 
 TEN COM - as tenants in common 

(Cust) (Minor) 
 TEN ENT - as tenants by entireties under Uniform Transfers to Minors 
 JT TEN - as joint tenants with right of survivorship and not as tenants in common Act (State) 
 Additional abbreviations may also be used though not in above list. 
 For value received hereby sell, assign, and transfer unto 
 PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE 
 (PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING ZIP CODE OF ASSIGNEE) 
 Shares of the capital stock represented by the within Certificate, and do hereby irrevocably constitute and appoint Attorney to transfer the said stock on the books of the within-named
Corporation with full power of substitution in the premises. 
 Dated X X 

NOTICE: THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THE CERTIFICATE IN
EVERY PARTICULAR WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER. 
 SIGNATURE GUARANTEED 

ALL GUARANTEES MUST BE MADE BY A FINANCIAL INSTITUTION (SUCH AS A BANK OR BROKER) WHICH IS A PARTICIPANT IN THE SECURITIES
TRANSFER AGENTS MEDALLION PROGRAM (“STAMP”), THE NEW YORK STOCK EXCHANGE, INC. MEDALLION SIGNATURE PROGRAM (“MSP”), OR THE STOCK EXCHANGES MEDALLION PROGRAM (“SEMP”) AND MUST NOT BE DATED. GUARANTEES BY A NOTARY PUBLIC
ARE NOT ACCEPTABLE.First Amendment to Loan and Security Agreement

 Exhibit 10.3 
 FIRST AMENDMENT 
 TO 

LOAN AND SECURITY AGREEMENT 
 THIS FIRST AMENDMENT to Loan and Security Agreement (this “Amendment”) is entered into this 28th day of October, 2008, by and among SILICON VALLEY BANK (“SVB”), OXFORD FINANCE CORPORATION
(“Oxford”) and MAP PHARMACEUTICALS, INC., a Delaware corporation (“Borrower”). SVB and Oxford are sometimes individually referred to as a “Lender”, and collectively the
“Lenders.” 
 RECITALS 

A. Lenders and Borrower have entered into that certain Loan and Security Agreement dated as of May 2, 2008 (as the same may from
time to time be further amended, modified, supplemented or restated, the “Loan Agreement”). Capitalized terms used but not defined in the Amendment shall have the meanings given to them in the Loan Agreement. 

B. Borrower and Lenders desire to amend the Loan Agreement as more fully set forth herein. 

AGREEMENT 
 NOW, THEREFORE, in consideration of the foregoing recitals and other good and valuable consideration, the receipt and adequacy of which is hereby acknowledged, and
intending to be legally bound, the parties hereto agree as follows: 
  

	1.	Amendment to Loan Agreement. 

 1.1 Section 6.3(a) (Financial Statements, Reports, Certificates). Section 6.3(a) is amended in its entirety and replaced with the following: 

(a) (i) within thirty (30) days after the end of each month, company prepared internal drafts of its balance sheet and
income statement covering Borrower’s operations during such period, represented by Borrower’s president, treasurer or chief financial officer (each, a “Responsible Officer”) to be true and correct to his/her knowledge; and
(ii) within forty-five (45) days after the end of each quarter, company prepared internal drafts of its cash flow statement covering Borrower’s operations during such period, represented by Borrower’s president, treasurer or chief
financial officer (each, a “Responsible Officer”) to be true and correct to his/her knowledge; 
  

	2.	Limitation of Amendment. 

2.1 The amendment set forth in Section 1 above is effective for the purposes set forth herein and shall be limited precisely
as written and shall not be deemed to (a) be a consent to any amendment, waiver, or modification of any other term or 

  
 1 

 
condition of any Loan Document, or (b) otherwise prejudice any right or remedy which Lenders may now have or may have in the future under or in connection with any Loan Document. 

2.2 This Amendment shall be construed in connection with and as part of the Loan Documents and all terms, conditions,
representations, warranties, covenants and agreements set forth in the Loan Documents, except as herein amended, are hereby ratified and confirmed and shall remain in full force and effect. 

 

	3.	Counterparts. This Amendment may be executed in any number of counterparts and all of such counterparts taken together shall be deemed to constitute one and the
same instrument. 

