Document:

Rights Certificate

 Exhibit 4.13 

 

			
	RIGHTS CERTIFICATE #                     :	  	NUMBER OF RIGHTS:
                    

 THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY’S PROSPECTUS 

DATED                     , 2013 (THE
“PROSPECTUS”) AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF 
 THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM AST
PHOENIX ADVISORS, THE INFORMATION AGENT. 
 Community Financial Shares, Inc. 

Incorporated under the laws of the State of Delaware 
 NON-TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATE 
 Evidencing Non-Transferable
Subscription Rights to Purchase Shares of Common Stock of Community Financial Shares, Inc. 
 Subscription Price: $1.00 per Share

 THE SUBSCRIPTION RIGHTS WILL EXPIRE IF NOT EXERCISED ON OR BEFORE 5:00 P.M., EASTERN TIME, 

ON
                        , UNLESS EXTENDED BY COMMUNITY FINANCIAL SHARES, INC. 

REGISTERED 

        OWNER: 
 THIS CERTIFIES THAT the registered owner whose name is inscribed hereon is the owner of the number of non-transferable subscription rights (“Rights”) set forth above. Each whole Right entitles
the holder thereof to subscribe for and purchase             shares of Common Stock, no par value per share, of Community Financial Shares, Inc., a Delaware corporation., at a subscription
price of $1.00 per share (the “Basic Subscription Privilege”), pursuant to a rights offering (the “Rights Offering”), on the terms and subject to the conditions set forth in the Prospectus and the “Instructions as to Use of
Community Financial Shares, Inc. Rights Certificates” accompanying this Subscription Rights Certificate. If any shares of Common Stock available for purchase in the Rights Offering are not purchased by other holders of Rights pursuant to the
exer cise of their Basic Subscription Privilege (the “Excess Shares”), any Rights holder that exercises its Basic Subscription Privilege in full may subscribe for a number of Excess Shares pursuant to the terms and conditions of the Rights
Offering, subject to proration, as described in the Prospectus s (the “Over-Subscription Privilege”). The Rights represented by this Subscription Rights Certificate may be exercised by completing Form 1 and any other appropriate forms on
the reverse side hereof and by retuning the full payment of the subscription price for each share of Common Stock in accordance with the “Instructions as to Use of Community Financial Shares, Inc. Rights Certificates” that accompany this
Subscription Rights Certificate. 
 THE RIGHTS REPRESENTED BY THE SUBSCRIPTION RIGHTS CERTIFICATE ARE NON-TRANSFERABLE AND
THEREFORE, MAY NOT BE SOLD, TRANSFERRED OR ASSIGNED. 
 This Subscription Rights Certificate is not valid unless
countersigned by the subscription agent and registered by the registrar. Witness the seal of Community Financial Shares, Inc. and the signatures of its duly authorized officers. 
 Dated: 
  

																	
	 	 	  
	 	 	 	  
	  	 
		 	 President
	 		 		 	Secretary	  		  	

 DELIVERY OPTIONS FOR SUBSCRIPTION RIGHTS CERTIFICATE 

Delivery other than in the manner or to the addresses listed below will not constitute valid delivery. 

If delivery by mail, express mail or overnight courier: 
 IST Shareholder Services 
 S. Carlton Avenue 

Wheaton, Illinois 60187 
 PLEASE PRINT ALL INFORMATION CLEARLY AND LEGIBLY. 
 FORM 1-EXERCISE OF SUBSCRIPTION
PRIVILEGE 
  

 

 To subscribe for shares pursuant to your Basic Subscription Privilege, please complete lines (a) and
(c) and sign under Form 2 below. To subscribe for shares pursuant to your Over-Subscription Privilege, please also complete line (b) and sign under Form 2 below. To the extent you subscribe for more Shares than you are entitled under
either the Basic Subscription Privilege or the Over-Subscription Privilege, you will be deemed to have elected to purchase the maximum number of shares for which you are entitled to subscribe under the Basic Subscription Privilege or
Over-Subscription Privilege, as applicable. 
 (a) EXERCISE OF BASIC SUBSCRIPTION PRIVILEGE: 

 

					
	I apply for                       	 	shares x $                        	 	= $
                                
	 (no. of new shares)
	 	 (subscription price)
	 	 (amount enclosed)

 (b) EXERCISE OF OVER-SUBSCRIPTION PRIVILEGE 
 I have exercised my full Basic Subscription Privilege and in addition to my full Basic Subscription Privilege I wish to subscribe for additional shares under my Over-Subscription Privilege as follows:

  

					
	I apply for                       	 	shares x $                        	 	= $
                                
	 (no. of new shares)
	 	 (subscription price)
	 	 (amount enclosed)

 (c) Total Amount of Payment Enclosed = $
                     
 METHOD OF
PAYMENT (CHECK ONE) 
  

	 ̈	Certificate check draft drawn on a U.S. bank, or postal telegraphic or express payable to “IST Shareholder Services, as Subscription Agent.”

  

	 ̈	Wire transfer of immediately available funds directly to the account maintained by IST Shareholder Services, as Subscription Agent, for purposes of accepting
subscriptions in this Rights Offering at             ,             , ABA
#            , Account #            , with reference to the rights holder’s name. 

