Document:

Specimen Stock Certificate

Exhibit 4.1

 

	Number	  	Shares  
	  
	MONTREAL SERVICES COMPANY 
	INCORPORATED UNDER THE LAWS OF THE STATE OF 
	NEVADA 100,000,000 SHARES COMMON STOCK AUTHORIZED, 
	$0.00001 PAR VALUE 
	  
	  	  	CUSIP  _______
	  	  	SEE REVERSE  
	  	  	FOR  
	This  	  	CERTAIN  
	certifies  	  	DEFINITIONS  
	that  	  	  
	is the owner of  	  	  
	  
	  
	FULLY PAID AND NON-ASSESSABLE 
	SHARES OF COMMON STOCK OF 
	  
	  
	MONTREAL SERVICES COMPANY 
	transferable on the books of the corporation in person or by duly 
	authorized attorney upon surrender of this certificate properly 
	endorsed. This certificate and the shares represented hereby 
	are subject to the laws of the State of Nevada, and to the 
	Articles of Incorporation and Bylaws of the Corporation, 
	as now or hereafter amended. This certificate is not valid 
	unless countersigned by the Transfer Agent. WITNESS 
	the facsimile seal of the Corporation and the signature 
	of its duly authorized officers 
	  
	  
	  
	  
	PRESIDENT  	[SEAL]  	SECRETARY  

 

 

     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 the right of  	                                                   Act   _________________________________  
	  	survivorship and not as tenants  	                                  (State)  
	  	in common  	  	  

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 

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 ________________________________________________________________________________

THE SIGNATURE TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME AS WRITTEN UPON THE FACE OF THIS CERTIFICATE IN EVERY 

PARTICULAR WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATSOEVER. THE SIGNATURE(S) MUST BE GUARANTEED BY AN 

ELIGIBLE GUARANTOR INSTITUTION (Banks, Stockbrokers, Savings and Loan Associations and Credit Unions)

 

SIGNATURE GUARANTEED:

 

 

 

TRANSFER FEE WILL APPLYex102.htm

    EXHIBIT
10.2

     

    NewCardio,
Inc.

     

    Restricted
Stock Unit Grant Notice

     

    2009
Equity Compensation Plan

     

    NewCardio,
Inc. (the “Company”),
pursuant to its 2009 Equity Compensation Plan (the “Plan”),
hereby grants to Grantee a Stock Award (as defined in the Plan) consisting of
Restricted Stock Units (as defined in the Plan) set forth below.  This
Stock Award is subject to all of the terms and conditions as set forth herein
and in the Stock Award Agreement, the Plan and the Notice of Exercise, all of
which are attached hereto and incorporated herein in their
entirety.

     

    
      
        	
                Grantee:

              	 
      
	
                Date
      of Grant:

              	
                
                   

                

              
	Number
      of Restricted Stock Units:	 

      

    

              

    
      	
              Vesting
      Schedule:

            	
              See
      Attachment I, Stock Award Agreement, section 1 (b) or below if
      marked:

            

    

    X    Subject to
the accelerated vesting events described below, each Stock Award shall vest on
the second anniversary of the grant date for such Stock Award;

    
      	
              ÿ  

            	
              100%
      vesting at grant; or

            

    

    
      	
              ÿ  

            	
              Other:
      ______________________________________________________________

            

    

    

    NOTE:  NOTWITHSTANDING
ANYTHING TO THE CONTRARY CONTAINED ABOVE, FIFTY PERCENT (50%) OF EACH STOCK
AWARD SHALL VEST AUTOMATICALLY UPON A CHANGE OF CONTROL (AS DEFINED IN THE PLAN)
AND THE REMAINING 50% OF EACH STOCK AWARD (OR 100% IN THE EVENT THERE IS NO
CHANGE OF CONTROL) SHALL VEST ON THE DAY WHICH IS THE LATER TO OCCUR OF THE LAST
DAY OF (X) THE 24TH MONTH
AFTER THE MONTH IN WHICH OCCURS THE DATE OF GRANT, OR (Y) THE 18TH MONTH
AFTER THE MONTH IN WHICH OCCURS THE CHANGE OF CONTROL AND, IN THE EVENT OF A
CHANGE OF CONTROL, EACH STOCK AWARD SHALL VEST ENTIRELY (100%), AUTOMATICALLY,
(A) UPON A TERMINATION BY THE COMPANY OF CONTINUOUS SERVICE OF THE GRANTEE
WITHOUT CAUSE (AS DEFINED IN THE PLAN), (B) UPON A TERMINATION BY THE GRANTEE OF
THE CONTINUOUS SERVICE OF THE GRANTEE WITH GOOD REASON (AS DEFINED IN THE PLAN),
OR (C) UPON A TERMINATION OF THE CONTINUOUS SERVICE OF A PARTICIPANT BY REASON
OF THE DEATH OR DISABILITY (AS DEFINED IN THE PLAN) OF THE GRANTEE.

