Document:

Exhibit 4.1

 

	
  

  	
  STL COMMON
  STOCK THE SHARES REPRESENTED BY THIS CERTIFICATE ARE SUBJECT TO RESTRICTIONS,
  SEE REVERSE SIDE. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE THIS
  CERTIFIES that is the owner of FULLY PAID AND NON-ASSESSABLE SHARES OF THE COMMON
  STOCK, $0.01 PAR VALUE, OF STERLING BANCORP Dated: The shares evidenced by
  this certificate are transferable only on the books of Sterling Bancorp by
  the holder hereof, in person or by attorney upon surrender of this
  certificate properly endorsed. The capital stock evidenced hereby is not on
  account of an insurable type and is not insured by the Federal Deposit
  Insurance Corporation or any other Federal or state governmental agency. This
  certificate is not valid unless countersigned and registered by the Transfer
  Agent and Registrar. IN WITNESS WHEREOF Sterling Bancorp has caused this
  certificate to be executed, by the facsimile signatures of its duly
  authorized officers has caused a facsimile of its seal to be hereunto
  affixed. COUNTERSIGNED AND REGISTERED: REGISTRAR & TRANSFER COMPANY
  (Cranford, NJ) TRANSFER AGENT AND REGISTRAR By: AUTHORIZED SIGNATURE DELAWARE
  SEAL 2003 CORPORATE STERLING BANCORP CUSIP 85917A 10 0 CORPORATE SECRETARY
  PRESIDENT AND CHIEF EXECUTIVE OFFICER Exhibit 4.1 

  

 

	
  

  	
  the Common Stock
  represented by the within Certificate, and do hereby irrevocably constitute
  and appoint Attorney to transfer the said shares on the books of the within
  named corporation with full power of the substitution in the premises. Dated
  In the presence of Signature(s): KEEP THIS CERTIFICATE IN A SAFE PLACE. IF IT
  IS LOST, STOLEN, MUTILATED OR DESTROYED, THE CORPORATION WILL REQUIRE A BOND
  OF INDEMNITY AS A CONDITION TO THE ISSUANCE OF A REPLACEMENT CERTIFICATE.
  NOTE: THE SIGNATURE(S) TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME(S) OF
  THE STOCKHOLDER(S) AS WRITTEN UPON THE FACE OF THE CERTIFICATE, IN EVERY
  PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT, OR ANY CHANGE WHATSOEVER.
  Signature(s) Guaranteed 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. By The Board of Directors of
  Sterling Bancorp (the “Company”) is authorized by resolution or resolutions,
  from time to time adopted, to provide for the issuance of more than one class
  of stock, including preferred stock in series, and to fix and state the
  voting powers, designations, preferences, limitations and restrictions
  thereof. The Company will furnish to any stockholder upon request and without
  charge a full description of each class of stock and any series thereof. The
  shares evidenced by this certificate are subject to a limitation contained in
  the Certificate of Incorporation to the effect that in no event shall any
  record owner of any outstanding common stock which is beneficially owned,
  directly or indirectly, by a person who beneficially owns in excess of 10% of
  the outstanding shares of common stock (the “Limit”) be entitled or permitted
  to any vote in respect of shares held in excess of the Limit. The shares
  represented by this certificate may not be cumulatively voted on any matter.
  The Certificate of Incorporation requires the affirmative vote of the holders
  of at least 80% of the voting stock of the Company, voting together as a
  single class, to approve certain transactions and to amend certain provisions
  of the Certificate of Incorporation. 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.
  Additional abbreviations may also be used though not in the above list. UNIF
  GIFT MIN ACT–_________ Custodian_________ (Cust) (Minor) under Uniform Gifts
  to Minors Act _____________________________ (State) TEN COM TEN ENT JT TEN as
  tenants in common as tenants by the entireties as joint tenants with right of
  survivorship and not as tenants in common – – – For Value Received, hereby
  sell, assign and transfer unto PLEASE INSERT SOCIAL SECURITY NUMBER OR OTHER
  IDENTIFYING NUMBER (please print or typewrite name and address including
  postal zip code of assignee) (please print number of shares to be sold)
  Shares ofExhibit 4.3

 

FIRST SUPPLEMENTAL INDENTURE, dated as of October 31, 2013, among STERLING BANCORP, a corporation duly organized and existing under the laws of the State of New York (the “Company”), PROVIDENT NEW YORK BANCORP, a corporation duly organized and existing under the laws of the State of Delaware (the “Successor Company”), and THE BANK OF NEW YORK MELLON, formerly known as The Bank of New York, as Trustee under the Indenture referred to below (the “Trustee”).

