Document:

Specimen Common Stock Certificate

 Exhibit 4.1 

 

 

  
 016570|
003590|127C|RESTRICTED||4|057-423 
 COMMON STOCK 

PAR VALUE $0.001 

COMMON STOCK 

THIS CERTIFICATE IS TRANSFERABLE IN 

CANTON, MA AND NEW YORK, NY 

Certificate Number 

ZQ 000610 

SYCAMORE NETWORKS, INC. 

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE 

THIS CERTIFIES THAT 

** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David
Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample MR. SAMPLE **** Mr. Alexander David Sample ****
Mr. Alexander David &Sample MRS. **** Mr. Alexander David SAMPLE Sample **** Mr. Alexander David Sample **** Mr. & Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David
Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander 

David Sample **** Mr. Alexander MR. David Sample SAMPLE **** Mr. Alexander David Sample & **** Mr. Alexander
MRS. David Sample **** SAMPLE Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample
**** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Sample **** Mr. Sample is the 

owner of 

**600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares***
 *600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****
600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****6
00620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****60 * * * SIX HUNDRED THOUSAND 

0620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600
 620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares***600620**Shares****600620**Shares****60062
0**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620
**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620*
*Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620** 

SIX HUNDRED AND TWENTY* * * 

Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**S
 hares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Shares****600620**Sh 

FULLY-PAID AND NON-ASSESSABLE SHARES OF THE COMMON STOCK, PAR VALUE $0.001, OF 

SYCAMORE NETWORKS, INC. (hereinafter called the “Corporation”), transferable on the books of the Corporation by
the holder hereof in person or by duly authorized attorney upon the surrender of this certificate properly endorsed. This certificate and the shares represented hereby are issued and shall be held subject to the laws of the State of Delaware and all
provisions of the Amended and Restated Certificate of Incorporation, and the By-laws of the Corporation all as from time to time amended (copies thereof being on file with the Secretary of the Corporation) and the holder hereof, accepting this
certificate, expressly assents thereto. This Certificate is not valid unless countersigned and registered by the Transfer Agent and Registrar. 

Witness the facsimile seal of the Company and the facsimile signatures of its duly authorized officers. 

DATED <<Month Day, Year>> COUNTERSIGNED AND REGISTERED: 

COMPUTERSHARE TRUST COMPANY, N.A. 

TRANSFER AGENT AND REGISTRAR, 

President and Chief Executive Officer 

Chief Financial Officer, Vice President Finance & Administration 

By 

AUTHORIZED SIGNATURE 

Shares 

* * 6 0 0 6 2 0 * * * * * * * * * 6 0 0 6 2 0 * * * * * * * * * 6 0 0 6 2 0 * * * * * * * * * 6 0 0 6 2 0 * * * * * * * *
* 6 0 0 6 2 0 * * 
 CUSIP 871206 40 5 

SEE REVERSE FOR CERTAIN DEFINITIONS 

MR A SAMPLE DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 ADD 4 

!123456564525! 

CUSIP XXXXXX XX X Holder ID XXXXXXXXXX 

Insurance Value 1,000,000.00 Number of Shares 123456 

DTC 12345678 123456789012345 

Certificate Numbers Num/No. Denom. Total 

1234567890/1234567890 1 1 1 1234567890/1234567890 2 2 2 1234567890/1234567890 3 3 3 1234567890/1234567890 4 4 4
1234567890/1234567890 5 5 5 1234567890/1234567890 6 6 6 
 Total Transaction 7 

 

 

  
 SYCAMORE
NETWORKS, INC. 
 THE COMPANY WILL FURNISH WITHOUT CHARGE TO EACH SHAREHOLDER WHO SO REQUESTS, A SUMMARY OF THE
POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE, PARTICIPATING, OPTIONAL OR OTHER SPECIAL RIGHTS OF EACH CLASS OF STOCK OF THE COMPANY AND THE QUALIFICATIONS, LIMITATIONS OR RESTRICTIONS OF SUCH PREFERENCES AND RIGHTS, AND THE VARIATIONS IN RIGHTS,
PREFERENCES AND LIMITATIONS DETERMINED FOR EACH SERIES, WHICH ARE FIXED BY THE ARTICLES OF INCORPORATION OF THE COMPANY, AS AMENDED, AND THE RESOLUTIONS OF THE BOARD OF DIRECTORS OF THE COMPANY, AND THE AUTHORITY OF THE BOARD OF DIRECTORS TO
DETERMINE VARIATIONS FOR FUTURE SERIES. SUCH REQUEST MAY BE MADE TO THE OFFICE OF THE SECRETARY OF THE COMPANY OR TO THE TRANSFER AGENT. THE BOARD OF DIRECTORS MAY REQUIRE THE OWNER OF A LOST OR DESTROYED STOCK CERTIFICATE, OR HIS LEGAL
REPRESENTATIVES, TO GIVE THE COMPANY A BOND TO INDEMNIFY IT AND ITS TRANSFER AGENTS AND REGISTRARS AGAINST ANY CLAIM THAT MAY BE MADE AGAINST THEM ON ACCOUNT OF THE ALLEGED LOSS OR DESTRUCTION OF ANY SUCH CERTIFICATE. 

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 UNIF GIFT MIN ACT- . . . . . . . . . .Custodian . . . . . . . . . . . . . . . 

(Cust) (Minor) 

TEN ENT—as tenants by the entireties under Uniform Gifts to Minors Act . . . . . . . . . . . . . 

(State) 

JT TEN—as joint tenants with right of survivorship UNIF TRF MIN ACT . . . . . . . . . . . . . . .Custodian (until
age. . . ). . . . . . . . . . . and not as tenants in common (Cust) (Minor) under Uniform Transfers to Minors Act. . . . . . . . . . 

(State) 

Additional abbreviations may also be used though not in the above list. 

PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE 

For value received, hereby sell, assign and transfer unto 

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING POSTAL 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: 20 

Signature: 

Signature: 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(s)
Guaranteed: Medallion Guarantee Stamp 
 THE SIGNATURE(S) SHOULD 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.Form of Series B Stock Certificate

 EXHIBIT 4.3 

SFCB 0001 

STERLING 

Financial Corporation 

INCORPORATED UNDER THE LAWS OF THE STATE OF WASHINGTON 

CUSIP 859319 10 5 

THIS CERTIFIES THAT 

is the record holder of 

FULLY PAID AND NON-ASSESSABLE SHARES OF THE CONVERTIBLE PARTICIPATING VOTING PREFERRED STOCK, SERIES B 

STERLING FINANCIAL CORPORATION 

transferable on the share register of the Corporation in person or by duly authorized attorney upon surrender of this certificate properly endorsed. THIS
CERTIFICATE DOES NOT REPRESENT AN ACCOUNT OF AN INSURABLE TYPE, AND THIS CERTIFICATE (AND THE SHARES REPRESENTED BY THIS CERTIFICATE) ARE NOT INSURED BY THE FEDERAL DEPOSIT INSURANCE CORPORATION. 

This certificate is not valid until countersigned and registered by the transfer agent and registrar. 

WITNESS the facsimile seal of the Corporation and the facsimile signatures of its duly authorized officers. 

 

			
	Dated:	  	
		
	PRESIDENT AND CHIEF EXECUTIVE OFFICER	  	SECRETARY

 COUNTERSIGNED AND REGISTERED:

 © SECURITY-COLUMBIAN UNITED STATES BANKNOTE COMPANY 1960 

AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC 

(New York, NY) 
  

			
		 	 TRANSFER AGENT
 AND
REGISTRAR

	BY	 	
		 	AUTHORIZED SIGNATURE

 The within-named Corporation will furnish to any Shareholder, upon request and without
charge, a full statement of the designations, preferences, limitations, and relative rights of the shares of each class authorized to be issued, the variations in the relative rights and preferences between the shares of each series of each class
authorized to be issued in series so far as the same have been fixed and determined, and the authority of the board of directors to fix and determine the relative rights and preferences of subsequent series. 

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	  	UNIF GIFT MIN ACT	  	—	  	                        Custodian 
                   
	TEN ENT	  	— 	 	as tenants by the entireties	  		  		  	(Cust)    	 	(Minor)    
	JT TEN	  	— 	 	as joint tenants with right of	  		  		  	under Uniform Gifts to Minors
		  		 	survivorship and not as tenants	  		  		  	Act                    	 	
		  		 	in common	  		  		  	(State)
		  		 		  		  	UNIF TRF MIN ACT	  	—  	  	                    Custodian (until
age                     )
		  		 		  		  		  		  	(Cust)	 	
		  		 		  		  		  		  	                 under Uniform Transfers
		  		 		  		  		  		  	(Minor)	 	
		  		 		  		  		  		  	to Minors 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

			
	represented by the within Certificate, and do hereby irrevocably constitute and appoint
		
	    	  	Attorney

			
	to transfer the said shares on the books of the within-named Corporation with full power of substitution in the
premises.

			
		
	Dated                             
                                         
                                         
      	  	

					
			
		 	X	  	 
			
		 	X	  	 
		 	NOTICE:	  	THE SIGNATURE(S) TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME(S) AS WRITTEN UPON THE FACE OF THE CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY
CHANGE WHATSOEVER.
	Signature(s) Guaranteed	 		  	

  

					
	By	  	 	  	
	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.	  	

 THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS
AMENDED, OR SECURITIES LAWS OF ANY STATE AND MAY NOT BE TRANSFERRED, SOLD OR OTHERWISE DISPOSED OF EXCEPT WHILE A REGISTRATION STATEMENT RELATING THERETO IS IN EFFECT UNDER SUCH ACT AND APPLICABLE STATE SECURITIES LAWS OR PURSUANT TO AN EXEMPTION
FROM REGISTRATION UNDER SUCH ACT OR SUCH LAWS. 
 THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE FINANCIAL
INVESTMENT SERVICES AND CAPITAL MARKETS ACT OF KOREA (“FSCMA”) AND THE REGULATIONS THEREUNDER, INCLUDING THE REGULATION ON SECURITIES ISSUANCE AND PUBLIC DISCLOSURE AND MAY ONLY BE TRANSFERRED, SOLD OR OTHERWISE DISPOSED OF IN COMPLIANCE
WITH THE FSCMA AND THE REGULATIONS THEREUNDER, INCLUDING, WITHOUT LIMITATION, THE REQUIREMENT THAT: (A) A REGISTRATION STATEMENT BE DULY FILED WITH KOREA’S FINANCIAL SERVICES COMMISSION AS A PRE-CONDITION TO CARRYING OUT ANY TRANSFER, SALE
OR DISPOSITION, AS WELL AS ANY SOLICITATIONS RELATED THERETO, IN ANY MANNER THAT WOULD CONSTITUTE A PUBLIC OFFERING UNDER THE FSCMA AND THE REGULATIONS THEREUNDER; OR (B) THAT ANY SUCH TRANSFER, SALE OR DISPOSITION OTHERWISE BE MADE PURSUANT TO
AN EXEMPTION FROM REGISTRATION UNDER SUCH ACT OR SUCH REGULATIONS. SECURITIES LISTED ON THE NEW YORK STOCK EXCHANGE OR THE NASDAQ NATIONAL OR CAPITAL MARKET ARE NOT SUBJECT TO RESTRICTIONS ON TRANSFERS UNDER THE FSCMA TO THE EXTENT THAT TRANSFERS OF
SUCH LISTED SECURITIES ARE MADE THROUGH AN OPEN MARKET TRANSACTION. 
 THE SECURITIES REPRESENTED BY THIS CERTIFICATE ARE SUBJECT TO TRANSFER
AND OTHER RESTRICTIONS SET FORTH IN AN INVESTMENT AGREEMENT, DATED AS OF APRIL 29, 2010 AND IN THE ARTICLES OF AMENDMENT TO THE RESTATED ARTICLES OF INCORPORATION OF THE ISSUER, COPIES OF WHICH ARE ON FILE WITH THE SECRETARY OF THE ISSUER.

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