    

    NOTE:    RESTRICTED STOCK UNITS SHALL BE
SETTLED WITHIN 10 BUSINESS DAYS AFTER VESTING, EITHER BY DELIVERY TO THE
PARTICIPANT OF SHARES OF COMMON STOCK (WITH APPROPRIATE SECURITIES ACT
RESTRICTIVE LEGENDS) OR, AT THE ELECTION OF THE COMPANY, BY DELIVERY TO THE
PARTICIPANT OF A CASH PAYMENT BASED UPON THE FAIR MARKET VALUE OF THE COMPANY’S
COMMON STOCK ON THE DATE OF VESTING FOR EACH RESTRICTED STOCK UNIT VESTED
(SUBJECT TO APPLICABLE INCOME TAX WITHHOLDING AS MAY BE REQUIRED BY
LAW). 

     

    
    

     

    
      	NEWCARDIO,
INC.	GRANTEE:
	 	 
	By: ____________________________________________________________	By: ____________________________________________________________
	
              Signature

            	
              Signature

            
	Title: ___________________________________________________________ 	 
	Date:___________________________________________________________  	Date:___________________________________________________________ 

    

     

     

    

      Attachments:
I. Stock Award Agreement

    

    

     

    
      
        
        

      

      
        1

        
          

        

      

      
        
        

      

    

     

     

    
      Attachment
I

       

      NewCardio,
Inc.

      

       

      Stock
Award Agreement

       

      (Restricted
Stock Units)

       

      Pursuant
to your Restricted Stock Unit Grant Notice (“Grant
Notice”) and this Stock Award Agreement, NewCardio, Inc., (the “Company”)
has granted you an option under its 2009 Equity Compensation Plan (the “Plan”)
Restricted Stock Units with regard to the number of shares of the Company’s
Common Stock indicated in your Grant Notice.  Defined terms not
explicitly defined in this Stock Award Agreement but defined in the Plan shall
have the same definitions as in the Plan.

       

      The
details of your grant are as follows:

       

      1. Vesting.  Subject
to the limitations contained herein, your Restricted Stock Units will vest as
follows, and vesting will cease upon the termination of your Continuous
Service.

       

      (a) Vesting
of your Restricted Stock Units is deemed to have commenced on the Date of Grant
set forth in your Grant Notice.

       

      (b) Fifty
percent (50%) of your Restricted Stock Units shall vest automatically upon a
Change of Control (as defined in the plan) and the remaining 50% of each
Restricted Stock Unit (or 100% in the event there is no Change of Control) shall
vest on the day which is the later to occur of the last day of (x) the 24th month
after the month in which occurs the Date of Grant (set forth in your Grant
Notice), or (y) the 18th month
after the month in which occurs the Change of Control and, in the event of a
Change of Control, each Stock Award shall vest entirely (100%), automatically,
(a) upon a termination by the Company of your Continuous Service without Cause
(as defined in the Plan), (b) upon a termination by you of your Continuous
Service with Good Reason (as defined in the Plan), or (c) upon a termination of
your Continuous Service by reason of your death or Disability (as defined in the
Plan).

       

      For purposes hereof, the term “Change of
Control” means an event or series of events resulting in the current
holders of more than 50% of the common stock of the Company no longer holding at
least 50% of the common stock of the Company.

       

      2. Number of
Shares and Exercise Price.  The number of shares of Common
Stock subject to your option and your exercise price per share referenced in
your Grant Notice may be adjusted from time to time for Capitalization
Adjustments, as provided in the Plan.

       

      3. Method of
Settlement.  Settlement of Restricted Stock Units that have
vested shall be made by the Company within 10 business days after vesting,
either by delivery to you of shares of Common Stock (with appropriate Securities
Act restrictive legends) or, at the election of the Company, by delivery to you
of a cash payment based upon the Fair Market Value of the Company’s Common Stock
on the date of vesting for each Restricted Stock Unit vested (subject to
applicable income tax withholding as may be required by law). 

