CROSSROADS SYSTEMS INC - FORM S-1 - EX-4.9 - EXHIBIT 4.9 - May 12, 2015

Attached files

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EX-99.6 - EXHIBIT 99.6 - CROSSROADS SYSTEMS INCv410326_ex99-6.htm
EX-99.3 - EXHIBIT 99.3 - CROSSROADS SYSTEMS INCv410326_ex99-3.htm
EX-23.1 - EXHIBIT 23.1 - CROSSROADS SYSTEMS INCv410326_ex23-1.htm
EX-99.5 - EXHIBIT 99.5 - CROSSROADS SYSTEMS INCv410326_ex99-5.htm
EX-99.7 - EXHIBIT 99.7 - CROSSROADS SYSTEMS INCv410326_ex99-7.htm
EX-99.2 - EXHIBIT 99.2 - CROSSROADS SYSTEMS INCv410326_ex99-2.htm
EX-10.7 - EXHIBIT 10.7 - CROSSROADS SYSTEMS INCv410326_ex10-7.htm
EX-99.8 - EXHIBIT 99.8 - CROSSROADS SYSTEMS INCv410326_ex99-8.htm
EX-99.4 - EXHIBIT 99.4 - CROSSROADS SYSTEMS INCv410326_ex99-4.htm
EX-99.1 - EXHIBIT 99.1 - CROSSROADS SYSTEMS INCv410326_ex99-1.htm
S-1 - FORM S-1 - CROSSROADS SYSTEMS INCv410326_s1.htm

 

Exhibit 4.9

 

RIGHTS CERTIFICATE #:   NUMBER OF RIGHTS

THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY'S PROSPECTUS DATED _____ __, 2015 (THE "PROSPECTUS") AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM INVESTORCOM, INC.,
THE INFORMATION AGENT, BY EMAIL AT info@investor-com.com, BY TELEPHONE AT (877) 972-0090
OR BY MAIL AT INVESTORCOM, INC., 65 LOCUST AVENUE, NEW CANAAN, CT 06840.

 

Crossroads Systems, Inc.

Incorporated under the laws of the State of Delaware

 

NON - TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATE

 

Evidencing Non - Transferable Subscription Rights to Purchase Shares of Common Stock of Crossroads Systems, Inc.

 

Subscription Price: $____ per Share

 

THE SUBSCRIPTION RIGHTS WILL EXPIRE IF NOT EXERCISED ON OR BEFORE _____ P.M., NEW YORK CITY TIME, ON _______ __, 2015, UNLESS EXTENDED BY THE COMPANY

 

REGISTERED

OWNER:

 

THIS CERTIFIES THAT the registered owner whose name is inscribed hereon is the owner of the number of non-transferable subscription rights (“Rights”) set forth above. Each whole Right entitles the holder thereof to subscribe for and purchase ________ shares of Common Stock, with a par value of $0.001 per share, of Crossroads Systems, Inc., a Delaware corporation, at a subscription price of $____ per share (the “Basic Subscription Right”), pursuant to a rights offering (the “Rights Offering”), on the terms and subject to the conditions set forth in the Prospectus and the “Instructions as to Use of Crossroads Systems, Inc. Subscription Rights Certificates” accompanying this Subscription Rights Certificate. If any shares of Common Stock available for purchase in the Rights Offering are not purchased by other holders of Rights pursuant to the exercise of their Basic Subscription Right (the “Excess Shares”), any Rights holder that exercises its Basic Subscription Right in full may subscribe for a number of Excess Shares pursuant to the terms and conditions of the Rights Offering, subject to the NOL Protection Mechanics, as described in the Prospectus (the “Over-Subscription Privilege”). The Rights represented by this Subscription Rights Certificate may be exercised by completing Form 1 and any other appropriate forms on the reverse side hereof and by retuning the full payment of the subscription price for each share of Common Stock in accordance with the “Instructions as to Use of Sample corporation, Inc. Subscription Rights Certificates” that accompany this Subscription Rights Certificate.

 

This Subscription Rights Certificate is not valid unless countersigned by the subscription agent and registered by the registrar.

 

Witness the seal of Crossroads Systems, Inc. and the signatures of its duly authorized officers.

 

Dated:

 

_________________________________   _________________________________
President, Chief Executive Officer   Secretary
and Principal Executive Officer    

 

 

 

 
 

 

DELIVERY OPTIONS FOR SUBSCRIPTION RIGHTS CERTIFICATE

 

Delivery other than in the manner or to the address listed below will not constitute valid delivery.

