SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

AgEagle Aerial Systems Inc. – ‘10-K’ for 12/31/20 – ‘EX-4.1’

On:  Wednesday, 3/31/21, at 4:00pm ET   ·   For:  12/31/20   ·   Accession #:  1575705-21-158   ·   File #:  1-36492

Previous ‘10-K’:  ‘10-K’ on 4/13/20 for 12/31/19   ·   Next:  ‘10-K’ on 4/12/22 for 12/31/21   ·   Latest:  ‘10-K’ on 4/1/24 for 12/31/23   ·   17 References:   

Find Words in Filings emoji
 
  in    Show  and   Hints

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

 3/31/21  AgEagle Aerial Systems Inc.       10-K       12/31/20   64:3.8M                                   Premier Fin’l Fi… LLC/FA

Annual Report   —   Form 10-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML    652K 
 2: EX-4.1      Instrument Defining the Rights of Security Holders  HTML     21K 
 3: EX-10.6     Material Contract                                   HTML     51K 
 4: EX-21.1     Subsidiaries List                                   HTML     15K 
 5: EX-23.1     Consent of Expert or Counsel                        HTML     16K 
 6: EX-23.2     Consent of Expert or Counsel                        HTML     16K 
 7: EX-31.1     Certification -- §302 - SOA'02                      HTML     20K 
 8: EX-31.2     Certification -- §302 - SOA'02                      HTML     20K 
 9: EX-32.1     Certification -- §906 - SOA'02                      HTML     17K 
10: EX-32.2     Certification -- §906 - SOA'02                      HTML     17K 
17: R1          Document And Entity Information                     HTML     55K 
18: R2          Consolidated Balance Sheets                         HTML     90K 
19: R3          Consolidated Balance Sheets (Parenthetical)         HTML     37K 
20: R4          Consolidated Statements of Operations               HTML     70K 
21: R5          Consolidated Statement of Changes in Stockholders'  HTML     83K 
                Equity (Deficit)                                                 
22: R6          Consolidated Statements of Cash Flows               HTML     98K 
23: R7          Description of Business                             HTML     28K 
24: R8          Summary of Significant Accounting Policies          HTML     51K 
25: R9          Inventories                                         HTML     23K 
26: R10         Notes Receivable                                    HTML     23K 
27: R11         Property and Equipment                              HTML     26K 
28: R12         Goodwill and Intangible Assets                      HTML     51K 
29: R13         Promissory Note                                     HTML     22K 
30: R14         Equity                                              HTML     87K 
31: R15         Warrants to Purchase Common Stock                   HTML     33K 
32: R16         Commitments and Contingencies                       HTML     42K 
33: R17         Related Party Transactions                          HTML     21K 
34: R18         Income Taxes                                        HTML     42K 
35: R19         Subsequent Events                                   HTML     23K 
36: R20         Summary of Accounting Policies (Policies)           HTML     95K 
37: R21         Summary of Accounting Policies (Tables)             HTML     25K 
38: R22         Inventories (Tables)                                HTML     24K 
39: R23         Property and Equipment (Tables)                     HTML     25K 
40: R24         Goodwill and Intangible Assets (Tables)             HTML     51K 
41: R25         Promissory Note (Table)                             HTML     23K 
42: R26         Equity (Tables)                                     HTML     42K 
43: R27         Warrants to Purchase Common Stock (Tables)          HTML     27K 
44: R28         Commitments and Contingencies (Tables)              HTML     21K 
45: R29         Income Taxes (Tables)                               HTML     37K 
46: R30         Summary of Accounting Policies (Details)            HTML     21K 
47: R31         Summary of Accounting Policies (Details 1)          HTML     23K 
48: R32         Inventories (Details)                               HTML     30K 
49: R33         Property and Equipment (Details)                    HTML     32K 
50: R34         Property and Equipment (Details Narrative)          HTML     19K 
51: R35         Goodwill and Intangible Assets (Details)            HTML     50K 
52: R36         Goodwill and Intangible Assets (Details 1)          HTML     42K 
53: R37         Goodwill and Intangible Assets (Details Narrative)  HTML     21K 
54: R38         Promissory Note (Details)                           HTML     19K 
55: R39         Equity (Details)                                    HTML     30K 
56: R40         Equity (Details 1)                                  HTML     55K 
57: R41         Warrants to Purchase Common Stock (Details)         HTML     49K 
58: R42         Commitments and Contingencies (Details)             HTML     25K 
59: R43         Income Taxes - Reconciliation of income tax         HTML     33K 
                expense (Details 1)                                              
60: R44         Income Taxes - Deferred tax assets (Details 1)      HTML     35K 
61: R45         Income Taxes (Details Narrative)                    HTML     22K 
63: XML         IDEA XML File -- Filing Summary                      XML    101K 
62: EXCEL       IDEA Workbook of Financial Reports                  XLSX     78K 
11: EX-101.INS  XBRL Instance -- uavs-20201231                       XML    877K 
13: EX-101.CAL  XBRL Calculations -- uavs-20201231_cal               XML    159K 
14: EX-101.DEF  XBRL Definitions -- uavs-20201231_def                XML    232K 
15: EX-101.LAB  XBRL Labels -- uavs-20201231_lab                     XML    644K 
16: EX-101.PRE  XBRL Presentations -- uavs-20201231_pre              XML    483K 
12: EX-101.SCH  XBRL Schema -- uavs-20201231                         XSD    142K 
64: ZIP         XBRL Zipped Folder -- 0001575705-21-000158-xbrl      Zip    107K 