  

	4.	Effectiveness. This Amendment shall be deemed effective as of May 2, 2008 upon the due execution and delivery of this Amendment by each party hereto; and

 IN WITNESS WHEREOF, the
parties hereto have caused this Amendment to be duly executed and delivered as of the date first written above. 
  

									
	LENDERS	 		 	BORROWER
			
	SILICON VALLEY BANK	 		 	MAP PHARMACEUTICALS, INC.
					
	By:	 	M. F. FORDE	 		 	By:	 	C. Y. CHAI
	Name:	 	Mercy Forde	 		 	Name:	 	Christopher Y. Chai
	Title:	 	SPM	 		 	Title:	 	CFO
				
	OXFORD FINANCE CORPORATION	 		 		 	
					
	By:	 	T. A. LEX	 		 		 	
	Name:	 	T. A. Lex	 		 		 	
	Title:	 	COO	 		 		 	

  
 2Second Amendment to Loan and Security Agreement

 Exhibit 10.4 
 SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT 
 THIS SECOND AMENDMENT TO
LOAN AND SECURITY AGREEMENT (this “Amendment”) is entered into as of April 5, 2011, by and among MAP PHARMACEUTICALS, INC, a Delaware corporation (“Borrower”), SILICON VALLEY BANK, a California bank
(“SVB”) and OXFORD FINANCE CORPORATION, a Delaware corporation (“Oxford”, and together with SVB, the “Lenders”). 
 RECITALS 
 A. Lenders and Borrower have entered into a Loan and
Security Agreement dated as of May 2, 2008, as amended by that certain First Amendment to Loan and Security Agreement dated as of October 28, 2008 (as the same may from time to time be further amended, modified, supplemented or restated,
the “Loan Agreement”). 
 B. Lenders and Borrower desire to amend and modify certain terms of the Loan
Agreement, subject to the terms and conditions hereinafter set forth. 
 C. Unless otherwise defined herein, terms capitalized
herein and defined in the Loan Agreement shall have the meanings ascribed to them in the Loan Agreement. 
 AGREEMENT

 The parties agree as follows: 
  

	1.	AMENDMENTS 

 1.1
Definitions. The following new definitions are hereby added to Section 1.1 of the Loan Agreement in the alphabetically appropriate place: 
 “Funding Transaction” means any transaction or series of transactions entered into by a Lender, any Affiliate of Lender or any Securitization Entity with a Permitted Transferee for the
purpose of obtaining funding for any such entity and pursuant to which such Lender, Affiliate or Securitization Entity may sell, convey or otherwise transfer, or pledge or grant a security interest in any of their respective interests in the Loan
Agreement or any Loan Document. 
 “Permitted Transferee” means any Person, other than a natural Person, that
is (i) an Affiliate of a Lender, (ii) a Securitization Entity, or (iii) a commercial bank, insurance company, investment or mutual fund or other entity that is an “accredited investor” (as defined in Regulation D under the
Securities Act) and which extends credit or buys loans or financial assets in the ordinary course of business; provided that so long as no Event of Default exists, such entity shall not be a distressed debt or vulture fund or a competitor of
Borrower, in each case as reasonably defined by either Lender 

 “Securitization Entity” means a Lender Subsidiary formed by a Lender for
the purpose of obtaining funding secured by assets including all or any part of the Lender’s interests in the Loan Agreement or any Loan Document, and that engages in no material activities other than in connection with the financing or
securitization of loans or financial assets. For the purpose of this definition, “Lender Subsidiary”, with respect to any Lender, means any entity (a) of which securities or other ownership interests representing more than 50% of the
equity or more than 50% of the ordinary voting power, as of such date, are owned, controlled or held by such Lender, and (b) as to which such Lender possesses, directly or indirectly, the power to direct or cause the direction of the management
or policies of a Person, whether through the ability to exercise voting power, by contract or otherwise. 
 1.2 Successor
and Assigns. Section 12.1 of the Loan Agreement is hereby amended and restated in its entirety to read as follows: 

