Document:

Exhibit 4.1

 

	
NUMBER
    	
 
    	
VANGUARD
    	
 
    	
SHARES
    

ENERGY CORPORATION

 

INCORPORATED UNDER THE LAWS OF THE STATE OF COLORADO

 

	
 
    	
 
    	
AUTHORIZED: 50,000,000 COMMON SHARES,
    	
 
    	
SEE REVERSE FOR
    
	
 
    	
 
    	
$0.00001 PAR VALUE PER SHARE
    	
 
    	
CERTAIN DEFINITIONS
    

 

	
This   Certifies That
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
is   the owner of
    	
 
    	
 
    	
 
    	
 
    

 

Fully Paid and Non-Assessable Shares of Common Stock, $0.00001 Par Value of

 

VANGUARD ENERGY CORPORATION

 

transferable on the books of this Corporation in person or by attorney upon surrender of this certificate duly endorsed or assigned. This Certificate and the shares represented hereby are subject to the laws of the State of Colorado, and to the Articles of Incorporation and the Bylaws of the Corporation, as now or hereafter amended. This Certificate is not valid until countersigned by the Transfer Agent.

 

IN WITNESS WHEREOF, the Corporation has caused this Certificate to be singed by the facsimile signature of its duly authorized officers and to be sealed with the facsimile seal of the Corporation.

 

 

	
Dated:
    	
 
    	
 
    	
 
    

 

 

	
 
    	
/s/   Warren M. Dillard
    	
 
    	
/s/   Steven M. Powers
    	
 
    
	
 
    	
 
    	
President
    	
 
    	
 
    	
Secretary
    
							

 

Countersigned:

CORPORATE STOCK TRANSFER, INC.

3200 Cherry Creek South Drive, Suite 430

Denver, CO 80209

	
By
    	
 
    	
 
    
	
 
    	
Transfer   Agent and Registrar Authorized Officer
    	
 
    
	
Vanguard   Certificate 5-9-11
    

 

 

VANGUARD ENERGY CORPORATION

CORPORATE STOCK TRANSFER, INC.

TRANSFER FEE: AS REQUIRED

 

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
    	
 
    	
UNIF   GIFT MIN ACT
    	
-
    	
              Custodian
    
	
JT   TEN
    	
-
    	
as   joint tenants with right
    	
 
    	
 
    	
 
    	
(Cust)
    	
(Minor)
    
	
 
    	
 
    	
of   survivorship and not as
    	
 
    	
 
    	
 
    	
under Uniform Gifts to Minors
    
	
 
    	
 
    	
tenants   in common
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
Act
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
(State)
    
									

 

Additional abbreviations may also be used though not in the above list.

 

 

PLEASE INSERT SOCIAL SECURITY OR OTHER

IDENTIFYING NUMBER OF ASSIGNEE

 

 

FOR VALUE RECEIVED,                                                                         hereby sells, assigns and transfers unto

 

 

PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS INCLUDING POSTAL ZIP CODE OF ASSIGNEE

 

 

                                                                                                                                                                                                             Shares of the Common Stock represented by the within Certificate and do hereby irrevocable 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:                                       20                        ,

 

	
 
    	
 
    	
Signature:   X
    	
 
    
	
Signature(s) Guaranteed:
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
Signature:   X
    	
 
    

 

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. THE SIGNATURE(S) SHOULD 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.

 

Vanguard Back of Cert 5-9-11

 

2Exhibit 4.2

 

VANGUARD ENERGY CORPORATION

 

UNIT CERTIFICATE

 

	
 
    	
 
    	
CUSIP                                     
    
	
INCORPORATED UNDER THE
    	
 
    	
 
    
	
LAWS OF THE STATE
    	
 
    	
SEE REVERSE FOR
    
	
OF COLORADO 
    	
 
    	
CERTAIN DEFINITIONS
    

 

EACH UNIT CONSISTING OF ONE SHARE OF COMMON STOCK

AND ONE REDEEMABLE CLASS A WARRANT

 

