SEC Info - Trans Lux Corp - ‘8-K’ for 8/27/14

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Trans Lux Corp – ‘8-K’ for 8/27/14 – EX-4.01

On: Tuesday, 9/2/14, at 4:55pm ET · For: 8/27/14 · Accession #: 1513162-14-510 · File #: 1-02257

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 9/02/14  Trans Lux Corp                    8-K:1,3,9   8/27/14    5:207K                                   Zacks Inv Resear… Inc/FA

Current Report — Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report -- form8k                            HTML     16K 
 2: EX-4.01     Instrument Defining the Rights of Security Holders  HTML     10K 
                          -- exhibit4_01                                         
 3: EX-4.02     Instrument Defining the Rights of Security Holders  HTML     10K 
                          -- exhibit4_02                                         
 4: EX-4.03     Instrument Defining the Rights of Security Holders  HTML     82K 
                          -- exhibit4_03                                         
 5: EX-4.04     Instrument Defining the Rights of Security Holders  HTML     84K 
                          -- exhibit4_04

EX-4.01 — Instrument Defining the Rights of Security Holders — exhibit4_01

This exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

Exhibit 4.01

FIRST AMENDMENT TO SECURITIES PURCHASE AGREEMENT

FIRST AMENDMENT (this “Amendment”) dated as of August 27, 2014, amending the Securities Purchase Agreement dated as of June 20, 2014 (the “Agreement”), between Trans-Lux Corporation (the “Company”) and Carlisle Investments Inc. (“Carlisle”). All terms used herein and not defined herein shall have the meanings assigned to them in the Agreement.

W I T N E S S E T H :

WHEREAS, the parties hereto desire to amend the Agreement, as set forth herein; and

WHEREAS, that in connection with the Conversion Transaction, the Company has authorized the issuance by the Company of an additional 9,178 Common Shares.

NOW, THEREFORE, the parties hereto agree as follows:

SECTION 1. Amendments. Each reference in the Agreement to the number “166,666” shall be deleted in its entirety and replaced with the number “175,844”.

SECTION 2. Definitions; References. Unless otherwise specifically defined herein, each capitalized term used herein which is defined in the Agreement shall have the meaning assigned to such term in the Agreement. Each reference to “hereof”, “hereunder”, “herein” and “hereby” and each other similar reference and each reference to “this Agreement” and each other similar reference contained in the Agreement shall, from and after the date hereof, refer to the Agreement as amended by this Amendment.

SECTION 3. No Other Changes. Except as otherwise expressly provided in this Amendment, all of the terms and conditions of the Agreement remain unchanged and in full force and effect.

SECTION 4. Governing Law. This Amendment shall be governed by and construed in accordance with the laws of the State of New York, without regard to the principles of conflicts of law thereof.

SECTION 5. Counterparts; Effectiveness. This Amendment may be signed in any number of counterparts, each of which shall be an original, with the same effect as if the signatures thereto and hereto were upon the same instrument. This Amendment shall become effective as of the date first written above when duly executed below.

IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed by their respective authorized officers as of the day and year first above written.

TRANS-LUX CORPORATION

By:

/s/ J.M. Allain

Name:

J.M. Allain

Title:

President and CEO

CARLISLE INVESTMENTS INC.

/s/ Marco Elser

Name:

Marco Elser

Title: