Document:

EX-4.1

 Exhibit 4.1
  

					
	         NUMBER

U-__________
	  		  	UNITS
			
	 SEE REVERSE FOR

CERTAIN DEFINITIONS
	  	NORTHERN STAR INVESTMENT CORP. III	  	

 CUSIP
                
 UNITS CONSISTING OF ONE SHARE OF
CLASS A COMMON STOCK AND
 ONE-SIXTH OF ONE WARRANT

THIS CERTIFIES THAT 
  

 
 is the owner of 

 
  

Units.
 Each Unit (“Unit”) consists of one
(1) share of Class A common stock, par value $0.0001 per share (“Common Stock”), of Northern Star Investment Corp. III, a Delaware corporation (the “Company”), and one-sixth of one warrant
(“Warrant”). Each whole Warrant entitles the holder to purchase one share of Common Stock for $11.50 per share (subject to adjustment). Each whole Warrant will become exercisable on the later of (i) thirty days after the
Company’s completion of an initial merger, capital stock exchange, asset acquisition, or other similar business combination with one or more businesses or entities (a “Business Combination”) and (ii) 12 months from
the closing of the Company’s initial public offering (“IPO”), and will expire unless exercised before 5:00 p.m., New York City Time, on the fifth anniversary of the completion of an initial Business Combination, or earlier upon
redemption or liquidation. The Common Stock and Warrant(s) comprising the Unit(s) represented by this certificate are not transferable separately until fifty-two days following the IPO, unless
Citigroup Global Markets Inc. informs the Company of its decision to allow earlier separate trading, except that in no event will the Common Stock and Warrants be separately tradeable until the Company has filed an audited balance sheet reflecting
the Company’s receipt of the gross proceeds of its initial public offering and issued a press release announcing when such separate trading will begin. The terms of the Warrants are governed by a Warrant Agreement, dated as of __________ __,
2021, between the Company and Continental Stock Transfer & Trust Company, as Warrant Agent, and are subject to the terms and provisions contained therein, all of which terms and provisions the holder of this certificate consents to by
acceptance hereof. Copies of the Warrant Agreement are on file at the office of the Warrant Agent at 1 State Street, 30th Floor, New York, New York 10004, and are available to any
Warrant holder on written request and without cost.
 This certificate is not valid unless countersigned by the Transfer Agent and Registrar
of the Company.
 Witness the facsimile seal of the Company and the facsimile signatures of its duly authorized officers.

 

							
	By	  	  
	  	            	  	  

		  	 Chairman
	  		  	Secretary

  
 

 

 Northern Star Investment Corp. III 

The Company will furnish without charge to each shareholder who so requests, a statement of the powers, designations, preferences, and relative,
participating, optional, or other special rights of each class of stock or series thereof of the Company and the qualifications, limitations, or restrictions of such preferences and/or rights.

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 right of survivorship	  	under Uniform Gifts to Minors Act ______________
		  	and not as tenants in common	  	
		  		  	(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)
  
  

 
  
  

 

                        Units

 represented by the within Certificate, and do hereby irrevocably constitute and appoint

 
  

                    Attorney to transfer the said
Units on the books of the within named Company with full power of substitution in the premises.
 Dated _____________________

 

					
		 	  

		 	 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 or any change whatever.

  

	
	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). 

The holder(s) of this certificate shall be entitled to receive a pro-rata portion of the funds from the
trust account with respect to the common stock underlying this certificate only in the event that (i) the Corporation is forced to liquidate because it does not consummate an initial business combination within the period of time set forth in
the Corporation’s Amended and Restated Certificate of Incorporation, as the same may be amended from time to time (the “Charter”) or (ii) if the holder seeks to convert his shares upon consummation of, or sell his shares in a
tender offer in connection with, an initial business combination or in connection with certain amendments to the Charter. In no other circumstances shall the holder(s) have any right or interest of any kind in or to the trust account.EX-4.2

 Exhibit 4.2
  

			
	             NUMBER
	  	SHARES

              C     

NORTHERN STAR INVESTMENT CORP. III 

INCORPORATED UNDER THE LAWS OF DELAWARE

CLASS A COMMON STOCK
 SEE
REVERSE FOR
 CERTAIN DEFINITIONS
  

			
	 This Certifies that
	  	CUSIP                 

 is the owner of

FULLY PAID AND NON-ASSESSABLE SHARES OF CLASS A COMMON STOCK OF THE PAR VALUE OF $0.0001
EACH OF 
 NORTHERN STAR INVESTMENT CORP. III

transferable on the books of the Company in person or by duly authorized attorney upon surrender of this certificate properly endorsed.

