展覽4.1
最終形式
本安全證券及可行使本安全證券的證券，均未向美國證券交易委員會或任何州的證券委員會注冊，而是根據1933年修訂後的《證券法》（下稱“證券法”）豁免注冊規定，因此可能不能根據證券法提供或出售，除非根據證券法的有效注冊聲明或根據可用的豁免條款或在不受證券法注冊要求限制的交易中，並且按照適用的州證券法。
預先資助的認股權證，用於購買普通股
認股權證編號 [●]
股份數量：4,000,000
(受調整影響)
原發行日期：2024年10月17日
Mind Medicine（MindMed）公司是根據不列顛哥倫比亞省法律成立的公司，謹此證明權益代理謹此證明，為了有償金額，已收悉且足以奉為滿足，[●] 或其註冊繼受人（“持有人）有權根據以下條款，從公司購買高達4,000,000股無面值普通股（“公司”），该公司的一份“認股證股份”及相關所有股份， 這些“認股權證股份”）按每股0.001美元的行使價格行使（根據不時調整的規定 在 第九章 本文中，這些“行使價格”），在交出這張購買普通股權證時（包括 任何交易、轉讓、或更換此權證所發行的購買普通股權證，這些“權證（即「Warrant」）”) at any time and from time to time on or after the date hereof (the “原始發行日期”), subject to the following terms and conditions:
| 1. | 定義。根據本 認股權憑證的目的，以下術語應具有以下含義： |
| (a) | 「聯屬企業」 表示受任何受人直接或間接控制之人其控制者、控制之人或與持有人共同控制之人，但僅限於此種控制繼續存在之期間。為本定義之目的，“控制”（包括相關含義的“受控於”、“控制”和“與共同受控”）表示對於一人，擁有對該人之管理與政策之直接或間接指導或造成指導的權力（無論透過證券、夥伴關係或其他所有權利益之擁有，透過契約或其他方式），或（ii）至少50％的表決證券（無論是直接或透過任何認股權、認股權證或其他類似安排）或其他相當之權益。 |
| (b) | “收盤售價 銷售價格對於任何安防，截至任何日期，據彭博金融市場報導在該安防的主要交易市場上該安防的最後交易價格，或者如果該主要交易市場開始運作於延長交易時段並未指定最後交易價格，則在紐約時間下午4點之前，根據彭博金融市場報導在該日期之前該安防的最後交易價格，或者如果前述均不適用，則根據彭博金融市場報導該安防在該日期的場外交易市場上的電子公告板上的最後交易價格。如果無法根據任何前述基礎在特定日期計算安防的收盤售價，則該安防在該日期的收盤售價應由公司與持有人善意相互確定為公允市值。如果公司與持有人無法就該安防的公允市值達成協議，則公司的董事會將根據其善意判斷確定該安防的公允市值。董事會的判斷將對所有方當事人具約束力，除非有可證實的錯誤。所有這類決定應適當地調整以反映任何股息、股票拆分、股票合併或在適用計算期間內發生的其他類似交易。 |
| (c) | “」提交給美國證券交易委員會（「“ 美國證券交易委員會”代表美國證券交易委員會。 |
| (d) | “主要 交易市場” 代表國家證券交易所或其他主要上市並報價交易的交易市場，截至原發行日期，應為納斯達克全球精選市場（The Nasdaq Global Select Market） |
| (e) | “註冊聲明” 意味著公司於2024年6月28日自動生效的S-3表格（文件編號333-280548）的登記聲明。 |
| (f) | “《證券法》“”代表1933年修訂版證券法案。 |
| (g) | “交易 日” 意指主要交易市場通常開放進行交易的任何工作日。 |
| (h) | “轉讓代理” 指的是Computershare Investor Services Inc.，即公司的普通股轉讓代理和登記處，以及被任命為這一身份的任何後任。 |
| 2. | 發行 證券；認股權證的註冊。 本認股權證，如本公司最初發行， 根據符合第 3 (a) (9) 條規定的交易所發行 在原發行日期生效的交易法。因此，本認股證為 根據《證券法》公布的第 144 條的限制證券。公司 須根據本公司保存的記錄，註冊本認股權證的所有權 這個目的（」認股證登記」)，以記錄持有人的名義 (其中包括初始持有人或視情況而定的任何受託人 根據本條款不時轉讓權證）。本公司可視及處理已登記者 本認證持有人作為本權證的絕對擁有者，以作為任何行使本權證的目的 或任何分發給持有人，以及出於所有其他目的，沒有向持有人實際通知 相反。 |
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| 3. | 轉讓 權證。 |
| (a) | 根據所有適用的證券法律和所規定的條件， 3(b)節以及在2024年10月17日簽署的權證交易協議第4條規定的條款，由公司和持有人（以下簡稱爲“交易所協議”）公司應在權證登記簿上登記此權證的任何部分或全部轉讓，在提交本權證並支付所有適用的過戶稅款（如有）後。在任何此類登記或轉讓後，將向受讓人發行一份購買普通股的權證，形式與本權證基本相同（任何此類新權證，簡稱“新權證”），證明轉讓的本權證部分，同時向轉讓持有人發行一份新權證，證明未轉讓的本權證剩餘部分（如有）。受讓人接受該新權證將被視爲受讓人接受轉讓人對本權證的所有權利和義務。公司應或將引起其過戶代理準備、發佈和交付本 第3(a)節在轉讓登記之前，公司可視持有人爲所有目的的註冊持有人，並且公司不受任何相反通知的影響。 |
| (b) | 如果，在轉讓本認股權證以便轉讓本認股權證時，（i）該轉讓未根據《證券法》和適用州證券或藍天法項下的有效註冊聲明或（ii）本認股權證的受讓人未有資格立即無成交量或交易方式限制或根據第144條規則的現行公開信息要求轉售本認股權證轉讓部分基礎的認股權證股票，則公司可能要求在允許該轉讓的條件下，作爲要求，持有人或本認股權證的受讓人，視情況而定，遵守交換協議第6條的規定。 |
| 4. | 行使 以及認股權證的期限。 |
| (a) | 所有板塊或其任何部分應由註冊持有人在原始發行日期之後的任何時間以任何允許的方式行使。 |
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| (b) | 持有人可以通過提交附在公司名下的表格中（i）提交行權通知，並（ii）支付行權價格以行使此認股權證（如果行權通知中根據第10節所示指示爲「無現金行權」），最後一項交付給公司的日期（根據本節的通知規定確定）爲「行權日期」 附表1 若干認股通知。”），填寫並簽署，並（ii）支付行使此認股權證的認股股數的行權價格（如果行權通知中根據第10節所示指示爲「無現金行權」），並於將這些項目中的最後一項交付給公司的日期（根據本節第13節的通知規定確定）爲「行權日期」 第10節 下文），並將這些項目中的最後一項交付給公司的日期（根據本節第13節的通知規定確定）爲「行權日期」行權日期持有人無需交付原權證即可行使本次。執行和交付行使通知書應具有與取消原權證併發行新權證以證明購買剩餘權證股票數量，如果有的話，相同的效果。除行使價格以外，本權證的整體行使價格在原發行日期或之前已經預先支付給公司，因此持有人不需要支付任何額外的考慮（除行使價格外）來行使本權證。持有人無權要求根據任何情況或任何原因全額或部分返還或退還預先資助的行使價格。 |
| 5. | 交付認股權證股份。 |
