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Emmaus Life Sciences, Inc. – ‘10-K’ for 12/31/19 – ‘EX-4.1’

On:  Friday, 1/22/21, at 9:43pm ET   ·   As of:  1/25/21   ·   For:  12/31/19   ·   Accession #:  1564590-21-1977   ·   File #:  1-35527

Previous ‘10-K’:  ‘10-K’ on 12/11/18 for 9/30/18   ·   Next:  ‘10-K’ on 5/4/21 for 12/31/20   ·   Latest:  ‘10-K’ on 3/31/23 for 12/31/22   ·   31 References:   

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

 1/25/21  Emmaus Life Sciences, Inc.        10-K       12/31/19  121:29M                                    ActiveDisclosure/FA

Annual Report   —   Form 10-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   1.84M 
 2: EX-3.1      Articles of Incorporation/Organization or Bylaws    HTML     45K 
 3: EX-4.1      Instrument Defining the Rights of Security Holders  HTML     32K 
 4: EX-10.11    Material Contract                                   HTML     38K 
 5: EX-10.12    Material Contract                                   HTML     38K 
 6: EX-10.23    Material Contract                                   HTML     49K 
 7: EX-10.25    Material Contract                                   HTML    103K 
 8: EX-10.26    Material Contract                                   HTML     39K 
 9: EX-10.27    Material Contract                                   HTML     71K 
10: EX-10.28    Material Contract                                   HTML     75K 
11: EX-10.29    Material Contract                                   HTML    115K 
12: EX-10.30    Material Contract                                   HTML     49K 
13: EX-10.33    Material Contract                                   HTML     39K 
14: EX-10.34    Material Contract                                   HTML    149K 
15: EX-10.35    Material Contract                                   HTML     40K 
16: EX-10.37    Material Contract                                   HTML     45K 
17: EX-21.1     Subsidiaries List                                   HTML     31K 
18: EX-31.1     Certification -- §302 - SOA'02                      HTML     36K 
19: EX-31.2     Certification -- §302 - SOA'02                      HTML     36K 
20: EX-32.1     Certification -- §906 - SOA'02                      HTML     32K 
27: R1          Document and Entity Information                     HTML     86K 
28: R2          Consolidated Balance Sheets                         HTML    109K 
29: R3          Consolidated Balance Sheets (Parenthetical)         HTML     47K 
30: R4          Consolidated Statements of Operations and           HTML    100K 
                Comprehensive Loss                                               
31: R5          Consolidated Statements of Changes in               HTML     97K 
                Stockholders' Equity (Deficit)                                   
32: R6          Consolidated Statements of Cash Flows               HTML    150K 
33: R7          Description of Business                             HTML     39K 
34: R8          Summary of Significant Accounting Policies          HTML     68K 
35: R9          Restatement of Previously Issued Financial          HTML    646K 
                Statements                                                       
36: R10         Revenues                                            HTML    120K 
37: R11         Selected Financial Statement Captions - Assets      HTML     91K 
38: R12         Investments                                         HTML    120K 
39: R13         Selected Financial Statement Captions -             HTML    108K 
                Liabilities                                                      
40: R14         Notes Payable                                       HTML    708K 
41: R15         Stockholders' Deficit                               HTML    432K 
42: R16         Income Taxes                                        HTML    144K 
43: R17         Leases                                              HTML     65K 
44: R18         Commitments and Contingencies                       HTML     37K 
45: R19         Related Party Transactions                          HTML    489K 
46: R20         Subsequent Events                                   HTML     53K 
47: R21         Quarterly Financial Statements (Unaudited)          HTML    830K 
48: R22         Summary of Significant Accounting Policies          HTML    131K 
                (Policies)                                                       
49: R23         Restatement of Previously Issued Financial          HTML    640K 
                Statements (Tables)                                              
50: R24         Revenues (Tables)                                   HTML    123K 
51: R25         Selected Financial Statement Captions - Assets      HTML     96K 
                (Tables)                                                         
52: R26         Investments (Tables)                                HTML    112K 
53: R27         Selected Financial Statement Captions -             HTML    109K 
                Liabilities (Tables)                                             
54: R28         Notes Payable (Tables)                              HTML    756K 
55: R29         Stockholders' Deficit (Tables)                      HTML    431K 
56: R30         Income Taxes (Tables)                               HTML    146K 
57: R31         Leases (Tables)                                     HTML     64K 
58: R32         Related Party Transactions (Tables)                 HTML    487K 
59: R33         Subsequent Events (Tables)                          HTML     38K 
60: R34         Quarterly Financial Statements (Unaudited)          HTML    828K 
                (Tables)                                                         
61: R35         Description of Business (Details Narrative)         HTML     48K 
62: R36         Summary of Significant Accounting Policies          HTML     56K 
                (Details Narrative)                                              
63: R37         Restatement of Previously Issued Financial          HTML    102K 
                Statements (Details Narrative)                                   
64: R38         Restatement of Previously Issued Financial          HTML    172K 
                Statements (Details 1)                                           
65: R39         Restatement of Previously Issued Financial          HTML    123K 
                Statements (Parenthetical) (Details 1)                           
