EFTA01092555Set 9
2014-01-2732p15,683w
dividend (payable other than in Common Stock or other securities and rights
convertible into or entitling the holder thereof to receive, directly or indirectly, additional shares
of Common Stock ... share as
would have been payable had such share of Preferred Stock been converted into Common Stock
pursuant to Section 4 immediately prior to such Liquidation Event, for each share ... Corporation outstanding immediately prior to such merger or
consolidation continue to represent, or are converted into or exchanged for shares of capital stock
that represent, immediately following such merger
https://www.justice.gov/epstein/files/DataSet%209/EFTA01092555.pdf
EFTA01092591Set 9
2014-01-2728p14,336w
dividend (payable other than in Common Stock or other securities and rights
convertible into or entitling the holder thereof to receive, directly or indirectly, additional shares
of Common Stock ... share as
would have been payable had such share of Preferred Stock been converted into Common Stock
pursuant to Section 4 immediately prior to such Liquidation Event, for each share ... Corporation outstanding immediately prior to such merger or
consolidation continue to represent, or are converted into or exchanged for shares of capital stock
that represent, immediately following such merger
https://www.justice.gov/epstein/files/DataSet%209/EFTA01092591.pdf
EFTA00608097Set 9
2013-09-1663p24,535w
would have been payable had all shares of Series AA
Preferred Stock been converted into Common Stock pursuant to Section 3 immediately prior to
such liquidation, dissolution, winding ... Corporation outstanding immediately prior to such merger or
consolidation continue to represent, or are converted into or exchanged for shares of capital stock
that represent, immediately following such merger ... into which the shares of Series AA Preferred Stock held by such
holder are convertible as of the record date for determining stockholders entitled to vote on such
matter. Except
https://www.justice.gov/epstein/files/DataSet%209/EFTA00608097.pdf
EFTA01143227Set 9
2009-11-1228p14,087w
shares of the authorized Preferred Stock of the Corporation are hereby
designated Series A Convertible Preferred Stock (the "Series A Preferred Stock") and 18,805,304
shares of the authorized ... Preferred Stock of the Corporation are hereby designated Series B
Convertible Preferred Stock (the "Series B Preferred Stock"), in each case with the following
rights, preferences, powers, privileges and restrictions ... case of a dividend on Common
Stock or any class or series that is convertible into Common Stock (including without limitation the
3
LIBC/4383515.7
EFTA01143230
Series A Preferred Stock
https://www.justice.gov/epstein/files/DataSet%209/EFTA01143227.pdf
EFTA00289560Set 9
2012-12-28122p36,197w
Company any shares of Common Stock or Series A Preferred Stock, or any
securities convertible into or exchangeable for shares of Common Stock or Series A Preferred
Stock. All outstanding ... Common
Stock (payable other than in Common Stock or other securities or rights convertible into or
emitting the holder thereof to receive, directly or indirectly, additional shares of Common Stock ... Common Stock into which each
such share of Preferred Stock could then be converted.
2. Liquidation Preference. In the event of a Liquidation Event (as defined below), the
assets
https://www.justice.gov/epstein/files/DataSet%209/EFTA00289560.pdf
EFTA01129050Set 9
2016-02-1942p21,118w
thirds cents (11/2 cents) per share and 3,000,000 shares of convertible preferred stock,
no par value per share.
Common Stock
Common Stock Outstanding. As of June ... providing for PepsiCo's liabilities and the liquidation preference of
any outstanding PepsiCo convertible preferred stock.
Preemptive Rights. Holders of PepsiCo common stock do not have the right to subscribe ... purchase or receive new or additional capital stock or other securities.
