Assignment and Securities Law Matters. Holder acknowledges this Warrant and the Warrant Shares are restricted securities within the meaning of Rule 144 under the Securities Act of 1933, as amended. Subject to compliance with applicable Federal and state securities registration requirements, or the availability of an exemption therefrom, this Warrant may be assigned by holder to one or more persons by completing the form of assignment annexed hereto and delivering this Warrant with such assignment to the Company. The Company may require an opinion of counsel or other evidence of compliance or exemption from applicable securities registration requirements before giving effect to such assignment. Unless issued under an applicable registration statement, Warrant Shares will be issued bearing a customary restrictive legend. The Company acknowledges that, pursuant to the Warrant Issuance Agreement, Castle Creek Capital, LLC is entitled to request that the Company seek to register the Warrant Shares issuable pursuant to this Warrant with the Commission for re-sale on Form S-3 (or similar form). Holder shall cooperate in all reasonable and customary respects in connection with such registration.
Appears in 2 contracts
Sources: Warrant Issuance Agreement (White River Capital Inc), Warrant Issuance Agreement (White River Capital Inc)