Document:

EX-4.2

 

EXHIBIT 4.2

[Legend for Initial Shares:

THE
SECURITIES EVIDENCED BY THIS COMMON STOCK CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES
ACT OF 1933, AS AMENDED (“SECURITIES ACT”). NO TRANSFER, SALE OR OTHER DISPOSITION OF
THESE SECURITIES MAY BE MADE UNLESS A REGISTRATION STATEMENT WITH RESPECT TO THESE SECURITIES HAS
BECOME EFFECTIVE UNDER THE SECURITIES ACT, OR THE CORPORATION HAS BEEN FURNISHED WITH AN OPINION OF
COUNSEL SATISFACTORY TO THE CORPORATION THAT SUCH REGISTRATION IS NOT REQUIRED.

THE SECURITIES REPRESENTED BY THIS COMMON STOCK CERTIFICATE ARE SUBJECT TO ADDITIONAL RESTRICTIONS
ON TRANSFER AND OTHER AGREEMENTS SET FORTH IN (I) THE LETTER AGREEMENT DATED AS OF
        , BY AND BETWEEN THE HOLDER, THE CORPORATION AND BANC OF AMERICA SECURITIES LLC AND (II) THE
STOCK ESCROW AGREEMENT DATED AS OF      , BY AND BETWEEN THE HOLDER, THE CORPORATION
AND THE ESCROW AGENT. COPIES OF SUCH AGREEMENTS MAY BE OBTAINED BY THE HOLDER HEREOF AT THE
CORPORATION’S PRINCIPAL PLACE OF BUSINESS WITHOUT CHARGE.]

			
	
	 	 
	No. [•]
	 	[•] SHARES
	CUSIP No.: [30247L 103]	 	 

FIG ACQUISITION CORP.

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE

COMMON STOCK

SEE REVERSE FOR CERTAIN DEFINITIONS

THIS CERTIFIES THAT [•] IS THE OWNER OF [•] FULLY PAID AND NON-ASSESSABLE SHARES OF

THE PAR VALUE OF $0.0001 EACH OF THE COMMON STOCK OF

FIG ACQUISITION CORP.

TRANSFERABLE ON THE BOOKS OF THE CORPORATION IN PERSON OR BY DULY AUTHORIZED ATTORNEY UPON
SURRENDER OF THIS CERTIFICATE PROPERLY ENDORSED. THIS CERTIFICATE IS NOT VALID UNLESS COUNTERSIGNED
BY THE TRANSFER AGENT AND REGISTERED BY THE REGISTRAR. WITNESS THE SEAL OF THE CORPORATION AND THE
FACSIMILE SIGNATURES OF ITS DULY AUTHORIZED OFFICERS.

DATED:

	 	 	 	 	 
	By:

	 	 	 	 
	 

	 	 	 	 
	 

	 	Chief Executive Officer	 	 
	 
	 	 	 	 
	By:
	 	 	 	 
	 

	 	 	 	 
	 

	 	Transfer 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                     
	TEN ENT

	 	-
	 	as tenants by the entireties
	 	 	 	(Cust)               
                    (Minor)
	JT TEN

	 	-
	 	as joint tenants with right
of survivorship and not as
tenants in common
	 	 	 	under Uniform Gifts
to Minors Act
	 

	 	 	 	 	 	 	 	(State)          

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

2

 

FIG ACQUISITION CORP.

     FIG Acquisition Corp. (the “Corporation”) will furnish without charge to each stockholder 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 Corporation 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 Corporation’s
Certificate of Incorporation and all amendments thereto and resolutions of the Board of Directors
providing for the issue of shares of the Corporation’s Common Stock (copies of which may be
obtained from the Corporation), to all of which the holder of this certificate by acceptance hereof
assents.