 

WITNESSETH:

 

WHEREAS, the Trustee and the Company are parties to that certain Junior Subordinated Indenture, dated as of February 27, 2002 (the “Indenture”), providing for the issuance of Securities from time to time; and

 

WHEREAS, Section 8.1 of the Indenture provides that the Company shall not merge into another corporation unless, among other things, the corporation into which the Company is merged shall expressly assume, by an indenture supplemental to the Indenture, executed and delivered to the Trustee, in a form satisfactory to the Trustee, the due and punctual payment of the principal of and premium, if any, and interest (including any Additional Interest, as defined in the Indenture) on all the Securities of every series and the performance of every covenant of the Indenture on the part of the Company to be performed or observed; and

 

WHEREAS, Section 9.1 of the Indenture provides that the Company, when authorized by a Board Resolution, and the Trustee may enter into a supplemental indenture to evidence the succession of another Person to the Company and the assumption by any such successor of the covenants of the Company under the Indenture and in the Securities; and

 

WHEREAS, the Company and the Successor Company have entered into an Agreement and Plan of Merger, dated as of April 3, 2013 (the “Merger Agreement”), which contemplates the merger of the Company with and into the Successor Company (the “Merger”), with the Successor Company as the surviving corporation and continuing its corporate existence under the laws of the State of Delaware; and

 

WHEREAS, at the Effective Time (as defined below) the Successor Company will change its name to “Sterling Bancorp”; and

 

WHEREAS, the Company, pursuant to the foregoing authority, proposes in and by this First Supplemental Indenture to amend and supplement the Indenture in certain respects; and

 

WHEREAS, the Company has duly authorized the execution and delivery of this First Supplemental Indenture by a Board Resolution, as defined in the Indenture, and all things necessary to make this First Supplemental Indenture a valid agreement of the Successor Company, in accordance with the terms of the Indenture, have been done;

 

NOW, THEREFORE, for and in consideration of the premises and intending to be legally bound hereby, it is mutually covenanted and agreed, for the equal and proportionate benefit of all Holders, as follows:

 

 

ARTICLE ONE

 

REPRESENTATIONS OF THE COMPANY AND SUCCESSOR COMPANY

 

The Company and the Successor Company, respectively, represent to the Trustee as follows:

 

SECTION 1.1. The Company represents that it is a corporation duly organized, validly existing and in good standing under the laws of the State of New York.  The Successor Company represents that it is a corporation duly organized, validly existing and in good standing under the laws of the State of Delaware.

 

SECTION 1.2. The execution, delivery and performance by it of this First Supplemental Indenture has been authorized and approved by all necessary corporate action required to be taken by it.

 

SECTION 1.3. The Merger will become effective in accordance with the terms of the Merger Agreement as set forth in the certificate of merger to be filed in the office of the Secretary of State of Delaware and a certificate of merger to be filed in the office of the Department of State of New York (the time the Merger becomes effective being the “Effective Time”).

 

SECTION 1.4. Immediately after giving effect to the Merger, no Event of  Default, and no event which, after notice or lapse of time or both, would constitute an Event of Default, shall have happened and be continuing.

 

ARTICLE TWO

 

ASSUMPTION AND AGREEMENTS

 

SECTION 2.1. The Successor Company hereby assumes, effective as of the Effective Time, the due and punctual payment of the principal of and any premium and interest (including any Additional Interest, as defined in the Indenture) on all the Securities of every series and the performance of every covenant of the Indenture on the part of the Company to be performed or observed.

 

SECTION 2.2. In accordance with Section 8.2 of the Indenture, effective as of the Effective Time, the Successor Company shall succeed to, and be substituted for, and may exercise every right and power of, the Company under the Indenture, with the same effect as if the Successor Company had been named as the Company therein, and the Company shall be discharged of all obligations and covenants under the Indenture and the Securities.

 

 

ARTICLE THREE

 

MISCELLANEOUS

 

SECTION 3.1. If any provision of this First Supplemental Indenture limits, qualifies or conflicts with the duties imposed by any of Sections 310 to 317, inclusive, of the Trust Indenture Act through operation of Section 318(c) thereof, such imposed duties shall control.

 

SECTION 3.2. Nothing in this First Supplemental Indenture, express or implied, shall give to any Person, other than the parties hereto and their successors and assigns any benefit or any legal or equitable right, remedy or claim under this First Supplemental Indenture.

 

SECTION 3.3.  All capitalized terms not otherwise defined herein shall have the meaning ascribed to them in the Indenture.

 

SECTION 3.4. This First Supplemental Indenture shall be governed by and construed in accordance with the laws of the State of New York, without regard to conflict of law principles thereof.

 

SECTION 3.5. This First Supplemental Indenture may be executed in any number of counterparts, each of which so executed shall be deemed to be an original, but all such counterparts shall together constitute but one and the same instrument.

 

SECTION 3.6. This First Supplemental Indenture shall become effective as of the Effective Time.

 

SECTION 3.7. The Trustee shall not be responsible in any manner whatsoever for or in respect of the validity or sufficiency of this First Supplemental Indenture.  The recitals of fact contained herein shall be taken as the statements solely of the Company or the Successor Company and the Trustee assumes no responsibility for the correctness thereof.

 

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IN WITNESS WHEREOF, the parties hereto have caused this First Supplemental Indenture to be duly executed as of the day and year first above written.

 

 

	
 
    	
STERLING BANCORP
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
By:
    	
/s/ Louis J.   Cappelli
    
	
 
    	
Name:
    	
Louis J.   Cappelli
    
	
 
    	
Title:
    	
Chairman and   Chief Executive Officer
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
PROVIDENT NEW   YORK BANCORP
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
By:
    	
/s/ Jack   Kopnisky
    
	
 
    	
Name:
    	
Jack Kopnisky
    
	
 
    	
Title:
    	
President and   Chief Executive Officer
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
THE BANK OF NEW   YORK MELLON
    
	
 
    	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
By:
    	
/s/ Francine   Kincaid
    
	
 
    	
Name:
    	
Francine Kincaid
    
	
 
    	
Title:
    	
Vice President
    

 

[Signature Page to Supplemental Indenture]

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