Document:

Specimen Stock Certificate of Alesco Financial Inc.

 EXHIBIT 4.1 
 [FACE OF CERTIFICATE] 
 COMMON STOCK 
 NUMBER [Alpha letter] 
 PAR VALUE $0.001 
 FORMED UNDER THE LAWS OF THE STATE OF MARYLAND Alesco Financial Inc.

 A MARYLAND CORPORATION 
 COMMON STOCK 
 SHARES 
 PAR VALUE $0.001 
 CUSIP 867708 10 9 
 SEE REVERSE FOR CERTAIN DEFINITIONS 
 THIS CERTIFIES THAT 
 IS THE OWNER OF 
 FULLY PAID AND NONASSESSABLE SHARES OF COMMON STOCK OF Alesco Financial Inc. (the “Company”), transferable on the books
of the Company by the holder hereof in person, or by duly authorized attorney, upon surrender of this Certificate properly endorsed. This Certificate is not valid unless countersigned by the Transfer Agent and registered by the Registrar.

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

Dated: 
 Secretary 
 Chairman 
 [CORPORATE SEAL] 
 COUNTERSIGNED AND REGISTERED: 
 Mellon Investor Services LLC 
 TRANSFER AGENT AND REGISTRAR 
 BY 
 AUTHORIZED SIGNATURE 
 THERE ARE RESTRICTIONS ON THE TRANSFER OF THE SHARES EVIDENCED BY THIS 
 CERTIFICATE AS MORE
FULLY SET FORTH ON THE REVERSE HEREOF. 

 [BACK OF CERTIFICATE] 
 Alesco Financial Inc. 
 This
Certificate and the shares represented hereby are subject in all respects to the laws of the State of Maryland and to the Articles of Incorporation and Bylaws of the Company and any amendments thereto. The Articles of Incorporation, as amended,
provide that no stockholder shall have any preemptive rights to acquire unissued or treasury shares of the Company. The Articles of Incorporation also restrict the transfer of the shares of common stock evidenced by this Certificate in connection
with the qualification by the Company as a real estate investment trust. Copies of the Company’s Articles of Incorporation are on file with the State of Maryland Department of Assessments and Taxation and will be furnished to any stockholder of
record without charge upon written request to the Company at its principal place of business or registered office. 
 The Company will
furnish a full statement of the designations and any preferences, conversion and other rights, voting powers. restrictions, limitations as to dividends, qualifications, and terms and conditions of redemption of the shares of each class which the
Company is authorized to issue and the difference in the relative rights and preferences between the shares of each series of any preferred class to the extent they have been set and the authority of the Board of Directors of the Company to set the
relative rights and preferences of subsequent series to any holder of shares without charge on written request to the Company at its principal place of business or registered office. 
 The shares represented by this Certificate are subject to restrictions on Beneficial Ownership and Constructive Ownership and Transfer for the purpose of
the Company’s maintenance of its status as a Real Estate Investment Trust under the Internal Revenue Code of 1986, as amended (the “Code”). Subject to certain further restrictions and except as expressly provided in the Company’s
Articles of Incorporation, (i) no Person may Beneficially Own or Constructively Own shares of any class or series of the Company’s Capital Stock in excess of 9.8% of the aggregate value of the outstanding shares of any such class or series
of Capital Stock unless such Person is an Excepted Holder (in which case the Excepted Holder Limit shall be applicable); (ii) no Person may Beneficially Own or Constructively Own Capital Stock that would result in the Company being
“closely held” under Section 856(h) of the Code or otherwise cause the Company to fail to qualify as a REIT; and (iii) no Person may Transfer shares of Capital Stock if such Transfer would result in the Capital Stock of the
Company being owned by fewer than 100 Persons. Any Person who Beneficially Owns or Constructively Owns or attempts to Beneficially Own or Constructively Own shares of Capital Stock which causes or will cause a Person to Beneficially Own or
Constructively Own shares of Capital Stock in excess or in violation of the above limitations must immediately notify the Company. If any of the restrictions on transfer or ownership are violated, the shares of Capital Stock represented hereby will
be automatically 
  

 
transferred to a Trustee of a Trust for the benefit of one or more Charitable Beneficiaries. In addition, upon the occurrence of certain events, attempted
Transfers in violation of the restrictions described above may be void ab initio. All capitalized terms in this legend have the meanings defined in the Articles of Incorporation of the Company, as the same may be amended from time to time, a copy of
which, including the restrictions on transfer and ownership, will be furnished to each holder of Capital Stock of the Company on request and without charge. 
 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 
 TEN ENT – as tenants by the entireties 
 JT TEN – as joint tenants with right of
survivorship and not as tenants in common 
 UNIF GIFT MIN ACT – (Cust) Custodian (Minor) under Uniform Gifts 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 including postal zip code of assignee 
 Shares of common stock 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 Company with full power of substitution in the premises. 
 Dated, 
 SIGNATURE(S) 
 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 WHATEVER. Signature(s) Guaranteed: THE SIGNATURE(S) MUST BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION, AS DEFINED IN RULE 17Ad-15 UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS
AMENDED.Assignment and Assumption Agreement, dated as of October 6, 2006