“12.1 Successor and Assigns. 
 (a) This Agreement and the Loan Documents shall bind and inure to the benefit of the respective successors and permitted assigns of each of the parties; provided, however, neither this Agreement nor any
rights hereunder may be assigned by Borrower without Lenders’ prior written consent, which consent may be granted or withheld in any Lenders sole discretion. Prior to an Event of Default, each of Lenders has the right, with the consent of
Borrower (which shall not be unreasonably withheld), to sell, transfer, negotiate, assign, or grant participation of all or any part of, or any interest in, its obligations, rights, and benefits under this Agreement and the other Loan Documents;
provided that each of Lenders has the right, without Borrower’s consent, to sell or assign all or any part of, or any interest in, its obligations, rights, and benefits under this Agreement and the other Loan Documents in connection with
(i) any sale of such Lender, or (ii) any assignment of a material part of its assets, or (iii) if otherwise required by law (as by way of example only, a portfolio divestment required by regulators). While an Event of Default exists,
each of Lenders has the right, without the consent of or notice to Borrower, to sell, transfer, negotiate, or grant participation in all or any part of, or any interest in, its obligations, rights, and benefits under this Agreement and the other
Loan Documents. Lenders may disclose the Loan Documents and any other financial or other information relating to Borrower or any Subsidiary to any potential participant or assignee of any of the Loans; provided that such participant or assignee
agrees to protect the confidentiality of such documents and information using the same measures that it uses to protect its own confidential information. 
 (b) Notwithstanding anything in the Loan Documents or this Agreement to the contrary, there shall be no limitation or restriction on (i) the ability of any Lender or any Securitization Entity to
pledge, assign or otherwise transfer any of its interest in the Loan Agreement or any Loan Document in connection with any such Funding Transaction or (ii) the ability of a Permitted Transferee to assign or otherwise transfer any of its
interest in the Loan Agreement or any Loan Document upon the occurrence of an event of default or similar occurrence with respect to any such Funding Transaction; provided, however, that such Lender shall continue to be liable as a
“Lender” under the Loan Agreement and the Loan Documents.” 

	2.	GENERAL PROVISIONS 

2.1 Ratification. The Loan Agreement, as amended hereby, is hereby ratified and remains in full force and effect.

 2.2 Effect of Amendment. Upon the effectiveness of this Amendment, on and after the date hereof each reference
in the Loan Agreement, to “this Agreement”, “hereof”, “hereunder” or words of like import referring to the Loan Agreement, or any reference in any other Loan Document (as defined in the Loan Agreement) to the Loan
Agreement shall mean and be a reference to the Loan Agreement as modified, confirmed and ratified hereby. 
 2.3
Successors and Assigns. This Amendment shall inure to the benefit of the parties hereto and their respective successors and assigns, and bind the parties hereto and their respective successors and permitted assigns. 

2.4 Counterparts. This Amendment may be executed in any number of counterparts, each of which shall be deemed an original,
and all of which, when taken together, shall constitute one and the same instrument, and any facsimile or photocopied signature hereto shall be deemed original signatures hereto, all of which shall be equally valid. 

2.5 Governing Law. This Amendment shall be governed by and construed and interpreted in accordance with the governing or
choice of law provisions set forth in the Loan Agreement and shall be subject to the waiver of jury trial and notice provisions of the Loan Agreement. 
 2.6 Severability. In the event any term or provision of this Amendment or the application thereof to any person or entity or circumstance, shall, for any reason or to any extent be invalid
or unenforceable, the remaining terms and provisions of this Amendment, or the application of any such provision to persons, entities or circumstances other than those as to whom or which it has been determined to be invalid or unenforceable, shall
not be affected thereby, and every provision of this Amendment shall be valid and enforceable to the fullest extent permitted by law. 
 [Signature Pages Follow] 

 IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed as of the
date first above written. 
  

			
	OXFORD FINANCE CORPORATION, as Lender
		
	By:	 	 /s/ John G. Henderson

	Name:	 	 John G. Henderson

	Title:	 	 Vice President & General Counsel

	
	SILICON VALLEY BANK, as Lender
		
	By:	 	 /s/ Jason Hughs

	Name:	 	 Jason Hughs

	Title:	 	 DTC

	
	MAP PHARMACEUTICALS, INC., as Borrower
		
	By:	 	 /s/ Timothy S. Nelson

	Name:	 	 Timothy S. Nelson

	Title:	 	 President & CEO

 SIGNATURE PAGE TO AMENDMENT TO LOAN AND SECURITY AGREEMENT (MAP)

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