Document:

exv4w3

 

Exhibit 4.3

FORM OF SUBSCRIPTION CERTIFICATE

THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN

THE COMPANY’S PROSPECTUS DATED, OCTOBER___,2006 (THE

“PROSPECTUS”) AND ARE INCORPORATED HEREIN BY REFERENCE.

COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM

COMPUTERSHARE TRUST COMPANY, INC. AS THE SUBSCRIPTION AGENT.

	 	 	 	 	 
	STOCKHOLDER NAME AND ADDRESS:
	 	 
	 	 
	 	 	 	 	 
	«Shareholder_Name»	 	 	 	 
	 	 	 	 	 
	«Street_Address1»	 	 	 	 
	 	 	 	 	 
	«Street_Address2»	 	 	 	 
	 	 	 	 	 
	«City», «State» «Zip»	 	 	 	 
	 	 	 	 	 
	CERTIFICATE NO.: «Cert_»
	 	 	 	CERTIFICATE FOR «Shares» RIGHTS

BROADVISION, INC.

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE

SUBSCRIPTION CERTIFICATE

EVIDENCING «shares» NONTRANSFERABLE SUBSCRIPTION RIGHTS TO PURCHASE

5.87235 SHARES OF THE COMMON STOCK of BROADVISION, INC. ROUNDED DOWN IN THE

AGGREGATE TO THE NEAREST WHOLE NUMBER.

SUBSCRIPTION PRICE: $0.45 PER SHARE

VOID IF NOT EXERCISED BEFORE THE EXPIRATION DATE

(AS DEFINED IN THE PROSPECTUS)

REGISTERED OWNER:

     THIS CERTIFIES THAT the registered owner whose name is inscribed herein is the owner of the
number of Subscription Rights set forth above, each of which entitles the owner to subscribe for
and purchase 5.87235 shares of the Common Stock, .0001 par value (the “Common Stock”), of
BroadVision, Inc., a Delaware corporation (the “Company”), rounded down in the aggregate to the
nearest whole number, on the terms and subject to the conditions set forth in the Company’s
Prospectus dated October ___2006, and instructions relating thereto on the reverse side hereof. The
Subscription Rights represented by this Subscription Certificate may be exercised by duly
completing Section 1 on the reverse side hereof. Special issuance or delivery instructions may be
specified by completing Section 2 on the reverse side hereof.

     SUCH SUBSCRIPTION RIGHTS MAY NOT BE EXERCISED UNLESS THE REVERSE SIDE HEREOF IS COMPLETED AND
SIGNED.

Dated: October___, 2006

	 	 	 	 	 
	Pehong Chen

	 	Sandra Adams	 	 
	Chairman of the Board, President and

	 	General Counsel and Secretary	 	 
	 
	 	 	 	 
	 
	 	 	 	 
	 

	 	Countersigned By:	 	 
	 

	 	Computershare Trust Company, Inc.	 	 
	 
	 	 	 	 
	 

	 	 
	 	 
	 

	 	 	 	 

 

 

SECTION 1 — EXERCISE AND SUBSCRIPTION

SUBSCRIPTION

The undersigned irrevocably exercises Subscription Rights to subscribe for shares of the Company’s
Common Stock, as indicated below, on the terms and subject to the conditions specified in the
Company’s Prospectus dated October—, 2006, relating to the offering of such Subscription Rights,
receipt of which is hereby acknowledged.

	 	(a)	 	Number of shares of the Company’s Common Stock subscribed for pursuant to the
Subscription Privilege:                     
	 
	 	(b)	 	Total Subscription Price (total number of shares subscribed for pursuant to the
Subscription Privilege multiplied by the Subscription Price of $0.45 per share):
$                    .

METHOD OF PAYMENT (CHECK ONE)

	 	 	 
	o

	 	Uncertified personal check, payable to Computershare Trust Company, Inc., as Subscription Agent
for BroadVision, Inc. Please note that funds paid by uncertified personal check may take at least
five business days to clear. Accordingly, subscription rights holders who wish to pay the purchase
price by means of an uncertified personal check are urged to make payment sufficiently in advance
of the expiration date to ensure that such payment is received and clears by the expiration date,
and are urged to consider payment by means of a certified or bank check, money order or wire
transfer of immediately available funds.
	 
	 	 
	o

	 	Certified check or bank check drawn on a U.S. bank or money order, payable to Computershare
Trust Company, Inc., as Subscription Agent for BroadVision, Inc.
	 
	 	 
	o

	 	Wire transfer directed to the account maintained by Computershare Trust Company, Inc. at:

	 	 	 	 	 
	 	 	Colorado Business Bank
	 	 	15710 W. Colfax Avenue
	 	 	Golden, Colorado 80401
	 	 	(303) 293-2265
	 	 	ABA# 102003206
	 	 	Credit Account # 3055043
	 	 	Account Name: Computershare Trust Company, Inc.
	 

	 	 	 	Warrant Escrow Account

If the amount enclosed or transmitted is not sufficient to pay the purchase price for all shares of
Common Stock that are stated to be subscribed for, or if the number of shares of Common Stock being
subscribed for is not specified, the number of shares of Common Stock subscribed for will be
assumed to be the maximum number that could be subscribed for upon payment of such amount. If the
amount enclosed or transmitted exceeds the purchase price for all shares of Common Stock that the
undersigned has the right to subscribe for under the Subscription Privilege (such excess amount,
the “Subscription Excess”), the Subscription Agent shall return the Subscription Excess to the
subscriber without interest or deduction.

