Document:

Unassociated Document

    Exhibit
      4.1

    

    [FACE
      OF
      CERTIFICATE]

    

    COMMON
      STOCK

    

    COMMON
      STOCK

    

    SF

    

    ENERGY
      FOCUS, INC.

    

    INCORPORATED
      UNDER THE LAWS OF THE STATE OF DELAWARE

    

    THIS
      CERTIFICATE IS TRANSFERABLE IN JERSEY CITY, NJ, NEW YORK, NY AND PITTSBURGH,
      PA

    

    SEE
      REVERSE FOR CERTAIN DEFINITIONS AND A STATEMENT AS TO THE RIGHTS, PREFERENCES,
      PRIVILEGES AND RESTRICTIONS ON SHARES

    

    CUSIP
      29268T 10 2

    

    THIS
      CERTIFIES THAT

    

    IS
      THE
      OWNER OF

    

    FULLY
      PAID AND NON-ASSESSABLE SHARES OF THE COMMON STOCK, $.0001 PAR VALUE PER SHARE,
      OF

    

    ENERGY
      FOCUS, INC.

    

    transferable
      on the books of the Corporation by the holder hereof in person or by duly
      authorized attorney upon surrender of this Certificate properly endorsed. This
      Certificate is not valid until countersigned and registered by the Transfer
      Agent and Registrar.

    WITNESS
      the facsimile seal of the Corporation and the facsimile signatures of its duly
      authorized officers.

    

    Dated:

    

    [SIGNATURE]

    CHIEF
      FINANCIAL OFFICER 

    

    [SEAL]

    

    [SIGNATURE]

    PRESIDENT
      AND CHIEF EXECUTIVE OFFICER

    
      
        
        

      

      
        
        

        
          

        

      

      
        
        

      

    

    

    COUNTERSIGNED
      AND REGISTERED:

    MELLON
      INVESTOR SERVICES LLC

    TRANSFER
      AGENT

    AND
      REGISTRAR

    BY

    AUTHORIZED
      OFFICER

    

    

    

    

    [REVERSE
      OF CERTIFICATE]

    

    The
      statement of the powers, designations, preferences and relative, participating,
      optional, or other special rights of each class of stock or series thereof
      and
      the qualifications, limitations or restrictions of such preferences and/or
      rights as established from time to time, by the Certificate of Incorporation
      of
      the Corporation and by any certificate of determination, the number of shares
      constituting each class and series, and the designations thereof, may be
      obtained by the holder hereof upon request and without charge at the principal
      office of the Corporation.

    

    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 — ......................... Custodian
      .........................

    (Cust)
          (Minor)

    under
      Uniform Gifts to Minors

    Act
      ..............................................................

    (State)

    UNIF
      TRF
      MIN ACT — ................. Custodian (until age ................)

    (Cust)

    ............................
      under Uniform Transfers

    (Minor)

    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
      the common 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(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

    By

    THE
      SIGNATURE(S) MUST BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS,
      STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP
      IN
      AN APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM), PURSUANT TO S.E.C. RULE
      17Ad-15.

    

    This
      certificate also evidences and entitles the holder hereof to certain “Rights” as
      set forth in a Rights Agreement between Energy Focus, Inc. (the “Company”) and
      Mellon Investor Services LLC (the “Rights Agent”), dated as of October 25, 2006
      (the “Rights Agreement”), the terms of which are hereby incorporated herein by
      reference and a copy of which is on file at the principal offices of the
      Company. Under certain circumstances, as set forth in the Rights Agreement,
      such
      Rights may be redeemed, may expire or may be evidenced by separate certificates
      and will no longer be evidenced by this certificate. The Company will mail
      to
      the holder of this certificate a copy of the Rights Agreement without charge
      after receipt of a written request therefor. Under certain circumstances, Rights
      “Beneficially Owned” by “Acquiring Persons” (as such terms are defined in the
      Rights Agreement) or certain related parties, as well as subsequent holders
      of
      such Rights, may become null and void.Unassociated Document