     FOR VALUE RECEIVED,                      HEREBY
SELL(S), ASSIGN(S) AND TRANSFER(S) UNTO                                     

	 	 	 
	 

	 	 
	 
	 	 
	(PLEASE PRINT NAME AND ADDRESS

	 	(PLEASE INSERT SOCIAL SECURITY OR
	INCLUDING ZIP CODE OF ASSIGNEE)

	 	OTHER IDENTIFYING NUMBER OF ASSIGNEE)

                                        
SHARES OF THE CAPITAL STOCK REPRESENTED BY THE WITHIN CERTIFICATE, AND DO(ES) 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:
	 	 	 	 	 	 
	 

	 	 
	 	 	 	 
	 

	 	 	 	 	 	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
whatsoever.
	 
	 	 	 	 	 	 
	Signature(s) Guaranteed:	 	 
	 
	 	 	 	 	 	 
	 	 	 
	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).	 	 

     [The holder of this certificate shall be entitled to receive funds from the trust account only
in the event of the Corporation’s liquidation upon failure to consummate a business combination or
if the holder seeks to convert his respective shares into cash upon a business combination which he
voted against and which is actually completed by the Corporation. In no other circumstances shall
the holder have any right or interest of any kind in or to the trust account.]1

 

			
	1	 	To be included only in Common Stock Certificates
representing shares of Common Stock issued and sold in the Corporation’s
initial public offering.

3EX-4.3

 

EXHIBIT 4.3

SUBJECT TO THE TERMS SET FORTH HEREIN, THIS WARRANT CERTIFICATE (I) CANNOT BE TRANSFERRED OR
EXCHANGED UNTIL FIVE TRADING DAYS AFTER THE EARLIER TO OCCUR OF THE TERMINATION OF THE
UNDERWRITERS’ OVER-ALLOTMENT OPTION TO PURCHASE UP TO 3,750,000 ADDITIONAL UNITS TO COVER
OVER-ALLOTMENTS OR THE EXERCISE IN FULL BY THE UNDERWRITERS OF SUCH OPTION (THE “DETACHMENT
DATE”) UNLESS INCLUDED WITH A SHARE OF COMMON STOCK OF FIG ACQUISITION CORP. AS PART OF A UNIT
AND (II) CANNOT BE EXERCISED IN WHOLE OR IN PART UNTIL THE LATER OF THE COMPANY’S CONSUMMATION OF A
BUSINESS COMBINATION AND [•], 2009.

EXERCISABLE ONLY IF COUNTERSIGNED BY THE WARRANT

AGENT AS PROVIDED HEREIN.

Warrant Certificate

evidencing

Warrants to Purchase Common Stock, par value $0.0001, as described herein.

FIG ACQUISITION CORP.

			
	
	 	 
	No. [•]
	 	CUSIP No. [30247L 111]

VOID AFTER 5:00 P.M., NEW YORK CITY TIME, ON [•], 2013,

OR UPON EARLIER REDEMPTION (IF APPLICABLE)

     This certifies that CEDE & CO., or its registered assigns, is the registered holder of [•]
warrants to purchase certain securities (each a “Warrant”). Each Warrant entitles the
holder thereof, subject to the provisions contained herein and in the Warrant Agreement (as defined
below), to purchase from FIG Acquisition Corp., a Delaware corporation (the “Company”), one
share of the Company’s Common Stock (each a “Share”), at the Exercise Price set forth
below. The exercise price of each Warrant (the “Exercise Price”) shall be $7.50 initially,
subject to adjustments as set forth in the Warrant Agreement.

     Subject to the terms of the Warrant Agreement (as defined below), each Warrant evidenced
hereby may be exercised in whole, but not in part, at any time, as specified herein, on any
Business Day (as defined below) occurring during the period (the “Exercise Period”)
commencing on the later of the Company’s consummation of a Business Combination (as defined below)
and [•], 2009 and ending at 5:00 P.M., New York City time, on the earlier to occur of [•], 2013 or
the Redemption Date, if applicable (the “Expiration Date”). Each Warrant remaining
unexercised after 5:00 P.M., New York City time on the Expiration Date shall become void, and all
rights of the holder of this Warrant Certificate evidencing such Warrant shall cease.