| (a) | 之後 行使本認股權證，公司應立即（但不遲於一（1）次交易 行使日期後的第二天），應持有人的要求，要求轉讓代理人 將持有人有權獲得的普通股總數記入貸方 此類行使 (i) 存入持有人或其指定人的餘額帳戶 與存託信託公司（”DTC”) 通過其存款提款 代理佣金制度或（ii）通過直接註冊系統以賬面報名形式提交 （”DRS”) 由轉讓代理人或代表轉讓代理維護，或者如果是轉讓 代理人未參與快速自動證券轉賬計劃（”快速 程式”）或者證書是否需要帶有有關限制的說明 關於可轉讓性，讓轉讓代理人 (x) 簽發和發送證書 通過隔夜快遞送到行使通知中指定的地址或（y）簽發的地址 在公司股份登記冊中註冊的賬面登記表中的證書 持有人或其指定人的姓名，以持有人所持普通股的數量爲準 根據該項活動有權獲得資格。持有人、DTC（或其被提名人）或任何自然人 或法人實體（每個，一個”人”) 由持有人指定接收 認股權證股應被視爲已成爲此類認股權證股份的記錄持有人 截至行使之日，無論此類認股權證股份在何時貸記入行使日 持有人的 DTC 帳戶、賬面記賬頭寸的日期或交付日期 證明此類認股權證的證書（視情況而定）。 |
| (b) | 如果在行使日期後的首個交易日收盤時，公司未能促使過戶代理按照所需方式將應根據規定的股票轉發給持有人或其指定人，而在該首個交易日後且在收到此類股票轉發前，持有人對於該行使購買（在公開市場交易或其他情況下）普通股以達成持有人預期行使後應收到的那些股票的出售滿足而買入股票（“st買入共享以交付持有人憑借持有人可能收到的行使所需的那些股票（“ 第5(a)條款其他事由，而未經持有人干預（僅由於任何行動或不作為）而導致的任何此類失敗，以及在首個（1st）交易日後且在收到這些股票轉發前，持有人購買（在公開市場交易或其他情況下）普通股以履行持有人預期行使後應收到的那些股票出售的交易（“買入如"），則公司應於申請後的一（1）個交易日內立即履行其根據"所承擔的義務，並支付給持有人現金，金額等於"所購買的普通股的總購買價格（包括券商佣金，如有）超出購入普通股數量乘以購入日收盤價的乘積。 第5(a)條款，並支付給持有人現金，金額等於"所購買的普通股的總購買價格（包括券商佣金，如有）超出購入普通股數量乘以購入日收盤價的乘積。 |
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| (c) | To the extent permitted by law and subject to Section 5(b), the Company’s obligations to issue and deliver Warrant Shares in accordance with and subject to the terms hereof (including the limitations set forth in Section 11 below) are absolute and unconditional, irrespective of any action or inaction by the Holder to enforce the same, any waiver or consent with respect to any provision hereof, the recovery of any judgment against any Person or any action to enforce the same, or any setoff, counterclaim, recoupment, limitation or termination, or any breach or alleged breach by the Holder or any other Person of any obligation to the Company or any violation or alleged violation of law by the Holder or any other Person, and irrespective of any other circumstance that might otherwise limit such obligation of the Company to the Holder in connection with the issuance of Warrant Shares. Subject to Section 5(b), nothing herein shall limit the Holder’s right to pursue any other remedies available to it hereunder, at law or in equity including, without limitation, a decree of specific performance and/or injunctive relief with respect to the Company’s failure to timely deliver certificates representing Common Shares upon exercise of the Warrant as required pursuant to the terms hereof. |
| 6. | Charges, Taxes and Expenses. Issuance and delivery of certificates for Common Shares upon exercise of this Warrant shall be made without charge to the Holder for any issue or transfer tax, transfer agent fee or other incidental tax or expense (excluding any applicable stamp duties) in respect of the issuance of such certificates, all of which taxes and expenses shall be paid by the Company; provided, however, that the Company shall not be required to pay any tax that may be payable in respect of any transfer involved in the registration of any certificates for Warrant Shares or the Warrants in a name other than that of the Holder or an Affiliate thereof. The Holder shall be responsible for all other tax liability that may arise as a result of holding or transferring this Warrant or receiving Warrant Shares upon exercise hereof. |
