Pre-Effective Amendment to Registration of Securities Issued in a Business-Combination Transaction — Form S-4
Filing Table of Contents
Document/Exhibit Description Pages Size
1: S-4/A Amendment No. 1 to Form S-4 - File No. 333-45936 427 2.13M
2: EX-4.1 Form of Certificate of Common Stock 3 12K
3: EX-5.1 Opinion/Consent of Brobeck, Phleger & Harrison 2 10K
4: EX-8.1 Tax Opinion/Consent of Wilson Sonsini Goodrich 2 12K
5: EX-8.2 Tax Opinion/Consent of Brobech, Phleger & Harrison 2 14K
6: EX-10.35 Form of Sales Representative & Support Agreement 18 54K
7: EX-10.36 Form of Open Server Research & Development Agrmt. 14 45K
8: EX-21.1 Subsidiaries of the Registrant 1 7K
9: EX-23.1 Consent of Arthur Andersen LLP - Caldera 1 7K
10: EX-23.1.2 Consent of Arthur Andersen LLP - Ebiz Enterprises 1 8K
11: EX-23.2 Consent of Pricewaterhousecoopers LLP - Sco 1 8K
12: EX-23.2.1 Consent of Pricewaterhousecoopers LLP - Sco 1 7K
13: EX-23.3 Consent of Kpmg LLP 1 8K
14: EX-99.1 Form of Proxy Card of Caldera 2 9K
15: EX-99.2 Form of Proxy Card of the Santa Cruz Operation Inc 2 15K
EX-4.1 — Form of Certificate of Common Stock
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EXHIBIT 4.1
COMMON STOCK [CALDERA LOGO] COMMON STOCK
CALDERA
International
INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE
CALDERA INTERNATIONAL, INC.
That Certifies that CUSIP
SEE REVERSE FOR
CERTAIN DEFINITIONS
is the owner of
fully paid and non-assessable shares of common stock of the par value of one
hundredth of one cent ($0.001) per share of Caldera International, Inc.
transferable on the books of the Corporation by the holder hereof in person or
by duly authorized attorney upon surrender of this certificate properly
endorsed. This certificate is not valid unless countersigned by the Transfer
Agent.
Witness the facsimile signatures of its duly authorized officers.
Dated
/s/ ALAN HANSEN /s/ RANSOM H. LOVE
------------------------------ ------------------------------
SECRETARY PRESIDENT
CALDERA INTERNATIONAL, INC.
THE CORPORATION WILL FURNISH WITHOUT CHARGE TO EACH STOCKHOLDER WHO SO
REQUESTS A STATEMENT OF THE POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE,
PARTICIPATING, OPTIONAL OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK OR
SERIES THEREOF OF THE CORPORATION, AND THE QUALIFICATIONS, LIMITATIONS OR
RESTRICTIONS OF SUCH PREFERENCES AND/OR RIGHTS. SUCH REQUEST MAY BE MADE TO THE
CORPORATION OR THE TRANSFER AGENT.
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:
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TEN COM- as tenants in common UNIF GIFT MIN ACT-______________ Custodian_______________
(Cust) (Minor)
TEN ENT- as tenants by the entireties
under Uniform Gifts to Minors
JT TEN- as joint tenants with
right of survivorship and Act____________________________________
not as tenants in common (State)
UNIF TRF MIN ACT-_____________ Custodian (until age_____)
(Cust)
_______under Uniform Transfers to Minors
(Minor)
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 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_______________________________________
NOTICE: THE SIGNATURE TO THIS
ASSIGNMENT MUST CORRESPOND WITH THE
NAME AS WRITTEN UPON THE FACE OF THE
CERTIFICATE, IN EVERY PARTICULAR,
WITHOUT ALTERATION OR ENLARGEMENT, OR
ANY CHANGE WHATEVER.
SIGNATURE GUARANTEED:_________________________________
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 S.E.C. RULE
17Ad-15.
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