     The holder of the Warrants represented by this Warrant Certificate may exercise any Warrant
evidenced hereby by delivering, not later than 5:00 P.M., New York City time, on any Business Day
during the Exercise Period (the “Exercise Date”) to American Stock Transfer & Trust Company
(the “Warrant Agent”, which term includes any successor warrant agent under the Warrant
Agreement described below) at its corporate trust department at 59 Maiden Lane, New York NY 10038,
(i) this Warrant Certificate, (ii) an election to purchase (“Election to Purchase”),
properly executed by the holder hereof (the “Participant”) on the reverse of this Warrant
Certificate substantially in the form included on the reverse of this Warrant, as applicable, and
(iii) the Exercise Price for each Warrant to be exercised in lawful money of the United States of
America by certified or official bank check or by bank wire transfer in immediately available
funds; provided, however, if the Company elects to redeem the Warrants

 

 

and requires all Warrants that are exercised prior to redemption to be settled on a cashless
basis, in lieu of payment of the Exercise Price in cash, the holders thereof shall surrender their
Warrants for that number of Shares equal to the quotient obtained by dividing (x) the product of
the number of Shares underlying the tendered Warrants multiplied by the difference between the Fair
Market Value (defined below) and the Exercise Price by (y) the Fair Market Value. For avoidance of
doubt, in no event may a registered holder expect or compel the Company to deliver any
consideration under a Warrant other than Shares as described immediately above in this situation.
“Fair Market Value” shall mean the average reported closing price of the Common Stock for
the ten trading days ending on the third trading day prior to the date on which the Redemption
Notice (as defined below) is sent to the holders of Warrants. If any of (a) this Warrant
Certificate, (b) the Election to Purchase, or (c) the Exercise Price therefor or surrendered
Warrants, is received by the Warrant Agent after 5:00 P.M., New York City time, the Warrants will
be deemed to be received and exercised on the Business Day next succeeding the date such items are
received and such date shall be the Exercise Date for purposes hereof. If the date such items are
received is not a Business Day, the Warrants will be deemed to be received and exercised on the
next succeeding day which is a Business Day and such date shall be the Exercise Date. If the
Warrants to be exercised are received or deemed to be received after the Expiration Date, the
exercise thereof will be null and void and any funds delivered to the Warrant Agent will be
returned to the holder as soon as practicable. In no event will interest accrue on funds deposited
with the Warrant Agent in respect of an exercise or attempted exercise of Warrants. The validity
of any exercise of Warrants will be determined by the Warrant Agent in its sole discretion and such
determination will be final and binding upon the holder of the Warrants and the Company. Neither
the Warrant Agent nor the Company shall have any obligation to inform a holder of Warrants of the
invalidity of any exercise of Warrants.

     As used herein, the term “Business Day” means any day that is not a Saturday or Sunday
and is not a United States federal holiday or a day on which banking institutions generally are
authorized or obligated by law or regulation to close in New York City.

     As used herein, the term "Business Combination” shall mean the initial acquisition by
the Company of one or more businesses, or a portion or such business or businesses, through a
merger, capital stock exchange, stock purchase, asset acquisition or other similar business
combination whose fair market value (as calculated in accordance with the Company’s Certificate of
Incorporation, as the same may be amended from time to time), individually or in the aggregate, is
equal to at least 80% of the balance in the trust account established by the Company at the
completion of its initial public offering (excluding the Underwriters’ (as defined in the Warrant
Agreement) deferred discounts and commissions and taxes payable) at the time of such acquisition.

     Warrants may be exercised only in whole numbers of Warrants. No fractional shares of Common
Stock are to be issued upon the exercise of any Warrant, but rather the number of shares of Common
Stock to be issued shall be rounded up to the nearest whole number. If fewer than all of the
Warrants evidenced by this Warrant Certificate are exercised, a new Warrant Certificate for the
number of Warrants remaining unexercised shall be executed by the Company and countersigned by the
Warrant Agent as provided in Section 2 of the Warrant Agreement (as defined below), and delivered
to the holder of this Warrant Certificate at the address specified on the books of the Warrant
Agent or as otherwise specified by such registered holder.