| 7. | Replacement of Warrant. If this Warrant is mutilated, lost, stolen or destroyed, the Company shall issue or cause to be issued in exchange and substitution for and upon cancellation hereof, or in lieu of and substitution for this Warrant, a New Warrant, but only upon receipt of evidence reasonably satisfactory to the Company of such loss, theft or destruction (in such case) and, in each case, a customary and reasonable indemnity and surety bond, if requested by the Company. Applicants for a New Warrant under such circumstances shall also comply with such other reasonable regulations and procedures and pay such other reasonable third-party costs as the Company may prescribe. If a New Warrant is requested as a result of a mutilation of this Warrant, then the Holder shall deliver such mutilated Warrant to the Company as a condition precedent to the Company’s obligation to issue the New Warrant. |
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| 8. | Reservation of Warrant Shares. The Company covenants that it will, at all times while this Warrant is outstanding, reserve and keep available out of its authorized but unissued and otherwise unreserved Common Shares, solely for the purpose of enabling it to issue Warrant Shares upon exercise of this Warrant as herein provided, the number of Warrant Shares that are initially issuable and deliverable upon the exercise of this entire Warrant, free from preemptive rights or any other contingent purchase rights of Persons other than the Holder (taking into account the adjustments and restrictions of Section 9). The Company covenants that all Warrant Shares so issuable and deliverable shall, upon issuance and the payment of the applicable Exercise Price in accordance with the terms hereof, be duly and validly authorized, issued and fully paid and non-assessable. The Company will take all actions as may be reasonably necessary to assure that such Common Shares may be issued as provided herein without violation of any applicable law or regulation, or of any requirements of any securities exchange or automated quotation system upon which the Common Shares may be listed or quoted. The Company further covenants that it will not, without the prior written consent of the Holder, take any actions to increase the par value of the Common Shares at any time while this Warrant is outstanding. |
| 9. | Certain Adjustments. The Exercise Price and number of Warrant Shares issuable upon exercise of this Warrant are subject to adjustment from time to time as set forth in this Section 9. |
| (a) | Share Dividends and Splits. If the Company, at any time while this Warrant is outstanding, (i) pays a share dividend on its Common Shares or otherwise makes a distribution on any class of share capital issued and outstanding on the Original Issue Date and in accordance with the terms of such share capital on the Original Issue Date or as amended, as described in the Registration Statement, that is payable in Common Shares, (ii) subdivides its outstanding Common Shares into a larger number of Common Shares, (iii) combines its outstanding Common Shares into a smaller number of Common Shares or (iv) issues by reclassification of share capital any additional Common Shares of the Company, then in each such case the Exercise Price shall be multiplied by a fraction, the numerator of which shall be the number of Common Shares outstanding immediately before such event and the denominator of which shall be the number of Common Shares outstanding immediately after such event. Any