Document:

Form of 12% Series E-1 Cumulative Convertible Redeemable Preferred Stock Cert

 Exhibit 4.5 
 

 
  
 029758

 NUMBER E1 Anthracite SHARES 
 ANTHRACITE CAPITAL, INC. 
 12% SERIES E-1 CUMULATIVE CONVERTIBLE REDEEMABLE
PREFERRED STOCK 
 INCORPORATED UNDER THE LAWS OF THE STATE OF MARYLAND 
 THIS CERTIFICATE IS TRANSFERABLE IN THE CITY OF NEW YORK 
 SEE REVERSE FOR CERTAIN DEFINITIONS AND IMPORTANT NOTICE ON TRANSFER RESTRICTIONS AND OTHER INFORMATION 
 THIS CERTIFIES THAT 
 SPECIMEN 
 is the owner of 
 FULL PAID AND NON-ASSESSABLE SHARES OF THE 12% SERIES E-1 CUMULATIVE CONVERTIBLE REDEEMABLE PREFERRED STOCK, LIQUIDATION PREFERENCE $1000.00 PER SHARE, $.001 PAR VALUE PER SHARE, OF 
 Anthracite Capital, Inc. (hereinafter called the “Corporation”), transferable on the books of the Corporation by the registered
holder hereof in person or by duly authorized attorney upon 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 Maryland and to all of
the provisions of the Charter of the Corporation and the Bylaws of the Corporation and any amendments thereto. This Certificate is not valid unless countersigned by the transfer agent and registered by the registrar. 
 In Witness Whereof, the Corporation has caused the facsimile signatures of its duly authorized officers and its facsimile seal to be
affixed hereto. 
 Dated: 
 Secretary 
 ANTHRACITE CAPITAL, INC. 
 CORPORATE 
 SEAL 
 1997 
 MARYLAND 
 President 
 By 
 (NEW
YORK, N.Y.) 
 Transfer Agent 
 and Registrar 
 Authorized Officer 
 AMERICAN BANK NOTE COMPANY. 

 

 
  
 ANTHRACITE
CAPITAL, INC. 
 The Corporation will furnish to any stockholder upon request and without charge a full statement of the
designations, preferences, limitations and relative rights of the shares of each class of stock authorized and to be issued and, with respect to the classes of stock which may be issued in a series, the variations in the relative rights and
preferences between the shares of each 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. Such request may be made to
the Secretary of the Corporation at its principal office. 
 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 the right of survivorship and not as tenants in common 
 UNIF GIFT MIN ACT- Custodian 
 (Cust) (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 ZIP CODE OF ASSIGNEE) 
 Shares of 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, 
 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 OF ANY CHANGE WHATEVER. 
 Signature(s) Guaranteed: 
 By 
 The Signature should be guaranteed by an eligible guarantor institution (banks, stockbrokers, savings
and loan associations and credit unions with membership in an approved medallion signature guarantee program), pursuant to S.E.C. rule 17Ad-15.Form of 12% Series E-2 Cumulative Convertible Redeemable Preferred Stock Cert

 Exhibit 4.6 
 

 
  
 58 

NUMBER E2- Anthracite SHARES 
 ANTHRACITE CAPITAL, INC. 
 12% SERIES E-2 CUMULATIVE CONVERTIBLE REDEEMABLE PREFERRED STOCK

 INCORPORATED UNDER THE LAWS OF THE STATE OF MARYLAND THIS CERTIFICATE IS TRANSFERABLE IN THE CITY OF NEW YORK 

SEE REVERSE FOR CERTAIN DEFINITIONS AND IMPORTANT NOTICE ON TRANSFER RESTRICTIONS AND OTHER INFORMATION 
 THIS CERTIFIES THAT 
 SPECIMEN 
 is the owner of 
 FULLY PAID AND NON-ASSESSABLE SHARES OF THE 12% SERIES E-2 CUMULATIVE CONVERTIBLE REDEEMABLE PREFERRED STOCK, LIQUIDATION PREFERENCE $1000.00 PER SHARE, $.001 PAR VALUE PER SHARE, OF 
 Anthracite Capital, Inc. (hereinafter called the “Corporation”), transferable on the books of the Corporation by the registered
holder hereof in person or by duly authorized attorney upon 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 Maryland and to all of
the revisions of the Charter of the Corporation and the Bylaws of the Corporation and any amendments thereto. This Certificate is not valid unless countersigned by the transfer agent and registered by the registrar. 
 In Witness Whereof, the Corporation has caused the facsimile signatures of its duly authorized officers and its facsimile seal to be
affixed hereto. 
 Dated: 
 Secretary 
 ANTHRACITE CAPITAL, INC. 
 CORPORATE 
 SEAL 
 1997 
 MARYLAND 
 President 
 Countersigned and Registered: 
 AMERICAN STOCK TRANSFER & TRUST COMPANY 
 (NEW YORK, N.Y.) 
 Transfer Agent 
 and Registrar 
 By 
 Authorized Officer 
 AMERICAN BANK NOTE COMPANY. 