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


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



 

 

Exhibit 4.1

 

DESCRIPTION OF SECURITIES

 

The following summary description is based on the provisions of our Amended and Restated Certificate of Incorporation, as amended (the Certificate of Incorporation), our Amended and Restated Bylaws, (the Bylaws), and the applicable provisions of the Nevada Revised Statutes (the “NRS”). This information may not be complete in all respects and is qualified entirely by reference to the provisions of our Certificate of Incorporation, our Bylaws and the NRS. Our Certificate of Incorporation and our Bylaws are filed as exhibits to our Annual Report on Form 10-K to which this description is filed as Exhibit 4.1.

 

General

 

Our authorized capital stock consists of 275,000,000 shares, consisting of 250,000,000 shares of common stock par value $.001 per share, and 25,000,000 shares of preferred stock, par value $.001 per share, of which none are currently outstanding. Only our shares of common stock are registered under Section 12 of the Securities Exchange Act of 1934, as amended.

 

Common Stock

 

Voting Rights

 

Each holder of common stock is entitled to one vote for each share of common stock held on all matters submitted to a vote of stockholders. Any action other than the election of directors shall be authorized by a majority of the votes cast, except where the NRS prescribes a different percentage of votes and/or exercise of voting power.

 

Dividend Rights

 

Subject to the rights of the holders of preferred stock, the holders of outstanding common stock are entitled to receive dividends out of funds legally available at the times and in the amounts that the Board of Directors may determine. 

 

No Preemptive or Similar Rights

 

Holders of our common stock do not have preemptive rights, and shares of our common stock are not convertible or redeemable.

 

Right to Receive Liquidation Distributions

 

Subject to the rights of the holders of preferred stock, as discussed below, upon our dissolution, liquidation or winding-up, our assets legally available for distribution to our stockholders are distributable ratably among the holders of common stock.