adjustment made pursuant to clause (i) of this paragraph shall become effective immediately after the record date for the determination of shareholders entitled to receive such dividend or distribution, provided, however, that if such record date shall have been fixed and such dividend is not fully paid on the date fixed therefor, the Exercise Price shall be recomputed accordingly as of the close of business on such record date and thereafter the Exercise Price shall be adjusted pursuant to this paragraph as of the time of actual payment of such dividends. Any adjustment pursuant to clause (ii) or (iii) of this paragraph shall become effective immediately after the effective date of such subdivision or combination. |
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| (b) | Pro Rata Distributions. If the Company, at any time while this Warrant is outstanding, distributes to all holders of Common Shares for no consideration (i) evidences of its indebtedness, (ii) any security (other than a distribution of Common Shares covered by the preceding paragraph) or (iii) rights or warrants to subscribe for or purchase any security, or (iv) cash or any other asset (in each case, “Distributed Property”), then, upon any exercise of this Warrant that occurs after the record date fixed for determination of shareholders entitled to receive such distribution, the Holder shall be entitled to receive, in addition to the Warrant Shares otherwise issuable upon such exercise (if applicable), the Distributed Property that such Holder would have been entitled to receive in respect of such number of Warrant Shares had the Holder been the record holder of such Warrant Shares immediately prior to such record date without regard to any limitation on exercise contained therein. |
| (c) | Fundamental Transactions. If, at any time while this Warrant is outstanding (i) the Company effects any merger or consolidation of the Company with or into another Person, in which the Company is not the surviving entity and in which the shareholders of the Company immediately prior to such merger or consolidation do not own, directly or indirectly, at least 50% of the voting power of the surviving entity immediately after such merger or consolidation, (ii) the Company effects any sale to another Person of all or substantially all of its assets in one transaction or a series of related transactions, (iii) pursuant to any tender offer or exchange offer (whether by the Company or another Person), holders of share capital tender shares representing more than 50% of the voting power of the share capital of the Company and the Company or such other Person, as applicable, accepts such tender for payment, (iv) the Company consummates a share purchase agreement or other business combination (including, without limitation, a reorganization, recapitalization, spin-off or scheme of arrangement) with another Person whereby such other Person acquires more than the 50% of the voting power of the share capital of the Company (except for any such transaction in which the shareholders of the Company immediately prior to such transaction maintain, in substantially the same proportions, the voting power of such Person immediately after the transaction), provided, however, that the foregoing shall