66: R40         Restatement of Previously Issued Financial          HTML    163K 
                Statements (Details 2)                                           
67: R41         Restatement of Previously Issued Financial          HTML     98K 
                Statements (Parenthetical) (Details 2)                           
68: R42         Restatement of Previously Issued Financial          HTML    201K 
                Statements (Details 3)                                           
69: R43         Restatement of Previously Issued Financial          HTML     41K 
                Statements (Parenthetical) (Details 3)                           
70: R44         Revenues (Details)                                  HTML     37K 
71: R45         Revenues (Details 1)                                HTML     45K 
72: R46         Revenues (Details 2)                                HTML     41K 
73: R47         Revenues (Details Narrative)                        HTML     41K 
74: R48         Selected Financial Statement Captions - Assets      HTML     40K 
                (Details)                                                        
75: R49         Selected Financial Statement Captions - Assets      HTML     37K 
                (Details 1)                                                      
76: R50         Selected Financial Statement Captions - Assets      HTML     45K 
                (Details 2)                                                      
77: R51         Selected Financial Statement Captions - Assets      HTML     32K 
                (Details Narrative)                                              
78: R52         Investments (Details Narrative)                     HTML     85K 
79: R53         Investments (Details 1)                             HTML     38K 
80: R54         Investments (Details 2)                             HTML     59K 
81: R55         Selected Financial Statement Captions -             HTML     65K 
                Liabilities (Details)                                            
82: R56         Selected Financial Statement Captions -             HTML     39K 
                Liabilities (Details 1)                                          
83: R57         Selected Financial Statement Captions -             HTML     42K 
                Liabilities (Details Narrative)                                  
84: R58         Notes Payable (Details)                             HTML    109K 
85: R59         Notes Payable (Details 1)                           HTML     63K 
86: R60         Notes Payable (Details 2)                           HTML    130K 
87: R61         Notes Payable (Details Narrative)                   HTML     57K 
88: R62         Notes Payable (Details 3)                           HTML     40K 
89: R63         Notes Payable (Details 4)                           HTML     56K 
90: R64         Stockholders' Deficit (Details Narrative)           HTML    161K 
91: R65         Stockholders' Deficit (Details)                     HTML     38K 
92: R66         Stockholders' Deficit (Details 1)                   HTML     51K 
93: R67         Stockholders' Deficit (Details 2)                   HTML     42K 
94: R68         Stockholders' Deficit (Details 3)                   HTML     51K 
95: R69         Stockholders' Deficit (Details 4)                   HTML     42K 
96: R70         Stockholders' Deficit (Details 5)                   HTML     89K 
97: R71         Stockholders' Deficit (Parenthetical) (Details 5)   HTML     31K 
98: R72         Stockholders' Deficit (Details 6)                   HTML     41K 
99: R73         Stockholders' Deficit (Details 7)                   HTML     59K 
100: R74         Income Taxes (Details)                              HTML     39K  
101: R75         Income Taxes (Details 1)                            HTML     58K  
102: R76         Income Taxes (Details 2)                            HTML     39K  
103: R77         Income Taxes (Details Narrative)                    HTML     47K  
104: R78         Income Taxes (Details 3)                            HTML     49K  
105: R79         Leases (Details Narrative)                          HTML     66K  
106: R80         Leases (Details)                                    HTML     46K  
107: R81         Leases (Details 1)                                  HTML     45K  
108: R82         Commitments and Contingencies (Details Narrative)   HTML     71K  
109: R83         Related Party Transactions (Details)                HTML    133K  
110: R84         Related Party Transactions (Details Narrative)      HTML     36K  
111: R85         Subsequent Events (Details)                         HTML     41K  
112: R86         Subsequent Events (Details Narrative)               HTML    143K  
113: R87         Quarterly Financial Statements (Unaudited)          HTML    162K  
                (Details 1)                                                      
114: R88         Quarterly Financial Statements (Unaudited)          HTML    119K  
                (Parenthetical) (Details 1)                                      
115: R89         Quarterly Financial Statements (Unaudited)          HTML    173K  
                (Details 2)                                                      
116: R90         Quarterly Financial Statements (Unaudited)          HTML    102K  
                (Parenthetical) (Details 2)                                      
117: R91         Quarterly Financial Statements (Unaudited)          HTML    193K  
                (Details 3)                                                      
118: R92         Quarterly Financial Statements (Unaudited)          HTML     37K  
                (Details Narrative)                                              
120: XML         IDEA XML File -- Filing Summary                      XML    211K  
119: EXCEL       IDEA Workbook of Financial Reports                  XLSX    195K  
21: EX-101.INS  XBRL Instance -- emma-20191231                       XML   9.60M 
23: EX-101.CAL  XBRL Calculations -- emma-20191231_cal               XML    341K 
24: EX-101.DEF  XBRL Definitions -- emma-20191231_def                XML   1.45M 
25: EX-101.LAB  XBRL Labels -- emma-20191231_lab                     XML   1.94M 
26: EX-101.PRE  XBRL Presentations -- emma-20191231_pre              XML   2.05M 
22: EX-101.SCH  XBRL Schema -- emma-20191231                         XSD    296K 
121: ZIP         XBRL Zipped Folder -- 0001564590-21-001977-xbrl      Zip    385K  