THIS CERTIFIES THAT

 

or registered assigns (the “Registered Holder”) is the owner of the number of Units specified above, each of which consists of one share of common stock (the “Common Stock”), and one redeemable Class A warrant (“the Warrants”) of Vanguard Energy Corporation.  On or prior to the Separation Date (as defined herein), the securities evidenced by this certificate may be combined, exchanged or transferred only as Units, and the Common Stock and Warrants evidenced by this Certificate may not be split up, exchanged or traded separately. The Units will separate into shares of Common Stock and Warrants as of the close of business on                         , 2011 (the “Separation Date”). The shares of Common Stock and the Warrants comprising the Units shall be separately tradeable commencing on the first day after the Separation Date on which the OTC Bulletin Board is open for trading. The Warrants comprising part of the Units are issued under and pursuant to a certain Warrant Agreement dated as of                           , 2011 (the “Warrant Agreement”) between Vanguard Energy Corporation and Corporate Stock Transfer, Inc., as warrant agent (the “Warrant Agent”) and are subject to the terms and provisions contained therein and on the face of the certificates covered thereby, to all of which terms and provisions the holder of this Unit Certificate consents by acceptance hereof. The Warrant Agreement provides for adjustment to the exercise price of the Warrants evidenced hereby and in the number of shares of Common Stock to be delivered upon the exercise of Warrants in certain events set forth therein.

 

Copies of the Warrant Agreement are available for inspection at the stock transfer office of the Warrant Agent and Registrar or may be obtained upon written request addressed to Vanguard Energy Corporation, at 1330 Post Oak Blvd., Suite 1600, Houston, TX  77056, attention:  Chief Executive Officer.

 

This Unit Certificate is not valid unless countersigned by the Warrant Agent and Registrar of the Company.

 

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

 

 

Dated:

 

COUNTERSIGNED AND REGISTERED:

 

	
CORPORATE   STOCK TRANSFER, INC.
    	
 
    	
 
    	
 
    	
 
    
	
3200   Cherry Creek Drive South, #430
    	
 
    	
 
    	
 
    	
/s/ Warren M. Dillard
    
	
Denver,   Colorado 80209
    	
 
    	
[SEAL]
    	
 
    	
PRESIDENT
    
	
(303)   282 -4800
    	
 
    	
 
    	
 
    	
 
    

 

 

	
By:
    	
 
    	
 
    	
 
    	
/s/ Steven M. Powers
    
	
 
    	
Authorized   Signature
    	
 
    	
 
    	
 
    	
 
    	
SECRETARY
    
							

 

1

 

VANGUARD ENERGY CORPORATION

 

The Registered Holder hereby is entitled, at any time after the Separation Time (as defined on the face hereof) to exchange the Units represented by this Unit Certificate for Common Stock Certificate(s) representing one share of Common Stock for each Unit represented by this Unit Certificate and Warrant Certificate(s) representing one redeemable Class A Warrant for each Unit represented by this Unit Certificate, upon surrender of this Unit Certificate to the Transfer Agent and Registrar, together with any documentation required by such agent.

 

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
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
(Cust)
    	
 
    	
(Minor)
    
	
TEN ENT
    	
—
    	
as tenants by the entireties
    	
 
    	
under Uniform Gifts to Minors
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
Act
    	
 
    
	
JT TEN
    	
—
    	
as   joint tenants with right
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
of   survivorship and not as
    	
 
    	
 
    	
(State)
    	
 
    
	
 
    	
 
    	
tenants   in common
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
UNIF TRF MIN ACT—
    	
 
    	
Custodian
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
(until age)
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
(Cust)
    	
 
    	
(Minor)
    
	
 
    	
 
    	
 
    	
 
    	
under Uniform Transfers to
   Minors Act
    
	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    	
 
    	
 
    	
 
    	
(State)
    	
 
    	
 
    
											

 

Additional abbreviations may also be used though not in the above list.

 

2

 

FORM OF ASSIGNMENT

(TO BE SIGNED UPON ASSIGNMENT)

 

FOR VALUE RECEIVED,                                                                                                                                  hereby sells, assigns and transfers 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 the capital stock represented by the within Certificate, and do hereby irrevocably constitute and appoint                                                                                                              attorney-in-fact 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) SHOULD 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.
    

 

Vanguard Unit Certificate 4-6-11

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