 

Preferred Stock

 

Our board of directors has the authority, without further action by our stockholders, to issue up to 25,000,000 shares of preferred stock in one or more series and to fix the number, rights, preferences, privileges and restrictions thereof. These rights, preferences and privileges could include dividend rights, conversion rights, voting rights, terms of redemption, liquidation preferences and sinking fund terms, and the number of shares constituting any series or the designation of such series, any or all of which may be greater than the rights of common stock. The issuance of our preferred stock could adversely affect the voting power of holders of common stock and the likelihood that such holders will receive dividend payments and payments upon liquidation. In addition, the issuance of preferred stock could have the effect of delaying, deferring or preventing a change in control or other corporate action. Our Board of Directors has previously designated (i) no shares have been designated as Series A Preferred Stock, (ii) 1,764 shares have been designated as Series B Preferred Stock, (ii) 10,000 shares have been designated as Series C Preferred Stock and (iii) 2,000 shares have been designated as Series D Preferred Stock and 1,050 shares have been designated as Series E. As of December 31, 2020, we did not have any shares of preferred stock issued and outstanding.

  

Listing

 

Our common stock is listed on The NYSE American LLC under the symbol “UAVS.”

 

Transfer Agent and Registrar

 

The transfer agent and registrar for our common stock is EQ Shareowner Services. It’s address is 3200 Cherry Creek South Drive, Suite 430. Denver, Colorado 80209.

 

 

 


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed on:3/31/2110-Q
For Period end:12/31/204,  8-K
 List all Filings 


2 Subsequent Filings that Reference this Filing

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

 4/23/21  AgEagle Aerial Systems Inc.       S-3/A                  3:86K                                    Premier Fin’l Fi… LLC/FA
 4/15/21  AgEagle Aerial Systems Inc.       S-3/A                  1:274K                                   Premier Fin’l Fi… LLC/FA


15 Previous Filings that this Filing References

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

 1/05/21  AgEagle Aerial Systems Inc.       8-K:1,9    12/31/20    5:403K                                   Premier Fin’l Fi… LLC/FA
10/16/20  AgEagle Aerial Systems Inc.       8-K:1,8,9  10/14/20    3:226K                                   Premier Fin’l Fi… LLC/FA
 8/07/20  AgEagle Aerial Systems Inc.       8-K:1,8,9   8/03/20    3:516K                                   Premier Fin’l Fi… LLC/FA
 8/06/20  AgEagle Aerial Systems Inc.       8-K:1,9     8/04/20    5:386K                                   Premier Fin’l Fi… LLC/FA
 5/01/20  AgEagle Aerial Systems Inc.       8-K:5,8,9   4/28/20    3:1.2M                                   Premier Fin’l Fi… LLC/FA
 4/08/20  AgEagle Aerial Systems Inc.       8-K:1,3,5,9 4/07/20    5:9.5M                                   Premier Fin’l Fi… LLC/FA
12/28/18  AgEagle Aerial Systems Inc.       8-K:1,3,5,912/27/18    5:4.9M                                   Premier Fin’l Fi… LLC/FA
 7/24/18  AgEagle Aerial Systems Inc.       S-1                   15:5.2M                                   Premier Fin’l Fi… LLC/FA
 3/29/18  AgEagle Aerial Systems Inc.       8-K:2,3,4,5 3/26/18   14:6.6M                                   Toppan Merrill/FA
 4/28/17  AgEagle Aerial Systems Inc.       8-K:1,3,5,9 4/27/17    5:529K                                   Toppan Merrill/FA
 3/11/15  AgEagle Aerial Systems Inc.       8-K:1,3,5,7 3/11/15    8:1.3M                                   Toppan Merrill/FA
 6/02/14  AgEagle Aerial Systems Inc.       8-K:5,8,9   5/29/14    3:173K                                   Toppan Merrill/FA
 5/22/13  AgEagle Aerial Systems Inc.       DEF 14A     6/06/13    1:717K                                   Toppan Merrill/FA
 1/06/11  AgEagle Aerial Systems Inc.       8-K:1,2,3,512/31/10    7:1.1M                                   Toppan Merrill/FA
 8/14/08  AgEagle Aerial Systems Inc.       10-Q        6/30/08    6:660K                                   SLI/FA
Top
Filing Submission 0001575705-21-000158   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Mon., Apr. 29, 6:03:42.2pm ET