Registration of Securities Issued in a Business-Combination Transaction — Form S-4
Filing Table of Contents
Document/Exhibit Description Pages Size
1: S-4 Registration of Securities Issued in a 244 1.34M
Business-Combination Transaction
2: EX-3.1 Certificateofincorporation 4 23K
3: EX-3.2 Formofamended and Restated Certificate 13 50K
4: EX-3.3 By-Lawsofthe Registrant 17 59K
5: EX-4.1 Specimenstockcertificate 2 20K
6: EX-5.1 Opinionofhale and Dorr 2 16K
7: EX-8.1 Opinionofhale and Dorr With Respect to Tax 4 21K
8: EX-10.1 Formofholding Company Credit Facility 32 111K
17: EX-10.10 Formofoil License Agreement 11 37K
18: EX-10.11 Formofletter Agreement 1 13K
19: EX-10.12 Formofinsect-Protected License Agreement 64 175K
20: EX-10.13 Secondamendedand Restated Employee Agreement 31 89K
21: EX-10.14 Jointventureagreement Dated as of 12/15/92 13 40K
22: EX-10.15 Jointventureagreement Dated as of 1/1/81 42 85K
23: EX-10.16 Jointventureagreement Dated as of 10/31/94 20 71K
24: EX-10.17 Marketingagreement 4 19K
25: EX-10.18 Theregistrant'S1996 Stock Option Plan 11 46K
9: EX-10.2 Formofgargiulo Credit Facility Agreement 35 112K
10: EX-10.3 Formofacc Deaminase License Agreement 10 35K
26: EX-10.36 Changeofcontrol Employment Agreement 25 58K
27: EX-10.37 Changeofcontrol Employment Agreement 25 59K
28: EX-10.38 Changeofcontrol Employment Agreement 25 58K
29: EX-10.39 Assetpurchaseagreement 59 242K
11: EX-10.4 Formofadpgpp License Agreement 10 34K
12: EX-10.5 Formofcmv License Agreement 11 37K
13: EX-10.6 Formoffad 3 License 11 40K
14: EX-10.7 Formoffruit Specific Promoter License 10 34K
15: EX-10.8 Formofgemini Virus License Agreement 10 34K
16: EX-10.9 Formofinsect Resistance License 10 34K
30: EX-21.1 Listofregistrant's Subsidiaries 1 11K
31: EX-23.1 Consentofernst and Young LLP 1 13K
32: EX-23.2.1 Consentofdeloitte and Touche LLP 1 12K
33: EX-23.2.2 Consentofdeloitte and Touche LLP 1 13K
34: EX-23.3 Consentoflanda, Umpierre and Company 1 13K
35: EX-23.4 Consentofarthur Andersen 1 12K
36: EX-23.6 Consentofmontgomery Securities 1 13K
37: EX-27 Financial Data Schedule 2 13K
38: EX-99.2 Formofproxy Card of Calgene, Inc. 2 16K
39: EX-99.3 Consentofrobert T. Fraley 1 14K
40: EX-99.4 Consentofjeffrey D. Gargiulo 1 14K
41: EX-99.5 Consentofhoward D. Palefsky 1 14K
42: EX-99.6 Consentofjohn E. Robson 1 14K
43: EX-99.7 Consentofcarl V. Stinnett 1 14K
44: EX-99.8 Consentofallen J. Vangelos 1 14K
45: EX-99.9 Consentofhendrik A. Verfaillie 1 14K
EX-4.1 — Specimenstockcertificate
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Exhibit 4.1
FBU
[LOGO APPEARS HERE]
[Enlarge/Download Table]
CALGENE
THIS CERTIFICATE IS TRANSFERABLE INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE SEE REVERSE FOR STATEMENTS RELATING
IN BOSTON, MA OR NEW YORK, NY TO RIGHTS, PREFERENCES,
PRIVILEGES AND RESTRICTIONS, IF ANY
This Certifies that
CUSIP 129598108
SPECIMEN
is the record holder of
FULLY PAID AND NON-ASSESSABLE SHARES OF THE COMMON STOCK, $.001 PAR VALUE, OF
------------------------------------ ------------------------------------
--------------------------------------------------------- CALGENE, INC. ----------------------------------------------------------
------------------------------------ ------------------------------------
Herein designated "the Corporation", transferable on the share register of the Corporation upon surrender of this Certificate
properly endorsed. By the acceptance of this certificate the holder hereof consents to and agrees to be bound by all of the
provisions of the Certificate of Incorporation and the Bylaws of the Corporation and all amendments thereto. This Certificate is
not valid until countersigned by the Transfer Agent and registered by the Registrar.
WITNESS the facsimile seal of the Corporation and the facsimile signature of its duly authorized officers.
Dated
/s/ SIGNATURE APPEARS HERE /s/ SIGNATURE APPEARS HERE
SPECIMEN [SEAL APPEARS HERE] SPECIMEN
Secretary CHAIRMAN AND CHIEF EXECUTIVE OFFICER
COUNTERSIGNED AND REGISTERED:
THE FIRST NATIONAL BANK OF BOSTON
TRANSFER AGENT AND REGISTRAR
BY /s/ SIGNATURE APPEARS HERE
SPECIMEN
AUTHORIZED SIGNATURE
CALGENE, INC.
The Corporation is authorized to issue two classes of stock, Common and
Preferred Stock. The Board of Directors of the Corporation has authority to fix
the number of shares and the designation of any series of Preferred Stock and to
determine or alter the rights, preferences, privileges and restrictions granted
to or imposed upon any unissued series of Preferred Stock.
A statement of the rights, preferences, privileges and restrictions granted
to or imposed upon the respective classes or series of shares and upon the
holders thereof as established, from time to time, by the Certificate of
Incorporation of the Corporation and by any certificate of designations, and the
number of shares constituting each class and series and the designations
thereof, may be obtained by the holder hereof upon written request and without
charge from the Transfer Agent of the Corporation at its offices in Boston, New
York, Los Angeles or Chicago.
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 ____________________
(Cust) (Minor)
under Uniform Gifts to Minors
Act ________________________________________________
(State)
UNIF TRF MIN ACT -- ____________________ Custodian (until age ________)
(Cust)
____________________ under Uniform Transfers
(Minor)
to Minors Act ______________________________________
(State)
Additional abbreviations may 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 Common 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 ________________________________
X _________________________________________________
X _________________________________________________
THE SIGNATURE(S) TO THIS ASSIGNMENT MUST
NOTICE: CORRESPOND WITH THE NAME(S) AS WRITTEN UPON THE
FACE OF THE CERTIFICATE IN EVERY PARTICULAR
WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE
WHATEVER.
Signature(s) Guaranteed
By__________________________________________________
THE SIGNATURES SHOULD BE GUARANTEED BY AN ELIGIBLE
GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS
AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBER-
SHIP IN AN APPROVED SIGNATURE GUARANTEE MEDALLION
PROGRAM). PURSUANT TO S.E.C. RULE 17A6-15
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