 The Company will be forced to liquidate if it is unable to complete an initial business combination within the time period set forth
in the Company’s Certificate of Incorporation, as the same may be amended from time to time.
 This certificate is not valid
unless countersigned by the Transfer Agent and registered by the Registrar.
 Witness the facsimile seal of the Company and the
facsimile signatures of its duly authorized officers.
             Dated:

 
  

					
			
	  
 CHAIRMAN
	 		  	  
 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 right of survivorship	  	under Uniform Gifts to Minors Act ______________
		  	and not as tenants in common	  	
		  		  	 (State)

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

Northern Star Investment Corp. III 
 The
Company will furnish without charge to each shareholder who so requests the powers, designations, preferences, and relative, participating, optional, or other special rights of each class of stock or series thereof of the Company and the
qualifications, limitations, or restrictions of such preferences, and/or rights. This certificate and the shares represented thereby are issued and shall be held subject to all the provisions of the Certificate of Incorporation and all amendments
thereto and resolutions of the Board of Directors (copies of which may be obtained from the secretary of the Company), to all of which the holder of this certificate by acceptance hereof assents.

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 Company with full power of substitution in the
premises.
  

					
	Dated                             	  	  

		  	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 or any change whatever.

  

	
	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).

 The holder(s) of this certificate shall be entitled to receive
a pro-rata portion of the funds from the trust account only in the event that (i) the Corporation is forced to liquidate because it does not consummate an initial business combination within the
period of time set forth in the Corporation’s Amended and Restated Certificate of Incorporation, as the same may be amended from time to time (the “Charter”) or (ii) if the holder seeks to convert his shares upon consummation of,
or sell his shares in a tender offer in connection with, an initial business combination or in connection with certain amendments to the Charter. In no other circumstances shall the holder(s) have any right or interest of any kind in or to the trust
account.EX-4.3

 Exhibit 4.3
  

					
	 NUMBER
 ________-
	  	 (SEE REVERSE SIDE FOR LEGEND)

THIS WARRANT WILL BE VOID IF NOT EXERCISED PRIOR TO

THE EXPIRATION DATE (DEFINED BELOW)
	  	WARRANTS

 NORTHERN STAR INVESTMENT CORP. III

CUSIP
                                     

WARRANT
 THIS CERTIFIES THAT, for value
received
 is the registered holder of a warrant or warrants (the “Warrant(s)”) of Northern Star Investment Corp. III, a Delaware
corporation (the “Company”), expiring at 5:00 p.m., New York City time, on the five year anniversary of the Company’s completion of an initial merger, share exchange, asset acquisition, stock purchase, recapitalization,
reorganization or other similar business combination with one or more businesses or entities (a “Business Combination”), or earlier upon redemption or liquidation, to purchase one fully paid
and non-assessable share of Class A common stock, par value $0.0001 per share (“Shares”), of the Company for each whole Warrant evidenced by this Warrant Certificate. The
Warrant entitles the holder thereof to purchase from the Company, commencing on the later of (a) 12 months from the closing of the Company’s initial public offering and (b) 30 days after the Company’s completion of an initial Business
Combination, such number of Shares of the Company at the Warrant Price (as defined below), upon surrender of this Warrant Certificate and payment of the Warrant Price at the office or agency of Continental Stock Transfer & Trust Company
(the “Warrant Agent”), but only subject to the conditions set forth herein and in the Warrant Agreement between the Company and Continental Stock Transfer & Trust Company. In no event will the Company be required to net
cash settle any warrant exercise. The term “Warrant Price” as used in this Warrant Certificate refers to the price per Share at which Shares may be purchased at the time the Warrant is exercised. The initial Warrant Price per Share
is equal to $11.50 per share. The Warrant Agreement provides that upon the occurrence of certain events the Warrant Price, the Redemption Trigger Price (defined below) and the number of Shares purchasable hereunder, set forth on the face hereof,
may, subject to certain conditions, be adjusted.
 No fraction of a Share will be issued upon any exercise of a Warrant. If the holder of a
Warrant would be entitled to receive a fraction of a Share upon any exercise of a Warrant, the Company shall, upon such exercise, round up to the nearest whole number the number of Shares to be issued to such holder.

Upon any exercise of the Warrant for less than the total number of full Shares provided for herein, there shall be issued to the registered
holder hereof or the registered holder’s assignee a new Warrant Certificate covering the number of Shares for which the Warrant has not been exercised.

Warrant Certificates, when surrendered at the office or agency of the Warrant Agent by the registered holder in person or by attorney duly
authorized in writing, may be exchanged in the manner and subject to the limitations provided in the Warrant Agreement, but without payment of any service charge, for another Warrant Certificate or Warrant Certificates of like tenor and evidencing
in the aggregate a like number of Warrants.
 Upon due presentment for registration of transfer of the Warrant Certificate at the office or
agency of the Warrant Agent, a new Warrant Certificate or Warrant Certificates of like tenor and evidencing in the aggregate a like number of Warrants shall be issued to the transferee in exchange for this Warrant Certificate, subject to the
limitations provided in the Warrant Agreement, without charge except for any applicable tax or other governmental charge.
 The Company and
the Warrant Agent may deem and treat the registered holder as the absolute owner of this Warrant Certificate (notwithstanding any notation of ownership or other writing hereon made by anyone), for the purpose of any exercise hereof, of any
distribution to the registered holder, and for all other purposes, and neither the Company nor the Warrant Agent shall be affected by any notice to the contrary.