‘EX-4.1’   —   Instrument Defining the Rights of Security Holders


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Exhibit 4.1

 

 

NUMBER EMM [LOGO] SHARES SPECIMEN COMMON STOCK INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE SEE REVERSE  FOR CERTAIN DEFINITIONS FULLY PAID AND NON-ASSESSABLE SHARES  OF COMMON STOCK OF $0.001 PAR VALUE EACH OF EMMAUS LIFE  SCIENCES, INC.transferable on  the books  of the Corporation in person  or by attorney upon surrender of this certificate  duly  endorsed or assigned.  This certificate  and  the shares represented hereby are  subject  to the laws of the State  of Delaware, and  to the Certificate  of Incorporation and Bylaws of the Corporation, as now  or hereafter amended. This certificate is not valid until countersigned by the Transfer  Agent. WITNESS the facsimile signatures of its duly  authorized  officers. DATED: SECRETARY CHAIRMAN

 


 

 

THE CORPORATION WILL FURNISH TO ANY STOCKHOLDER, UPON REQUEST AND WITHOUT CHARGE, A FULL STATEMENT OF THE DESIGNA­ TIONS, RELATIVE RIGHTS, PREFERENCES AND LIMITATIONS OF THE SHARES OF EACH CLASS AND SERIES AUTHORIZED TO BE ISSUED, SO FAR AS THE SAME HAVE BEEN DETERMINED, AND OF THE AUTHORITY, IF ANY, OF THE BOARD TO DIVIDE THE SHARES INTO CLASSES OR SERIES AND TO DETERMINE AND CHANGE THE RELATIVE RIGHTS, PREFERENCES AND LIMITATIONS OF ANY CLASS OR SERIES. SUCH REQUEST MAY BE MADE TO THE SECRETARY OF THE CORPORATION OR TO THE TRANSFER AGENT NAMED ON THIS 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:TEN COM  -  as tenants in common TEN ENT   -  as tenants by the entireties JT TEN-  as joint tenants with right of survivorship and not as tenants in common UNIF GIFT MIN ACT- . . .. ....... ..... Custodian.. ..... .... ... .. .. . . (Gust)(Minor) under Uniform Gifts to Minors Act.. .... .... .... .. (State) Additional abbreviations may also be used though not in the 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 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 Signature(s) Guaranteed NOTICE: THE SIGNATURE(S) TOTHISASSIGNMENT MUST CORRESPOND WITH THE NAME(S)AS WRITTEN UPON THE FACE OF THE CERTIFICATE, IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATSOEVER.By The Signature(s)  must be guaranteed by an eligible guarantor institution (Banks, Stockbrokers, Savings and Loan Associations and Credit Unions with membership in an approved Signature Guarantee Medallion Program), pursuant to SEC Rule 17Ad-15. COLUMBIA PRINTING SERVICES, LLC- www.stockinformation.com

 