not include transactions for which the primary purpose is raising capital, or (v) the Company effects any reclassification of the Common Shares or any compulsory share exchange pursuant to which the Common Shares are effectively converted into or exchanged for other securities, cash or property (other than as a result of a subdivision or combination of Common Shares covered by Section 9(a) above) (in any such case, a “Fundamental Transaction”), then following such Fundamental Transaction the Holder shall have the right to receive, upon exercise of this Warrant, the same amount and kind of securities, cash or property as it would have been entitled to receive upon the occurrence of such Fundamental Transaction if it had been, immediately prior to such Fundamental Transaction, the holder of the number of Warrant Shares then issuable upon exercise in full of this Warrant without regard to any limitations on exercise contained herein (the “Alternate Consideration”). The Company shall not effect any Fundamental Transaction in which the Company is not the surviving entity or the Alternate Consideration includes securities of another Person unless (i) the Alternate Consideration is solely cash, solely marketable securities, or a combination of cash and marketable securities, and the Company provides for the simultaneous “cashless exercise” of this Warrant pursuant to Section 10 below or (ii) prior to or simultaneously with the consummation thereof, any successor to the Company, surviving entity or other Person (including any purchaser of assets of the Company) shall assume the obligation to deliver to the Holder such Alternate Consideration as, in accordance with the foregoing provisions, the Holder may be entitled to receive, and the other obligations under this Warrant. The provisions of this paragraph (c) shall similarly apply to subsequent transactions analogous of a Fundamental Transaction type. In the event the Holder does not exercise this Warrant as contemplated by the foregoing sentence, this Warrant shall be deemed exercised in full without regard to any limitations on exercise contained herein pursuant to the “cashless exercise” provision in Section 10 hereof upon the effective date of the consummation of such Fundamental Transaction. |
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| (d) | Number of Warrant Shares. Simultaneously with any adjustment to the Exercise Price pursuant to Section 9(a) above, the number of Warrant Shares that may be purchased upon exercise of this Warrant shall be increased or decreased proportionately, so that after such adjustment the aggregate Exercise Price payable hereunder for the increased or decreased number of Warrant Shares shall be the same as the aggregate Exercise Price in effect immediately prior to such adjustment. |
| (e) | Calculations. All calculations under this Section 9 shall be made to the nearest one-tenth of one cent or the nearest share, as applicable. |