    Exhibit
      10.1

     

    ENERGY
      FOCUS

    

    July
      12,
      2007

    

    Nicholas
      Berchtold

    7372
      Holzhauer Rd.

    Sagamore
      Hills, OH 44067

    

    Dear
      Nicholas,

    

    This
      will
      confirm our offer of employment to join Energy Focus, Inc. in the position
      of
      CFO &Vice President of Finance in our corporate headquarters. Employment
      start date is TBD as mutually agreed contingent on a successful background
      check
      completion.

    

    Your
      rate
      of pay will be $175,000 salary per annum plus a performance bonus estimated
      at
      20% of salary. The salary will be paid semimonthly on the 15th
      and the
      last day of each moth.

    

    As
      with
      all of us at Energy Focus, employment at Energy Focus is “at will” which means
      that either party may terminate the relationship at any time for any reason.
      

    

    Energy
      Focus’ employee benefit package includes medical, dental, and vision, which are
      paid in part by Energy Focus. You will be eligible for these the first day
      of
      employment. After an initial waiting period of six months, you will be eligible
      to participate in our 401(k) plan. In addition, all employees are eligible
      to
      participate in the employee stock purchase plan.

    

    In
      addition, I will recommend to the Board of Directors that you be granted 25,000
      stock options, vesting over four years, to purchase Energy Focus common stock
      through our Incentive Stock Option Plan.

    

    Nicholas,
      we look forward to having you become a member of our team.

    

    Please
      indicate your acceptance by signing below and return the original copy to Nancy
      Guzay in the envelope provided.

    

      
        	
                Sincerely,

              	 	 	 
	 	 	 	 
	
                /s/
                  Eric Hilliard

              	 	 	 
	 	 	 	 
	
                Eric
                  Hilliard

              	 	 	 
	
                Chief
                  operating Officer

              	 	
                Accepted
                  By:

              	
                /s/
                  Nicholas Berchtold

              
	
                Nicholas
                  Berchtold

              	 	 	 

      

    
      	*	
              You
                will be afforded 3 weeks of vacation per
                year.AMENDMENT
      NO. 1 TO RIGHTS AGREEMENT

     

    This
      Amendment No. 1 dated August 7, 2007 (this “Amendment”)
      is to
      the Rights Agreement dated March 12, 2002 (the “Agreement”),
      by
      and between Aptimus, Inc. (the “Corporation”)
      and
      Mellon Investor Services LLC (the “Rights
      Agent”).
      Capitalized terms used but not defined herein shall have the meaning ascribed
      to
      such terms in the Agreement. 

    

    WHEREAS,
      from time to time the Corporation’s Board of Directors may consider proposals
      regarding a merger,
      consolidation, share exchange, business combination, reorganization, tender
      offer or other similar transaction involving the Corporation;

    

    WHEREAS,
      in the event that the Corporation’s Board of Directors approves such a
      transaction, the Corporation and/or its Affiliates or Associates may be required
      to enter into an agreement and plan of merger, agreement and plan of
      reorganization, voting agreement, proxy and/or similar contract with the
      acquiring person in such a transaction;

    

    WHEREAS,
      the Corporation’s Board of Directors desires to confirm that entering into such
      a contract pursuant to such an approved transaction is intended to fall within
      the scope of a “Permitted Offer” under the Agreement and that any outstanding
      Rights under the Agreement expire immediately prior to the consummation of
      such
      an approved transaction; and

     

    WHEREAS,
      pursuant to Section 27 of the Agreement, the Corporation may and the Rights
      Agent shall, if the Corporation so directs, supplement or amend any provision
      of
      this Agreement without the approval of any holders of certificates representing
      Common Shares.

     

    NOW
      THEREFORE,
      in
      consideration of the above recitals and the mutual covenants made herein, the
      parties hereby agree as follows.