 This Warrant does not entitle the registered holder to any of the rights of a stockholder of
the Company.
 The Company reserves the right to call the Warrant at any time prior to its exercise with a notice of call in writing to the
holders of record of the Warrant, giving at least 30 days’ notice of such call (“Redemption Notice”), at any time while the Warrant is exercisable, if the last sale price of the Shares has been at least $18.00 per share (the
“$18.00 Redemption Trigger Price”) on each of 20 trading days within any 30 trading day period (the “30-day trading period”) commencing after the Warrants
become exercisable and ending on the third business day prior to the date on which notice of such call is given and if, and only if, there is a current registration statement in effect with respect to the Shares underlying the Warrants during the 30-day trading period and continuing each day thereafter until the date of redemption. The call price of the Warrants is to be $0.01 per Warrant. Any Warrant either not exercised or tendered back to
the Company by the end of the date specified in the notice of call shall be canceled on the books of the Company and have no further value except for the $0.01 call price. The Company also reserves the right to call the Warrant at any time following
90 days after the Warrant becomes exercisable, upon delivery of the Redemption Notice, if and only if the last sales price of the Shares is at least $10.00 per share (the “$10.00 Redemption Trigger Price”) on the trading day prior
to the date on which the Redemption Notice is given, all Private Warrants (as defined in the Warrant Agreement) issued by the Company are also concurrently called for redemption on the same terms as the Warrant, and there 

 
  

is a current registration statement in effect with respect to the Shares underlying the Warrants during
the 30-day trading period and continuing each day thereafter until the date of redemption. The call price of the Warrants in this instance is to be $0.10 per Warrant. Any Warrant either not exercised
or tendered back to the Company by the end of the date specified in the notice of call shall be canceled on the books of the Company and have no further value except for the $0.10 call price.

 

							
	By	 	  
	 		 	  

		 	 President
	 		 	 Secretary

  
  

SUBSCRIPTION FORM
 To Be
Executed by the Registered Holder in Order to Exercise Warrants
 The undersigned Registered Holder irrevocably elects to exercise
______________ Warrants represented by this Warrant Certificate, and to purchase the Common Stock issuable upon the exercise of such Warrants, and requests that Certificates for such shares shall be issued in the name of

 
  

	
	(PLEASE TYPE OR PRINT NAME AND ADDRESS)

  
  

(SOCIAL SECURITY OR TAX IDENTIFICATION NUMBER)

and be delivered to                 
                                     
                                         
                                         
                                 
                
                           

(PLEASE PRINT OR TYPE NAME AND ADDRESS)
  

 
 and, if such number of Warrants shall not be all the
Warrants evidenced by this Warrant Certificate, that a new Warrant Certificate for the balance of such Warrants be registered in the name of, and delivered to, the Registered Holder at the address stated below:

 

							
	Dated:	 	  
	 		 	  

		 		 		 	(SIGNATURE)

 
	
	  
 (ADDRESS)

	  

	  

	(TAX IDENTIFICATION NUMBER)

 ASSIGNMENT

To Be Executed by the Registered Holder in Order to Assign Warrants

For Value Received, _______________________ hereby sell, assign, and transfer unto
  

 

	
	(PLEASE TYPE OR PRINT NAME AND ADDRESS)

  
  

 
  
  

 
 (SOCIAL SECURITY OR TAX
IDENTIFICATION NUMBER)
 and be delivered to
                                        
                                         
                                         
                                         
                                
                 

(PLEASE PRINT OR TYPE NAME AND ADDRESS)

______________________ of the Warrants represented by this Warrant Certificate, and hereby irrevocably constitute and appoint
_________________________________ Attorney to transfer this Warrant Certificate on the books of the Company, with full power of substitution in the premises.
  

							
	Dated:	 	  
	 		 	  

		 		 		 	(SIGNATURE)

 THE SIGNATURE TO THE ASSIGNMENT OF
THE SUBSCRIPTION FORM MUST CORRESPOND TO THE NAME WRITTEN UPON THE
FACE OF THIS WARRANTCERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR
ENLARGEMENT OR ANY CHANGE WHATSOEVER, AND MUST BE GUARANTEED BY ACOMMERCIAL
BANK OR TRUST COMPANY OR A MEMBER FIRM OF THE NYSE AMERICAN, NASDAQ,
NEW YORK STOCK EXCHANGE, PACIFIC STOCKEXCHANGE, OR CHICAGO STOCK EXCHANGE.

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00320-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00320-of-00352.parquet"}], [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00320-of-00352.parquet"}]]