       

       

       

      
        
          
          

        

        
          2

          
            

          

        

        
          
          

        

      

       

       

      4. Securities
Law Compliance.  Notwithstanding anything to the contrary
contained herein, the Company may elect to deliver to you as cash payment upon
settlement of your Restricted Stock Units, instead of shares of Common Stock if
such shares of Common Stock are not then so registered, and the Company has
determined that such issuance would not be exempt from the registration
requirements of the Securities Act.

       

      5. Term.  It
is contemplated that all Restricted Stock Units will be settled no later than 10
business days after the last day of the 24th month
after the month in which occurs the Date of Grant set forth in the Grant
Notice.

       

      6. No Rights as a
Shareholder.  The grant of Restricted Stock does not entitle
you to any rights as a shareholder of the Company, to vote, to receive dividends
or otherwise, unless and until (and then only in the event that, and after) your
Restricted Stock Units are settled by delivery to you of Common
Stock.

       

      7. Withholding
Obligations.

       

      (a) At the
time your Restricted Stock Units are settled, or at any time thereafter as
requested by the Company, you hereby authorize withholding from payroll and any
other amounts payable to you, and otherwise agree to make adequate provision
for, any sums required to satisfy the federal, state, local and foreign tax
withholding obligations of the Company or an Affiliate, if any, which arise in
connection with your Restricted Stock Units.

       

      (b) Your
Restricted Stock Units may not be settled by delivery of shares of Common Stock
unless the tax withholding obligations of the Company and/or any Affiliate are
satisfied.  Accordingly, you may not be able to receive shares of
Common Stock for each Restricted Stock Unit (if the Company elects to settle the
same with shares instead of a cash payment), and the Company shall have no
obligation to issue a certificate for all such shares of Common Stock or release
such shares of Common Stock from any escrow provided for herein, unless the tax
withholding obligations of the Company and/or any Affiliate are
satisfied.

       

      8. Notices.  Any
notices provided for in your option or the Plan shall be given in writing and
shall be deemed effectively given upon receipt or, in the case of notices
delivered by mail by the Company to you, five (5) days after deposit in the
United States mail, postage prepaid, addressed to you at the last address you
provided to the Company.

       

      9. Governing
Plan Document.  Your Restricted Stock Unit grant is subject to
all the provisions of the Plan, the provisions of which are hereby made a part
of your grant, and is further subject to all interpretations, amendments, rules
and regulations which may from time to time be promulgated and adopted pursuant
to the Plan.  In the event of any conflict between the provisions of
your Grant Notice and those of the Plan, the provisions of the Plan shall
control.

       

      10. Transferability.  Your
Restricted Stock Units are not transferable, except (i) by will or by the laws
of descent and distribution, (ii) with the prior written approval of the
Company, by instrument to an inter vivos or testamentary trust, in a form
accepted by the Company, in which the option is to be passed to beneficiaries
upon the death of the trustor (settlor) and (iii) with the prior written
approval of the Company, by gift, in a form accepted by the Company, to your
“immediate family” as that term is defined in 17 C.F.R.
240.16a-1(e).  The term “immediate family” is defined in 17 C.F.R.
240.16a-1(e) to mean any child, stepchild, grandchild, parent, stepparent,
grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law,
daughter-in-law, brother-in-law, or sister-in-law, and includes adoptive
relationships.  The right of a transferee to settlement of the
Restricted Stock Units transferred shall be the same as, and no greater than the
rights of settlement that you would have had if you had not transferred the
Restricted Stock Units.  In the event that your Employment and/or
Continuous Service terminates due to your death, your transferee will be treated
as a person who acquired your Restricted Stock Units by bequest or
inheritance.  In addition to the foregoing, the Company may require,
as a condition of the transfer of your Restricted Stock Units to a trust or by
gift, that your transferee enter into a Restricted Stock Units transfer
agreement provided by, or acceptable to, the Company.  The terms of
your Restricted Stock Units shall be binding upon your transferees, executors,
administrators, heirs, successors, and assigns.  Notwithstanding the
foregoing, by delivering written notice to the Company, in a form satisfactory
to the Company, you may designate a third party who, in the event of your death,
shall thereafter be entitled to settlement of your Restricted Stock
Units.

       

       

       

      3

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