 

 
  
 ANTHRACITE
CAPITAL, INC. 
 The Corporation will furnish to any stockholder upon request and without charge a full statement of the
designations, preferences, limitations and relative rights of the shares of each class of stock authorized and to be issued and, with respect to the classes of stock which may be issued in a series, the variations in the relative rights and
preferences between the shares of each 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. Such request may be made to
the Secretary of the Corporation at its principal office. 
 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 the right of survivorship and not as tenants in common 
 UNIF GIFT MIN ACT– Custodian 
 (Cust) (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 ZIP CODE OF ASSIGNEE) 
 Shares of 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, 

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 OF ANY CHANGE WHATEVER. 
 Signature(s) Guaranteed: 
 By 
 The Signature should be guaranteed by an eligible guarantor institution (banks, stockbrokers, savings
and loan associations and credit unions with membership in an approved medallion signature guarantee program), pursuant to S.E.C. rule 17Ad-15.Form of 12% Series E-3 Cumulative Convertible Redeemable Preferred Stock Cert

 Exhibit 4.7 
 

 
  
 NUMBER E3-
Anthracite SHARES 
 ANTHRACITE CAPITAL, INC. 
 12% SERIES E-3 CUMULATIVE CONVERTIBLE REDEEMABLE PREFERRED STOCK 
 INCORPORATED UNDER THE LAWS OF THE STATE OF MARYLAND THIS CERTIFICATE IS TRANSFERABLE IN THE CITY OF NEW YORK 
 SEE REVERSE FOR CERTAIN DEFINITIONS AND IMPORTANT NOTICE ON TRANSFER RESTRICTIONS AND OTHER INFORMATION 
 THIS CERTIFIES THAT 
 SPECIMEN 
 is the owner of 
 FULLY PAID AND NON-ASSESSABLE SHARES OF THE 12% SERIES E-3
CUMULATIVE CONVERTIBLE REDEEMABLE PREFERRED STOCK, LIQUIDATION PREFERENCE $1000.00 PER SHARE, $.001 PAR VALUE PER SHARE, OF 
 Anthracite Capital, Inc. (hereinafter called the “Corporation”), transferable on the books of the Corporation by the registered holder hereof in person or by duly authorized attorney upon 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 Maryland and to all of the provisions of the Charter of the Corporation and the Bylaws of the Corporation and any
amendments thereto. This Certificate is not valid unless countersigned by the transfer agent and registered by the registrar. 
 In Witness Whereof, the Corporation has caused the facsimile signatures of its duly authorized officers and its facsimile seal to be affixed hereto. 
 Dated: 
 Secretary 
 ANTHRACITE CAPITAL, INC. 
 CORPORATE 
 SEAL 
 1997 
 MARYLAND 
 President 
 Countersigned and Registered: 
 AMERICAN STOCK TRANSFER & TRUST COMPANY 
 (NEW YORK, N.Y.) 
 Transfer Agent 
 and Registrar 
 By 
 Authorized Officer 
 AMERICAN BANK NOTE COMPANY. 

 

 
  
 ANTHRACITE
CAPITAL, INC. 
 The Corporation will furnish to any stockholder upon request and without charge a full statement of the
designations, preferences, limitations and relative rights of the shares of each class of stock authorized and to be issued and, with respect to the classes of stock which may be issued in a series, the variations in the relative rights and
preferences between the shares of each 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. Such request may be made to
the Secretary of the Corporation at its principal office. 
 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 the right of survivorship and not as tenants in common 
 UNIF GIFT MIN ACT – Custodian 
 (Cust) (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 ZIP CODE OF ASSIGNEE) 
 Shares of 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, 

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 ON ANY CHANGE WHATEVER. 
 Signature(s) Guaranteed: 
 By 
 The Signature should be guaranteed by an eligible guarantor institution (banks, stockbrokers, savings
and loan associations and credit unions with membership in an approved medallion signature guarantee program), pursuant to S.E.C. rule 17Ad-15.

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