| (f) | Notice of Adjustments. Upon the occurrence of each adjustment pursuant to this Section 9, the Company at its expense will, at the written request of the Holder, promptly compute such adjustment, in good faith, in accordance with the terms of this Warrant and prepare a certificate setting forth such adjustment, including a statement of the adjusted Exercise Price and adjusted number or type of Warrant Shares or other securities issuable upon exercise of this Warrant (as applicable), describing the transactions giving rise to such adjustments and showing in detail the facts upon which such adjustment is based. Upon written request, the Company will promptly deliver a copy of each such certificate to the Holder and to the Company’s Transfer Agent. |
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| (g) | 通知 的企業活動。如果在本認股權證未到期期間，公司 (i) 聲明 與以下有關的股息或任何其他現金、證券或其他財產的分配 其普通股，包括但不限於任何認購權或認股權證的授予 用於或購買本公司或任何子公司的任何股本，(ii) 授權 或批准、簽訂任何考慮或徵求股東批准的協議 任何基本交易或 (iii) 授權自願解散、清算 或公司事務的清盤，除非此類通知和內容 它們應被視爲構成重要的非公開信息，公司應 至少在交易前十 (10) 天向持有人發出此類交易的通知 個人需要持有普通股的適用記錄或生效日期 要求參與此類交易或就該交易進行投票； 但是，提供了， 未能送達此類通知或其中的任何缺陷均不影響其有效性 該通知中要求描述的公司行動。另外，如果這個 認股權證尚未執行，公司授權或批准，簽訂任何考慮的協議 或就其考慮的任何基本交易徵求股東批准 第 9 (c) 節， 第 (iii) 條規定的基本交易除外 第 9 (c) 節， 公司應至少向持有人發出此類基本交易的通知 在該基本交易完成之日前十（10）天。持有者 同意保留根據此披露的任何信息 第 9 (g) 節在 在此類信息公開之前保持信心，並應遵守適用的規定 關於在收到任何此類證券後進行公司證券交易的法律 信息。 |
| 10. | 行使價格的付款。 儘管本協議中可能包含與之相反的任何內容，持有人可以自行決定通過「無現金行使」來履行支付行使價格的義務，在這種情況下，公司應根據以下確定的方式向持有人發行認股權證股。 |
X = Y [(A-B)/A]
其中:
「X」代表將要發行給持有人的認股權股份數；
「Y」等於本權證行使時涉及的認股權股份數量之總數；
「A」等於包括行權日前一交易日的普通股的收盤價（根據彭博金融市場）；
「B」等於當時此項行權的行權價格。
根據《證券法規律144條款》的規定，在「無現金行使」交易中發行的認股權證股票將被視爲由持有人獲取，並且認股權證股票的持有期將從本認股權證最初發行之日開始（前提是在行使時委員會繼續認爲這種處理是適當的）。如果發行認股權證股票的註冊聲明或另一個註冊聲明在行使本認股權證時由於任何原因而未生效，則該認股權證只能通過無現金行使進行，如所述。 第10節附錄H中所述除外第5(b)條（買入處置） 第12節 （碎股支付現金）此認股權證的行使將不會以現金結算。
| 9 |
| 11. | 運動的限制。 |
| (a) | 儘管本合同中另有規定，公司不得行使任何本認股權證，持有人也無權行使超過在行使之後或行使之前立即有效的認股權證股份數量使得（i）持有人、其關聯公司和與持有人或其關聯公司構成13(d)小組的任何人擁有的普通股的總數超過9.99%（“最大百分比”）公司發佈和流通的普通股總數的倍數，或（ii）持有人及其關聯公司以及與持有人或其關聯公司構成13(d)小組的其他人，其持有的公司證券的結合表決權超過經行使後公司所有已發行的證券的結合表決權的最大百分比。 對於本段，有益所有權和持有人是否是13(d)組的成員，將按照證交所法第13(d)節的規定和該法規進行計算和確定，持有人承認公司並未向其對持有人有關責任的計算是否符合證交所法第13(d)節做出任何陳述，並且持有人機要對根據該法規所要求提交的任何申報負全部責任。 對於本認股權證，爲確定持有人行使本認股權證而不超過最大百分比時可能取得的所有普通股數量，持有人可以依賴於（x）公司最近的10-Q季度報告、10-k年度報告以及表格k或其他提交給委員會的公開申報，（y）公司的最新公告或（z）公司或過戶代理通過其他通知在提供的普通股的數量。持有人書面請求的情況下，公司應在三（3）個交易日內向持有人確認提供的普通股數量。在任何情況下，經報告提供的普通股數量將在從報告該普通股數量的日期起，給予持有人自轉換或行使本公司證券（包括本認股權證）以來的普通股數量形成後確定。 持有人可以通過書面通知公司，隨時將最大百分比調整爲不超過根據行使本認股權證應發行的普通股數量立即有效後立即生效的任何其他百分比說明，但任何此類增加直至此類通知遞交給公司後的第六十一（61）天才有效。 對於此 證券法第11(a)條根據所做的判斷，持有人及其關聯方以及與持有人或其關聯方屬於第13（d）條組的任何其他人合計持有的普通股或有表決權的證券的數量應包括（x）關於正在做出判斷的本認股權證的行使，但應排除持有人尚未行使並且未取消的本認股權證剩餘未行使部分行使將會導致發行的普通股的數量以及（y）公司未行使、未轉換或未取消任何其他沒有表決權的證券的部分的行使或兌換，這些證券不包括在內，任何時候取得普通股，包括但不限於任何債務、優先股、權利、期權、認股權或其他工具，該工具隨時可以轉換成或行使或交換成，或以其他方式使持有人有權收到普通股），這是受到對換股或行使類似於本約束的限制，是由持有人及其關聯方以及與持有人或其關聯方屬於第13（d）條組的任何其他人所持有的。 |
| 10 |
| (b) | 這 第11節 爲了判斷持有人在基本交易發生時可能獲得的證券或其他權益的數量，不得限制持有人可能獲得或實際擁有的普通股數量。如有基本交易發生時，持有人可能獲得的證券或其他權益的金額，取決於 第9(c)節中所預期的基本交易。 |
| 12. | 沒有碎股。 本權證行使時不會發行任何碎股。除了可能應發行的任何碎股外，應發行的權證股票數量將向下取整到下一個整數，公司應根據收盤價支付持有人任何此類碎股的公平市場價。 |
| 13. | 通知。 根據本協議，任何和所有通知或其他通信或傳遞（包括但不限於任何行使通知）應以書面形式，並被視爲在以下時間生效：（i）發送日期，如果該通知或通信通過電子郵件發送並且在紐約市時間下午5:30前交付給託管代理的電子郵件地址，只要電子郵件的發送方未收到來自收件人計算機服務器的自動傳遞失敗通知；（ii）發送日期後的下一個交易日，如果該通知或通信通過電子郵件發送並且在不是交易日或在紐約市時間下午5:30後交付給託管代理的電子郵件地址，只要電子郵件的發送方未收到來自收件人計算機服務器的自動傳遞失敗通知；（iii）郵寄日期後的交易日，如果通過指定次工作日送達的國家知名隔夜快遞服務發送；以及（iv）實際接收該通知的相關人員收到的日期，如果通過親自遞交。 |
| 14. | 認股權證 代理。 公司最初將擔任此認股權證下的代理。在通知持有人三十（30）天后，公司可以任命新的認股權證代理。公司或任何新認股權證代理可能合併的任何公司，任何一次合併後形成的公司，公司或任何新認股權證代理參與的任何合併，或者公司或任何新認股權證代理轉讓其公司信託或股東服務業務的實質性部分的任何公司，均應作爲本認股權證的繼任認股權證代理，無需進一步行動。任何此類繼任認股權證代理應立即致函（通過預付郵資的一等郵件）將其作爲認股權證代理的繼任通知郵寄給持有人，郵寄地址爲持有人在認股權證登記簿上顯示的最後地址。 |