If delivering by mail, hand or overnight courier:

American Stock Transfer & Trust Company, LLC

Operations Center

Attn: Reorganization Department

6201 15th Avenue

Brooklyn, New York 11219

 

PLEASE PRINT ALL INFORMATION CLEARLY AND LEGIBLY.

 

FORM 1-EXERCISE OF SUBSCRIPTION RIGHTS

 

To subscribe for shares pursuant to your Basic Subscription Right, please complete lines (a) and (c) and sign under Form 3 below. To subscribe for shares pursuant to your Over-Subscription Privilege, please also complete line (b) and sign under Form 3 below. To the extent you subscribe for more Shares than you are entitled under either the Basic Subscription Right or the Over-Subscription Privilege, you will be deemed to have elected to purchase the maximum number of shares for which you are entitled to subscribe under the Basic Subscription Right or Over-Subscription Privilege, as applicable.

 

(a) EXERCISE OF BASIC SUBSCRIPTION RIGHT:

 

I apply for ______________ shares x $ ____                       =   $_______________

  (no. of new shares)                (subscription price)       (amount enclosed)

 

(b) EXERCISE OF OVER-SUBSCRIPTION PRIVILEGE

 

If you have exercised your Basic Subscription Right in full and wish to subscribe for additional shares pursuant to your Over-Subscription Privilege:

 

I apply for ______________ shares x $ ____                       =   $_______________

  (no. of new shares)                (subscription price)       (amount enclosed)

 

(c) Total Amount of Payment Enclosed = $__________________

 

METHOD OF PAYMENT (CHECK ONE)

 

¨Check or bank draft payable to “American Stock Transfer & Trust Company, LLC as Subscription Agent.”
¨Wire transfer of immediately available funds directly to the account maintained by American Stock Transfer & Trust Company, LLC, as Subscription Agent, for purposes of accepting subscriptions in this Rights Offering at JPMorgan Chase Bank, 55 Water Street, New York, New York 10005, ABA #[_______], Account # [_______] American Stock Transfer FBO Crossroads Systems, Inc., with reference to the rights holder's name.

 

FORM 2-DELIVERY TO DIFFERENT ADDRESS

 

If you wish for the Common Stock underlying your subscription rights, a certificate representing unexercised subscription rights or the proceeds of any sale of subscription rights to be delivered to an address different from that shown on the face of this Subscription Rights Certificate, please enter the alternate address below, sign under Form 3 and have your signature guaranteed under Form 4.

 

 

 

 

 

 

 

FORM 3-SIGNATURE

 

TO SUBSCRIBE: I acknowledge that I have received the Prospectus for this Rights Offering and I hereby irrevocably subscribe for the number of shares indicated above on the terms and conditions specified in the Prospectus. By signing below, I confirm that (1) the protection mechanics described in the Prospectus are valid, binding and enforceable against me; (2) any purported exercise of Rights, in violation of the protection mechanics section, will be void and of no force and effect; (3) the Company has the right to void and cancel (and treat as if never exercised) any exercise of Rights, and shares issued pursuant to an exercise of Rights, if any of the agreements, representations or warranties of mine in the subscription documents are false; and (4) I have contacted the Information Agent as requested in the Prospectus if I currently hold own more than, or would potentially increase my current holdings of the Company’s common stock from fewer than 967,976 shares to greater than 967,976 shares by participating in the Rights Offering. Under penalties of perjury, I certify that the information contained herein is true, complete and correct.

 

Signature(s):   

 

IMPORTANT: The signature(s) must correspond with the name(s) as printed on the reverse of this Subscription Rights Certificate in every particular, without alteration or enlargement, or any other change whatsoever.

 

FORM 4-SIGNATURE GUARANTEE

 

This form must be completed if you have completed any portion of Form 2.

  

Signature Guaranteed:   
  (Name of Bank or Firm)

 

By:     
    (Signature of Officer)

 

IMPORTANT: The signature(s) should be guaranteed by an eligible guarantor institution (bank, stock broker, savings & loan association or credit union) with membership in an approved signature guarantee medallion program pursuant to Securities and Exchange Commission Rule 17Ad-15.

 

FOR INSTRUCTIONS ON THE USE OF CROSSROADS SYSTEMS, INC. SUBSCRIPTION RIGHTS CERTIFICATES, CONSULT INVESTORCOM, INC., THE INFORMATION AGENT, AT (877) 972-0090 OR BY E-MAIL AT INFO@INVESTOR-COM.COM.

 

 

CROSSROADS SYSTEMS INC Reports

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