DELIVERY INSTRUCTIONS

Upon completion of this Subscription, please deliver it along with payment to:

	 	 	 
	If by Mail:

	 	Computershare Trust Company, Inc.
	 

	 	P.O. Box 1596
	 

	 	Denver, Colorado 80201-1596
	 
	 	 
	If by Overnight Delivery:

	 	Computershare Trust Company, Inc.
	 

	 	350 Indiana Street
	 

	 	Golden, Colorado 80401

 

 

SECTION 2 — SPECIAL ISSUANCE OR DELIVERY INSTRUCTIONS FOR

SUBSCRIPTION RIGHTS HOLDERS:

To be completed ONLY if the certificate representing the Common Stock is to be issued in a name
other than that of the registered holder or is to be sent to an address other than that shown
above. (See the Instructions included with this Rights Certificate.) Do not forget to complete
the guarantee of signature(s) section below.

Please issue the certificate representing the Common Stock in the following name and /or deliver to
the following address:

	 	 	 	 	 	 	 
	Name:

	 	 
	 	Soc. Sec. #/Tax ID #:
	 	 
	 

	 	 
	 	 	 	 
	 
	 	 	 	 	 	 
	Address:

	 	 	 	 	 	 
	 	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	 	 	 
	 	 	 

ACKNOWLEDGMENT — THE SUBSCRIPTION ORDER FORM

IS NOT VALID UNLESS YOU SIGN BELOW

I / We acknowledge receipt of the Prospectus and understand that after delivery of this
Subscription Certificate to the Company’s Subscription Agent, I / we may not modify or revoke this
Subscription 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. If the Special Issuance or Delivery Instructions for Subscription Rights Holders are
completed, I / we certify that although the certificate representing the Common Stock is to be
issued in a name other than the registered holder, beneficial ownership of the Common Stock will
not change.

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.

	 	 	 	 	 	 	 
	Subscriber’s Signature(s):

	 	 
	 	Date:
	 	 
	 

	 	 
	 	 	 	 
	 
	 	 	 	 	 	 
	 

	 	 
	 	Date:
	 	 
	 

	 	 
	 	 	 	 

If signature is by trustee(s), executor(s), administrator(s), guardian(s), attorney(s)-in-fact,
agent(s), officer(s) of a corporation or another acting in a fiduciary or representative capacity,
please provide the following information (please print). (See the Instructions included with this
Rights Certificate.)

	 	 	 	 	 	 	 	 	 	 	 	 	 
	Name:

	 	 
	 	Capacity:
	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	Address:

	 	 
	 	 	 	 	 	Phone:
	 	 	 	 
	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	Soc. Sec. # or Tax ID #:	 	 
	 	 	 	 	 	 	 

GUARANTEE OF SIGNATURE(S)

All Subscription Rights Holders who specify special issuance or delivery instructions must have
their signatures guaranteed by an Eligible Institution, as defined in Rule 17Ad-15 of the
Securities Exchange Act of 1934, as amended. (See the Instructions.)

	 	 	 
	Signature Guaranteed by:

	 	 
	 

	 	 
	 

	 	Eligible Institutionexv4w1

 

Exhibit 4.1

	CEC INCORPORATED UNDER THE LAWS OF THE STATE OF MINNESOTA SEE REVERSE SIDE FOR CERTAIN
DEFINITIONS CUSIP 139594 10 5 THIS CERTIFIES THAT BY is the owner of FULLY PAID AND NON-ASSESSABLE
COMMON SHARES, $0.01 PAR VALUE, OF CAPELLA EDUCATION COMPANY transferable on the books of the
Corporation by the holder hereof in person or by Attorney upon surrender of this certificate
properly WELLS FARGO BANK, N.A. endorsed. This certificate is not valid until countersigned and
registered by the Transfer Agent and Registrar. COMMON COUNTERSIGNED AND REGISTERED: IN WITNESS
WHEREOF, the said Corporation has caused this certificate to be signed by facsimile signatures of
its duly authorized officers. Dated: [SIGNATURE TO COME] COUNTERSIGNED AND REGISTERED: WELLS FARGO
BANK, N.A. TRANSFER AGENT AND REGISTRAR BY AUTHORIZED SIGNATURE [SIGNATURE TO COME] AUTHORIZED
SIGNATURE AND REGISTRAR TRANSFER AGENT SECRETARY PRESIDENT AMERICAN FINANCIAL PRINTING INCORPORATED
— MINNEAPOLIS

 

 

	The 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 or
series authorized to be issued, so far as they have been determined, and the authority of the Board
to determine the relative rights and preferences of subsequent classes or 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: UTMA —
___Custodian ___TEN COM — as tenants in common (Cust) (Minor) TEN ENT — as
tenants by entireties under Uniform Transfers to Minors JT TEN — as joint tenants with right of
survivorship Act ___and not as tenants in common (State) Additional
abbreviations may also be used though not in 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 ZIP CODE OF ASSIGNEE) Shares of the capital
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 ___X X 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 GUARANTEED ALL GUARANTEES MUST
BE MADE BY A FINANCIAL INSTITUTION (SUCH AS A BANK OR BROKER) WHICH IS A PARTICIPANT IN THE
SECURITIES TRANSFER AGENTS MEDALLION PROGRAM (“STAMP”), THE NEW YORK STOCK EXCHANGE, INC. MEDALLION
SIGNATURE PROGRAM (“MSP”), OR THE STOCK EXCHANGES MEDALLION PROGRAM (“SEMP”) AND MUST NOT BE DATED.
GUARANTEES BY A NOTARY PUBLIC ARE NOT ACCEPTABLE.

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