Convertible Preferred Stock
As of June 14, 2014 there were 159,953 shares of convertible preferred stock outstanding, which
https://www.justice.gov/epstein/files/DataSet%209/EFTA01129050.pdf
EFTA02454699Set 11
2016-08-1518p3,484w
jeffrey E.; Richard Kahn
Subject: RE: Preferreds, thoughts on fixed income, mandatory converts
Thanks Jeffrey
From: jeffrey E. [mailto:jeevacation@gmail.com]
Sent: Monday, August ... Amanda; Richard Kahn
Subject: Re: Preferreds, thoughts on fixed income, mandatory converts
1 million each of AGN and TEVA
On Mon, Aug 15, 2016 at 7:34 AM, Ens, Amanda ... strip yield)
FTR 11.125% 6/29/18 Pfd @ $94.80 (12.0% strip yield)
AGN mandatory convert preferred
Ticker: AGN A Pfd
Coupon: 5.5%
Maturity: 3/1/2018
Pfd Price: 882.00
EFTA_R1_01556628
EFTA02454699
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02454699.pdf
EFTA01785499Set 10
2016-08-1519p3,544w
jeffrey E.; Richard Kahn
Subject: RE: Preferreds, thoughts on fixed income, mandatory converts
Southern Trust Company bought
$1mm AGN 5.5% 3/1/18 Pfd @ $881.50 (6.2% strip yield) - $0.50 better
$1mm TEVA ... EFTA01785499
To: Ens, Amanda; Richard Kahn
Subject: Re: Preferreds, thoughts on fixed income, mandatory converts
1 million each of AGN and TEVA ... strip yield)
FTR 11.125% 6/29/18 Pfd @ $94.80 (12.0% strip yield)
AGN mandatory convert preferred
Ticker: AGN A Pfd
Coupon: 5.5%
Maturity: 3/1/2018
Pfd Price: 882.00
AGN stock ref: 251.50
Convert
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01785499.pdf
EFTA02454261Set 11
2016-08-1517p3,300w
jeffrey E.; Richard Kahn
Subject: RE: Preferreds, thoughts on fixed income, mandatory converts
Jeffrey,
The account will be open today. Please find updated levels below; would you like to proceed ... strip yield)
FTR 11.125% 6/29/18 Pfd @ $94.80 (12.0% strip yield)
AGN mandatory convert preferred
Ticker: AGN A Pfd
Coupon: 5.5%
Maturity: 3/1/2018
Pfd Price: 882.00
AGN stock ref: 251.50
Convert ... maturity, if AGN is at or below 288, you get 3.4722 shares)
Convert high strike: 352.80 (at maturity, if AGN is at or above 352.7959, you get 2.8345 shares)
Strip
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02454261.pdf
EFTA02454560Set 11
2016-08-1517p3,377w
Amanda; Richard Kahn
Subject: Re: Preferreds, thoughts on fixed income, mandatory converts
1 million each of AGN and TEVA
On Mon, Aug 15, 2016 a= 7:34 AM, Ens, Amanda ... trip yield)
FTR 11.125% 6/29/18 Pfd @ $94.80 (12.0%=strip yield)
AGN mandatory convert preferred<=>
Ticker: AGN A Pfd<=p>
Coupon: 5.5%
Maturity: 3/1/2018=/p
Pfd Price: 882.00<=p>
AGN stock ... Convert low strike: 288.00 (at maturity= if AGN is at or below 288, you get 3.4722 shares)
Convert high strike: 352.80 (at maturit=, if AGN is at or above
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02454560.pdf
EFTA00293531Set 9
2009-12-3131p12,516w
Total liabilities 35,010 25.477
Commitments and Contingencies (Note 5)
Stockholders' Equity
Redeemable convertible preferred stock: $0.001 par value;
111,853,887 shares authorized at December ... AliphCom
Consolidated Statements of Stockholders' Equity
Years Ended December 31, 2009 and 2008
Redeernabb Convertible Additional Shsckholdres Total
Preferred Stock Common Stock Paid-In Notes Accumulated Stockholders'
an thousands. except ... Cash flows from financing activities
Proceeds from issuance of redeemable convertible
preferred stock 198
Proceeds from exercises of stock options and warrants 341 234
Repayment of capital lease obligations
https://www.justice.gov/epstein/files/DataSet%209/EFTA00293531.pdf
board of directors (including a majority of the directors elected by the holders of convertible preferred
stock); or (ix) amend the Company's Certificate of Incorporation or Bylaws.
So long ... shares of Series B-1 or B-2 convertible preferred stock are outstanding, the Company may not, without first
obtaining the approval of the holders of at least ... then-outstanding shares of Series B-1 and B-2 convertible preferred
stock, voting together as a single class and on an as-converted basis: effect a change of control
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01377809.pdf
EFTA01377807Set 10
2014-12-311p755w
Convertible Preferred Stock
At both December 31, 2014 and September 30, 2015. convertible preferred stock consisted of the following (in thousands.
except share data):
Proceeds,
net of
Shares Liquidation issuance ... Series E 9,700,289 9,700,289 150.000 148.748
Total convertible preferred stock 135,339,499 135,252,809 $ 520,967 $ 514,945
Liquidation Preference
In the event ... liquidation or winding up of the Company, the holders of Series E convertible preferred stock shall be
entitled to receive, in preference of the common stock holders and other preferred
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01377807.pdf
EFTA02683711Set 11
15p6,532w
CRIMINAL OFFENSE.