FORM 2-SUBSCRIPTION AUTHORIZATION: I acknowledge that I have received the Prospectus for this offering of Subscription Rights and I hereby
irrevocably subscribe for the number of shares of Common Stock indicated above on the terms and conditions set forth in the Prospectus. 
  

			
	Signature of Subscriber (s)	  	 
		
	 	  	 
		
	 	  	 

  
 (and address if different than that listed on the
Rights Certificate) 
 Telephone number (including area code)
                                 

FORM 3-SPECIAL ISSUANCE INSTRUCTIONS (IF YOU COMPLETE THIS SECTION, YOU MUST ALSO COMPLETE SECTIONS 4 AND 5): 

Subscription Rights are not transferable in any way, except by operation of law. By executing below, you hereby represent and warrant that the person in
whose name you are requesting that we issue the Common Stock is the transferee by operation of law. Evidence satisfactory to the Company that any such permitted transfer is proper must be delivered by mail, express mail or overnight courier
to IST Shareholder Services at the address specified above prior to the Effective Date.

 Complete the following ONLY if the shares of Common Stock subscribed for are to be issued in a name other
than that of the registered holder. 
 Issue Shares to:
                                         
            
 Soc. Sec. #/Tax ID#
                                         
        
 Address
                                         
                            
 FORM 4-ACKNOWLEDGEMENT (TO BE COMPLETED ONLY IF YOU COMPLETED SECTION 3. IF YOU COMPLETE THIS SECTION YOU MUST ALSO COMPLETE SECTION 5): 
 I/We acknowledge receipt of the Prospectus and understand that, after delivery to IST Shareholder Services, as Subscription Agent, I/we may not modify or revoke this Rights Certificate. Under penalties of
perjury, I/we certify that the information contained herein, including the social security number or taxpayer identification number given above, is correct. 
 The signature below must correspond with the name of the registered holder exactly as it appears on the books of the Company’s transfer agent without any alteration or change whatsoever. 

Signature of Registered Holder:
                                        

 Date:
                         
 If signature is by a trustee(s), executor(s), administrator(s), attorney(s)-in-fact, officer(s) of a corporation or another acting in a fiduciary or representative capacity, please provide the following
information (please print). 
 Name:
                         Capacity:
                             
 Soc. Sec. #/Tax Id#:
                                 

Address
                                         
                                         
   
 Phone:
                             
 FORM 5-GUARANTEE OF SIGNATURES (TO BE COMPLELETED ONLY IF YOU COMPLETED SECTION 3 AND 4): All Subscription Right holders who specify special or delivery instructions must have their signatures
guaranteed by an Eligible Guarantor Institution, as defined in Rule 17Ad-15 of the Securities and Exchange Act of 1934, as amended. 
  

					
	Signature Guaranteed:	  	 
		  		  	(Name of Bank or Firm)
	By:	  	 
		  		  	(Signature of Officer)

 IMPORTANT: The signature(s) should be guaranteed by an eligible guarantor institution (bank, stock broker,
savings & loan association or credit union) with membership in an approved signature guarantee medallion program pursuant to Securities and Exchange Commission Rule 17Ad-15.

 

  
 FOR INSTRUCTIONS ON
THE USE OF COMMUNITY FINANCIAL SHARES, INC. SUBSCRIPTION RIGHTS CERTIFICATES, CONSULT AST PHOENIX ADVISORS, THE INFORMATION AGENT, AT (            )
            .2013 Performance Bonus Program Summary

 Exhibit 10.1 
 Summary of 2013 Performance Bonus Program 
 The following is a summary
description of the terms and conditions with respect to the potential cash performance bonuses for the Company’s “named executive officers” (as defined in Item 402(a)(3) of Regulation S-K promulgated by the Securities and
Exchange Commission) (the “NEOs”) as determined by the Board of Directors with input from the Compensation Committee. 

All Company non-sales commissioned employees, including the NEOs, are eligible for performance bonuses under the 2013 Bonus Program. The
bonus payout for each eligible employee is determined based on the employee’s eligible salary multiplied by his or her bonus % multiplied by a corporate achievement factor and an individual performance factor, with the corporate achievement
factor ranging from 0% to 200%, and with the individual performance factor ranging from 0% to 100% (with exceptions above 100%) and is determined by the evaluation of each individual employee performance. 

Corporate goals are further weighted 50% on revenue and 50% on non-GAAP gross margin. The corporate achievement factors for revenue and
margin are independently determined based upon pre-established threshold, target and maximum goals; however, unless otherwise determined by the Board or Compensation Committee, no payout will be made unless the threshold goal is met for a non-GAAP
operating income goal for the second half of the fiscal year 2013. 
 The 2013 Bonus Program is designed to reward, through the
payment of annual cash bonuses, the Company’s employees (including executive officers) for the Company’s performance in meeting certain key corporate objectives for 2013 and, if applicable, each individual’s performance and
contribution in meeting the Company’s corporate objectives for the year. The actual cash bonus awarded in any year, if any, may be more or less than each employee’s annual bonus target. For the Company’s executive officers, the target
bonuses, and whether or not a bonus is paid in any year, is within the discretion of the Compensation Committee.

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