| 11 |
| 15. | 其他。 |
| (a) | 沒有 作爲股東的權利除非這項認股權證另有明文規定，持有人僅作爲該認股權證的持有人，不得享有投票權、分紅派息或被視爲公司股份的持有人，也不得以任何目的被解釋爲賦予持有人在其作爲該認股權證的持有人身份時，任何股東的權利或投票、同意或者拒絕對任何公司行動（無論是再組織、發行股份、股份重新分類、合併、合併、託管或其他），收到會議通知、分紅或認購權益等任何權利，直至向持有人發行其有權在行使該認股權證時獲得的認股權證股份爲止。此外，該認股權證中的任何內容都不得被解釋爲對持有人產生購買任何證券（行使該認股權證或其他）或公司股東的責任，無論這些責任是由公司還是公司的債權人主張。 |
| (b) | 授權股份(i) 除非獲得持有人豁免或同意，公司不得通過任何行動，包括但不限於修訂其註冊證書或公司章程或通過任何資產轉讓、合併、合併、解散、發行或出售證券或任何其他自願行動，規避或試圖規避履行本認股權證條款的任何義務，但公司將始終以誠實信用的精神協助執行所有這些條款，並採取所有必要或適當的行動，以保護持有人在本認股權證中規定的權利不受損害。不限於前述，公司將（a）不得將任何認股權證股票的面值提高到在此類調整前立即行使時應支付的金額之上，（b）採取所有必要或適當的行動，以使公司可以有效且合法地在本認股權證行使時發行已全額支付且免予徵收的認股權證股票，並（c）盡商業上合理的努力獲得所有必要的授權、豁免或同意，以使公司能夠履行本認股權證項下的義務。 (ii) 在採取導致此認股權證行使數量或行權價調整的任何行動之前，公司應獲得所有必要的批准、豁免或同意，或者必要的授權或解決這些事務的任何具有管轄權的公共監管機構的同意。 然而未能獲得此類授權、豁免或同意，或其中任何缺陷 均不會影響導致該調整的公司行動的有效性。 |
| 12 |
| (c) | Successors and Assigns. Subject to the restrictions on transfer set forth in this Warrant and compliance with applicable securities laws, this Warrant may be assigned by the Holder. This Warrant may not be assigned by the Company without the written consent of the Holder, except to a successor in the event of a Fundamental Transaction. This Warrant shall be binding on and inure to the benefit of the Company and the Holder and their respective successors and assigns. Subject to the preceding sentence, nothing in this Warrant shall be construed to give to any Person other than the Company and the Holder any legal or equitable right, remedy or cause of action under this Warrant. This Warrant may be amended only in writing signed by the Company and the Holder, or their successors and assigns. |
| (d) | Amendment and Waiver. Except as otherwise provided herein, the provisions of the Warrants may be amended and the Company may take any action herein prohibited, or omit to perform any act herein required to be performed by it, only if the Company has obtained the written consent of the Holder or those registered holders of the Warrants representing no less than a majority of the Warrant Shares obtainable upon exercise of the Warrants then outstanding. |
| (e) | Acceptance. Receipt of this Warrant by the Holder shall constitute acceptance of and agreement to all of the terms and conditions contained herein. |
| (f) | Governing Law; Jurisdiction. ALL QUESTIONS CONCERNING THE CONSTRUCTION, VALIDITY, ENFORCEMENT AND INTERPRETATION OF THIS WARRANT SHALL BE GOVERNED BY AND CONSTRUED AND ENFORCED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK WITHOUT REGARD TO THE PRINCIPLES OF CONFLICTS OF LAW THEREOF. EACH OF THE COMPANY AND THE HOLDER HEREBY IRREVOCABLY SUBMITS TO THE EXCLUSIVE JURISDICTION OF THE STATE AND FEDERAL COURTS SITTING IN THE CITY OF NEW YORK, BOROUGH OF MANHATTAN, FOR THE ADJUDICATION OF ANY DISPUTE HEREUNDER OR IN CONNECTION HEREWITH OR WITH ANY TRANSACTION CONTEMPLATED HEREBY OR DISCUSSED HEREIN (INCLUDING WITH RESPECT TO THE ENFORCEMENT OF ANY OF THE TRANSACTION DOCUMENTS), AND HEREBY IRREVOCABLY WAIVES, AND AGREES NOT TO ASSERT IN ANY SUIT, ACTION OR PROCEEDING, ANY CLAIM THAT IT IS NOT PERSONALLY SUBJECT TO THE JURISDICTION OF ANY SUCH COURT. EACH OF THE COMPANY AND THE HOLDER HEREBY IRREVOCABLY WAIVES PERSONAL SERVICE OF PROCESS AND CONSENTS TO PROCESS BEING SERVED IN ANY SUCH