No. U.S.$
Issuance Date: , 20
ENVIRONMENTAL SOLUTIONS WORLDWIDE, INC.
9% CONVERTIBLE DEBENTURE DUE , 20
THIS 9% CONVERTIBLE DEBENTURE, issued this day of 20 , is one of
duly authorized ... issue of 9% Convertible Debentures (including all 9% Convertible Debentures
issued in exchange, transfer or replacement hereof, this "Debenture") of Environmental
Solutions Worldwide, Inc., a corporation duly organized and existing ... under the law of the State
of Florida (the "Company"), designated as its 9% Convertible Debentures Due , 20
in an aggregate principal amount of U.S.$ (collectively, the "Debentures" and such
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02683711.pdf
EFTA00293562Set 9
2010-12-3133p13,531w
Total liabilities 41,217 35,010
Commitments and contingencies (Note 5)
Stockholders' equity
Redeemable convertible preferred stock: Kam par value;
111,853,887 shares authorized at December ... AliphCom
Consolidated Statements of Stockholders' Equity
Years Ended December 31, 2010 and 2009
Redeemable Convertible Additional Stockholder's Total
(in thousands, except Preferred Stock Common Stock Paid-In Notes Accumulated ... Company to issue
215,000,000 shares of $0.001 par value common stock.
Redeemable Convertible Preferred Stock
As of December 31, 2010, the Company's Articles of Incorporation, as amended
https://www.justice.gov/epstein/files/DataSet%209/EFTA00293562.pdf
EFTA00289477Set 9
2013-12-268p3,645w
UNSECURED CONVERTIBLE PROMISSORY NOTE
THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF
HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED (THE "ACT"), OR UNDER ... Company dated as of December 26, 2013 (the "Purchase
Agreement").
1. Repayment. Unless otherwise converted as provided herein, all unpaid principal together
with the unpaid and accrued interest payable hereunder ... Holder may elect, at any time, by written notice delivered to the Company,
to convert all of the principal and accrued and unpaid interest due under this Note, effective
https://www.justice.gov/epstein/files/DataSet%209/EFTA00289477.pdf
EFTA02038377Set 10
18p7,757w
INTELLICELL BIOSCIENCES, INC.
CERTIFICATE OF DESIGNATION OF PREFERENCES,
RIGHTS AND LIMITATIONS
OF
SERIES D CONVERTIBLE PREFERRED STOCK
PURSUANT TO SECTION 78.1955
OF THE NEVADA REVISED STATUTES
The undersigned, Steven ... debt, preferred stock, rights, options, warrants or other
instrument that is at any time convertible into or exchangeable for, or otherwise entitles
the holder thereof to receive, Common Stock.
"Conversion ... conversion of
any securities issued hereunder and/or other securities exercisable or exchangeable for or
convertible into shares of Common Stock issued and outstanding on the date of the
Subscription Agreement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02038377.pdf
EFTA01186435Set 9
2014-06-0918p7,682w
from the Company, and the Company is willing to sell to such Investor, a
convertible promissory note in the principal amount set forth opposite such Investor's name on
Schedule ... each of the Investors, and each of the Investors severally
agrees to purchase, a convertible promissory note in the form of Exhibit A hereto (each, a "Note"
and, collectively ... SECURITIES ACT
AND ANY APPLICABLE STATE SECURITIES LAWS.
VC EA RA L ITY CORPORATION
CONVERTIBLE PROMISSORY NOTE
$250,000.00 JUNE [ ], 2014
FOR VALUE RECEIVED, Wearality Corporation, a Delaware corporation
https://www.justice.gov/epstein/files/DataSet%209/EFTA01186435.pdf
EFTA00803405Set 9
2017-03-3043p16,141w
other assets and financial instruments (including, without
limitation, corporate debt, loans, commodities and convertible and preferred securities) based on
its assessment of the highest and best use of capital ... other assets and financial instruments (including, without limitation,
corporate debt, loans, commodities and convertible and preferred securities) based on its
assessment of the highest and best use of capital ... response to changes in the economic environment that may affect
future cash flows.
Convertible Securities. Convertible securities are bonds, debentures, notes, preferred stocks or
other securities that may be converted
https://www.justice.gov/epstein/files/DataSet%209/EFTA00803405.pdf