Warrant Agreement Template for New Zealand

A Warrant Agreement under New Zealand law is a sophisticated legal instrument that establishes the terms and conditions under which one party (the warrant holder) has the right to purchase securities from another party (the issuer) at a predetermined price within a specified time period. The document must comply with the Financial Markets Conduct Act 2013 and related New Zealand regulations, incorporating specific provisions for warrant exercise, price adjustments, and transfer restrictions. It includes detailed mechanisms for protecting both parties' interests while ensuring compliance with New Zealand's financial markets legislation and regulatory requirements.

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What is a Warrant Agreement?

The Warrant Agreement is a crucial document in New Zealand's financial markets, typically used when companies want to provide investors with the right to purchase securities at a future date. This agreement type is commonly employed in capital raising activities, employee compensation packages, or as part of broader financing arrangements. The document must strictly adhere to New Zealand's Financial Markets Conduct Act 2013 and related regulations, making it essential to include specific provisions about exercise periods, pricing mechanisms, and regulatory compliance. The Warrant Agreement will detail all terms and conditions of the warrant issuance, including exercise price, duration, adjustment provisions, and transfer restrictions, while ensuring all parties' rights and obligations are clearly defined and protected under New Zealand law.

What sections should be included in a Warrant Agreement?

1. Parties: Identification of the warrant issuer and the warrant holder(s)

2. Background: Context of the warrant issuance, including the underlying securities and purpose

3. Definitions: Key terms used throughout the agreement, including financial and technical terms specific to warrants

4. Grant of Warrant: Specific terms of the warrant grant, including number of warrants and underlying securities

5. Exercise Price: The price at which the warrant can be exercised and payment terms

6. Exercise Period: The duration during which the warrant can be exercised and any blackout periods

7. Exercise Procedure: Step-by-step process for exercising the warrant

8. Adjustment Provisions: Circumstances and mechanisms for adjusting warrant terms (e.g., stock splits, reorganizations)

9. Representations and Warranties: Standard declarations by both parties regarding their capacity and authority

10. Transfer Restrictions: Limitations on the transfer or assignment of the warrant

11. Termination: Circumstances under which the warrant agreement can be terminated

12. Notices: Communication requirements and contact details for formal notices

13. Governing Law: Specification of New Zealand law as governing law and jurisdiction

14. General Provisions: Standard boilerplate clauses including amendments, waiver, and severability

What sections are optional to include in a Warrant Agreement?

1. Registration Rights: Include when the warrant holder needs rights to register the underlying securities for public trading

2. Tag-Along Rights: Include when warrant holders should have the right to join in sales by major shareholders

3. Anti-Dilution Provisions: Include to protect warrant holders from dilution through new share issuances

4. Cashless Exercise Provisions: Include when allowing exercise without cash payment through surrender of warrant value

5. Forced Exercise Provisions: Include when the issuer wants the right to force exercise under certain conditions

6. Security Interest: Include when the warrant is secured against specific assets

7. Information Rights: Include when warrant holders need specific rights to company information

What schedules should be included in a Warrant Agreement?

1. Warrant Certificate: Form of the actual warrant certificate to be issued

2. Exercise Notice: Template form for exercising the warrant

3. Calculation of Exercise Price: Detailed methodology for calculating the exercise price, including any adjustments

4. Underlying Securities: Detailed description of the securities subject to the warrant

5. Regulatory Compliance Checklist: List of compliance requirements under New Zealand law

6. Transfer Form: Template for transferring the warrant to another holder

7. Adjustment Calculations: Detailed formulas and examples for various adjustment scenarios

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

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Corporate Lawyer

Investment Banker

Financial Controller

Company Secretary

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Securities Lawyer

Finance Director

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Treasury Manager

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What is a Warrant Agreement?

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What sections are optional to include in a Warrant Agreement?

What schedules should be included in a Warrant Agreement?

Authors

Alex Denne

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