SUIT, ACTION OR PROCEEDING BY MAILING A COPY THEREOF VIA REGISTERED OR CERTIFIED MAIL OR OVERNIGHT DELIVERY (WITH EVIDENCE OF DELIVERY) TO SUCH PERSON AT THE ADDRESS IN EFFECT FOR NOTICES TO IT AND AGREES THAT SUCH SERVICE SHALL CONSTITUTE GOOD AND SUFFICIENT SERVICE OF PROCESS AND NOTICE THEREOF. NOTHING CONTAINED HEREIN SHALL BE DEEMED TO LIMIT IN ANY WAY ANY RIGHT TO SERVE PROCESS IN ANY MANNER PERMITTED BY LAW. EACH OF THE COMPANY AND THE HOLDER HEREBY WAIVES ALL RIGHTS TO A TRIAL BY JURY. |
| 13 |
| (g) | Headings. The headings herein are for convenience only, do not constitute a part of this Warrant and shall not be deemed to limit or affect any of the provisions hereof. |
| (h) | Severability. In case any one or more of the provisions of this Warrant shall be invalid or unenforceable in any respect, the validity and enforceability of the remaining terms and provisions of this Warrant shall not in any way be affected or impaired thereby, and the Company and the Holder will attempt in good faith to agree upon a valid and enforceable provision which shall be a commercially reasonable substitute therefor, and upon so agreeing, shall incorporate such substitute provision in this Warrant. |
[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
| 14 |
IN WITNESS WHEREOF, the Company has caused this Warrant to be duly executed by its authorized officer as of the date first indicated above.
| MIND MEDICINE (MINDMED) INC. | ||
| By: | ||
| Name: | Robert Barrow | |
| Title: | Chief Executive Officer | |
| 15 |
SCHEDULE 1
FORM OF EXERCISE NOTICE
[To be executed by the Holder to purchase Common Shares under the Warrant]
To the addressee referred to above:
| (1) | The undersigned is the Holder of Warrant No. __ (the “Warrant”) issued by Mind Medicine (MindMed) Inc., a company incorporated under the laws of the Province of British Columbia (the “Company”). Capitalized terms used herein and not otherwise defined herein have the respective meanings set forth in the Warrant. |
| (2) | The undersigned hereby exercises its right to purchase Warrant Shares pursuant to the Warrant. |
| (3) | The Holder intends that payment of the Exercise Price shall be made as (check one): |
¨ Cash Exercise
¨ “Cashless Exercise” under Section 10 of the Warrant
| (4) | If the Holder has elected a Cash Exercise, the Holder shall pay the sum of $ in immediately available funds to the Company in accordance with the terms of the Warrant. |
| (5) | Pursuant to this Exercise Notice, the Company shall deliver to the Holder Warrant Shares determined in accordance with the terms of the Warrant. |
| (6) | By its delivery of this Exercise Notice, the undersigned represents and warrants to the Company that in giving effect to the exercise evidenced hereby the Holder will not beneficially own in excess of the number of Common Shares (as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, as amended) permitted to be owned under Section 11(a) of the Warrant to which this notice relates. |
| (7) | The undersigned is an “accredited investor” as defined in Regulation D promulgated under the Securities Act of 1933, as amended. |
| Dated: |
| Name of Holder: |
| By: |
| Name: |
| Title: |
(Signature must conform in all respects to name of Holder as specified on the face of the Warrant)