 Exhibit 10.2 
 ASSIGNMENT AND ASSUMPTION AGREEMENT 
 Assignment and Assumption Agreement (the
“Agreement”) dated as of October 6, 2006, among Alesco Financial Trust, a Maryland real estate investment trust (the “Assignor”), Sunset Financial Resources, Inc., a Maryland corporation (the
“Assignee”), and Cohen Brothers Management, LLC, a Delaware limited liability company (together with its permitted assignees, the “Manager”). 
 WHEREAS, pursuant to the Amended and Restated Agreement and Plan of Merger dated as of July 20, 2006, as amended by letter agreements dated
September 5, 2006 and September 29, 2006 (the “Merger Agreement”), among the Assignor, the Assignee and Jaguar Acquisition Inc., a Maryland corporation and a wholly-owned subsidiary of the Assignee
(“MergerCo”), at the Effective Time the Assignor and MergerCo shall merge; and 
 WHEREAS, pursuant to Section 6.12 of
the Merger Agreement, as of the Effective Time, the Assignor shall assign, and the Assignee shall assume and adopt, the Assignor’s right, title and interest in and to and the Assignor’s obligations under the management agreement, dated
January 31, 2006, between the Assignor and the Manager (the “Management Agreement”); and 
 WHEREAS, the parties hereto
desire to execute this Agreement to evidence the Assignor’s assignment to the Assignee and the Assignee’s assumption and adoption of the Assignor’s right, title and interest in and to and the Assignor’s obligations under the
Management Agreement effective as of the Effective Time and the Manager’s consent to the assignment and assumption contemplated hereby. 
 NOW, THEREFORE, for and in consideration of the premises and the mutual covenants contained herein, and for other good and valuable consideration, the receipt, adequacy and legal sufficiency of which are hereby acknowledged, the parties do
hereby agree as follows: 
 1. Capitalized Terms. Except as otherwise provided herein, all capitalized terms used and not defined
herein shall have the respective meanings assigned to such terms in the Merger Agreement. 
 2. Assignment of the Management Agreement.
The Assignor hereby assigns, transfers, conveys and delivers to the Assignee all of the Assignor’s right, title and interest in and to and all of the Assignor’s obligations under the Management Agreement. 
 3. Assumption of the Management Agreement. The Assignee hereby adopts, assumes and succeeds to the Management Agreement and accepts, assumes and
undertakes to pay, perform and discharge all of the liabilities of the Assignor under the Management Agreement, including, for greater certainty, the payment of any and all fees, costs, expenses and other compensation due, accrued or accruing to the
Manager and any third parties under and pursuant to the terms of the Management Agreement. 
 4. Consent of the Manager. The Manager
hereby consents to the Assignor’s assignment and the Assignee’s assumption of the Management Agreement in accordance with the terms hereof; provided, that nothing contained herein shall in any way limit, restrict or otherwise affect any of
the Manager’s rights under the Management Agreement. 
 5. Effectiveness. This Agreement shall be effective immediately following
the Effective Time. 

 6. Headings. The headings contained in this Agreement have been inserted for convenience of
reference only and shall not be deemed part of this Agreement. 
 7. Entire Agreement. This Agreement contains the entire agreement
and understanding among the parties hereto with respect to the subject matter of this Agreement, and supersedes all prior and contemporaneous agreements, understandings, inducements and conditions, express or implied, oral or written, of any nature
whatsoever with respect to the subject matter of this Agreement. The express terms of this Agreement control and supersede any course of performance and/or usage of the trade inconsistent with any of the terms of this Agreement. This Agreement may
not be modified or amended other than by an agreement in writing signed by the parties hereto. 
 8. GOVERNING LAW. THIS AGREEMENT
AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES UNDER THIS AGREEMENT SHALL BE GOVERNED BY, AND CONSTRUED AND INTERPRETED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK. 
 9. Counterparts. This Agreement may be executed in any number of counterparts, each of which shall be deemed to be an original as against any
party whose signature appears thereon, and all of which shall together constitute one and the same instrument. This Agreement shall become binding when one or more counterparts of this Agreement, individually or taken together, shall bear the
signatures of all of the parties reflected hereon as the signatories. 
 [The next page is the signature page] 
  

 2 

 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date first written above.

  

					
	ALESCO FINANCIAL TRUST
		
	By:	 	/s/ John J. Longino
		 	Name:	 	John J. Longino
		 	Title:	 	Chief Financial Officer
	
	SUNSET FINANCIAL RESOURCES, INC.
		
	By:	 	/s/ Stacy M. Riffe
		 	Name:	 	Stacy M. Riffe
		 	Title:	 	Chief Executive Officer
	
	COHEN BROTHERS MANAGEMENT, LLC
		
	By:	 	/s/ James J. McEntee, III
		 	Name:	 	James J. McEntee, III
		 	Title:	 	Chief Executive Officer

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