     

    Section
      1. AMENDMENT

     

    a. Section
      1(l) of the Agreement is hereby amended and restated as follows: 

    

    “Permitted
      Offer” shall mean a tender or exchange offer or a merger, consolidation, share
      exchange, business combination, reorganization or other similar transaction
      or
      combination thereof which, in each case, involves all outstanding Common Shares
      at a price and on terms determined, prior to the consummation of such proposed
      transaction(s), by at least a majority of the members of the Board of Directors
      who are not officers of the Corporation and who are not Acquiring Persons or
      Persons who would become Acquiring Persons as a result of the proposed
      transaction(s) in question or Affiliates, Associates, nominees or
      representatives of any such Person, to be adequate (taking into account all
      factors that such Directors deem relevant, including, without limitation, prices
      that could reasonably be achieved if the Corporation or its assets were sold
      on
      an orderly basis designed to realize maximum value) and otherwise in the best
      interests of the Corporation and its Stockholders (other than the Person or
      any
      Affiliate or Associate thereof on whose behalf the transaction(s) are being
      proposed) taking into account all factors that such directors may deem relevant
      (such a proposed transaction that is so approved by the Board of Directors
      shall
      be referred to herein as a “Permitted Transaction”). For
      the
      avoidance of doubt, a "Permitted Offer" and a "Permitted Transaction" shall
      include without limitation the merger and voting agreement and proxies
      contemplated by that certain Agreement and Plan of Merger of even date herewith,
      by and among the Corporation, Apollo Group, Inc. and Asteroid Acquisition
      Corporation, as it may be amended from time to time.

     

    
      
        
        

      

      
        
        

        
          

        

      

      
        
        

      

    

     

    b. Section
      7(a) of the Agreement is hereby supplemented and amended by deleting the word
      “or” that immediately precedes clause (iv) and inserting the following clause at
      the end of Section 7(a): 

     

    or
      (v)
      immediately prior to the consummation of a Permitted Transaction. 

     

    Section
      2. AGREEMENT
      AND PLAN OF MERGER

     

    The
      Rights Agent shall not be subject to, nor required to interpret or comply with,
      nor determine if any Person has complied with, the Agreement and Plan of Merger
      mentioned above, even though reference thereto may be made in this Amendment
      and
      the Agreement. 

     

    Section
      3. COMPLIANCE
      CERTIFICATION AND DIRECTION

     

    The
      undersigned officer of the Corporation, being an appropriate officer of the
      Corporation, hereby certifies to the Rights Agent that this Amendment is in
      compliance with Section 27 of the Agreement and hereby directs the Rights Agent
      to execute this Amendment. 

     

    Section
      4. EFFECT
      OF AMENDMENT

     

    Except
      as
      set forth herein, all other terms of the Agreement shall remain unmodified
      and
      remain in full force and effect. 

     

    

    [Signature
      page follows]

    

    
      
        
        

      

      
        2

        
          

        

      

      
        
        

      

    

    IN
      WITNESS WHEREOF, the
      parties have caused this Amendment to be duly executed and delivered by their
      respective proper and duly authorized officers as of the date and year first
      written above.

     

    
      	 	 	 
	 	
              CORPORATION:

            
	 	 
	 	
              APTIMUS,
                INC.

            
	 
 	 
 	 
 
	 	By:  	
              /s/
                David H. Davis

            
	 	
              

              Name:
                David
                H. Davis

              Title:
                

                General
                  Counsel/Secretary

              

            

    

      

    
      	 	 	 
	 	RIGHTS
              AGENT: 
	 	 
	 	MELLON
              INVESTOR SERVICES LLC
	 
 	 
 	 
 
	 	By:  	/s/ Thomas L. Cooper
	 	
              
                

              

              Name: Thomas L. Cooper

              Title: Client
                Relationship Executive

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