5 Subsequent Filings that Reference this Filing

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

 3/31/23  Emmaus Life Sciences, Inc.        10-K       12/31/22   88:18M                                    Donnelley … Solutions/FA
 3/31/22  Emmaus Life Sciences, Inc.        10-K       12/31/21   98:18M                                    ActiveDisclosure/FA
12/30/21  Emmaus Life Sciences, Inc.        S-8        12/30/21    6:155K                                   EdgarAgents LLC/FA
 8/10/21  Emmaus Life Sciences, Inc.        10-K/A     12/31/20   92:18M                                    ActiveDisclosure/FA
 5/04/21  Emmaus Life Sciences, Inc.        10-K       12/31/20   97:18M                                    ActiveDisclosure/FA


26 Previous Filings that this Filing References

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

11/13/20  Emmaus Life Sciences, Inc.        8-K:1,2,9  10/28/20    2:80K                                    EdgarAgents LLC/FA
 9/24/20  Emmaus Life Sciences, Inc.        8-K:1,2,9   9/22/20    2:169K                                   EdgarAgents LLC/FA
 3/03/20  Emmaus Life Sciences, Inc.        8-K:1,8,9   2/28/20    5:472K                                   EdgarAgents LLC/FA
 2/27/20  Emmaus Life Sciences, Inc.        8-K:1,2,9   2/27/20    2:299K                                   EdgarAgents LLC/FA
11/13/19  Emmaus Life Sciences, Inc.        10-Q        9/30/19   76:17M                                    ActiveDisclosure/FA
 7/22/19  Emmaus Life Sciences, Inc.        8-K:2,3,5,8 7/16/19    8:403K                                   EdgarAgents LLC/FA
 6/28/19  Emmaus Life Sciences, Inc.        8-K:1,3,5,9 6/25/19    3:86K                                    EdgarAgents LLC/FA
 6/14/19  Emmaus Life Sciences, Inc.        424B3                  1:6.1M                                   EdgarAgents LLC/FA
 3/21/19  EMI Holding, Inc.                 10-K       12/31/18   88:20M                                    ActiveDisclosure/FA
 3/11/19  EMI Holding, Inc.                 8-K:1,2,8,9 3/05/19    5:411K                                   S2 Filings LLC/FA
12/11/18  Emmaus Life Sciences, Inc.        10-K        9/30/18   77:6.9M                                   S2 Filings LLC/FA
11/02/18  Emmaus Life Sciences, Inc.        DEF 14A    11/26/18    1:1.5M                                   S2 Filings LLC/FA
10/05/18  EMI Holding, Inc.                 8-K/A:1,2,3 9/13/18    3:55K                                    Donnelley … Solutions/FA
 9/17/18  EMI Holding, Inc.                 8-K:1,3,9   9/13/18    7:987K                                   ActiveDisclosure/FA
 5/15/18  EMI Holding, Inc.                 10-Q        3/31/18   83:16M                                    ActiveDisclosure/FA
 4/16/18  EMI Holding, Inc.                 10-K       12/31/17   86:20M                                    ActiveDisclosure/FA
 4/03/18  Emmaus Life Sciences, Inc.        8-K:1,3,5,8 3/29/18    5:251K                                   S2 Filings LLC/FA
11/14/17  EMI Holding, Inc.                 10-Q        9/30/17   67:7.6M                                   Toppan Merrill/FA
12/22/16  Emmaus Life Sciences, Inc.        10-K        9/30/16   71:6.7M                                   S2 Filings LLC/FA
11/14/16  EMI Holding, Inc.                 10-Q        9/30/16   68:7.6M                                   Toppan Merrill/FA
 8/19/16  EMI Holding, Inc.                 10-Q        6/30/16   72:9.1M                                   Toppan Merrill/FA
 5/20/15  EMI Holding, Inc.                 10-Q        3/31/15   74:14M                                    Toppan Merrill/FA
 3/31/15  EMI Holding, Inc.                 10-K       12/31/14   85:12M                                    Toppan Merrill-FA
 9/19/14  EMI Holding, Inc.                 DEF 14A    10/23/14    1:1.1M                                   Toppan Merrill/FA
 7/05/11  EMI Holding, Inc.                 8-K/A:1,2,3 5/03/11   10:5.3M                                   Quality EDGAR So… LLC/FA
 5/04/11  EMI Holding, Inc.                 8-K:1,2,3,5 5/03/11   31:4M                                     Quality EDGAR So… LLC/FA
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Filing Submission 0001564590-21-001977   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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