     Notwithstanding the foregoing, the Company shall not be obligated to deliver any Shares
pursuant to the exercise of a Warrant and shall have no obligation to settle a Warrant exercise
unless a registration statement under the Securities Act of 1933, as amended (the “Securities
Act”), covering the Shares issuable upon exercise of the Warrants is effective and a current
prospectus is on file with the Commission. In the event that a registration statement with respect
to the Shares issuable upon exercisable of the Warrants is not effective under the Securities Act
or a current prospectus is not on file with the Commission, the holder of such Warrant shall not be
entitled to exercise such Warrant. Notwithstanding anything to the contrary in the Warrant
Agreement and this Warrant Certificate, under no circumstances will the Company be required to net
cash settle a Warrant exercise. Warrants may not be exercised by, or Shares issued to, any
registered holder in any state in which such exercise or issuance would be unlawful. For the
avoidance of doubt, as a result of Section 3(c)(iii) of the Warrant Agreement and the foregoing,
any or all of the Warrants may expire unexercised.

     This Warrant Certificate is issued under and in accordance with the Warrant Agreement, dated
as of [•], 2008 (the “Warrant Agreement”), between the Company and the Warrant Agent and is
subject to the terms and provisions contained in the Warrant Agreement, to all of which terms and
provisions the holder of this Warrant

 

 

Certificate and the beneficial owners of the Warrants represented by this Warrant Certificate
consent by acceptance hereof. Copies of the Warrant Agreement are on file and can be inspected at
the above-mentioned office of the Warrant Agent and at the office of the Company at 787 Seventh
Avenue, New York, NY 10019.

     At any time during the Exercise Period, the Company may, at its option, redeem all (but not
part) of the then outstanding Warrants (other than the Private Placement Warrants and the Initial
Warrants as defined in the Warrant Agreement) upon giving notice in accordance with the terms of
the Warrant Agreement (the “Redemption Notice”), at the price of $0.01 per Warrant (the
“Redemption Price”); provided, that (i) the closing price of the Common Stock on
the American Stock Exchange, or other principal market on which the Common Stock may be traded,
equals or exceeds $14.25 per share (subject to adjustment as provided in the Warrant Agreement) for
any 20 trading days within a 30-trading-day period ending three business days prior to the date on
which the Redemption Notice is given, (ii) a registration statement under the Securities Act
covering the shares of Common Stock issuable upon exercise of the Warrants is effective and
expected to remain effective from the date the Company sends the Redemption Notice to and including
the Redemption Date (as defined below), and (iii) a current prospectus relating to the shares of
Common Stock issuable upon exercise of the Warrants is available for use to and including the
Redemption Date. In the event the Company shall elect to redeem all of the then outstanding
Warrants, the Company shall fix a date for such redemption (the “Redemption Date”);
provided, that such date shall occur prior to the expiration of the Exercise Period. The
Warrants may be exercised in accordance with the terms of the Warrant Agreement at any time after a
Redemption Notice shall have been given by the Company; provided, however, that no
Warrants may be exercised subsequent to the expiration of the Exercise Period; and provided
further, that all rights whatsoever with respect to the Warrants shall cease on the
Redemption Date, other than to the right to receive the Redemption Price. If the Company elects to
redeem the Warrants, it will have the option to require all holders that wish to exercise such
Warrants to do so on a “cashless basis.” In such event, the holders shall, in lieu of payment of
the Exercise Price, surrender their Warrants for that number of Shares equal to the quotient
obtained by dividing (x) the product of the number of Shares underlying the tendered Warrants
multiplied by the difference between the Fair Market Value and the Exercise Price by (y) the Fair
Market Value. For avoidance of doubt, in no event may a registered holder expect or compel the
Company to deliver any consideration under a Warrant other than Shares as described immediately
above.

     The accrual of dividends, if any, on the Shares issued upon the valid exercise of any Warrant
will be governed by the terms generally applicable to such Shares. From and after the issuance of
such Shares, the former holder of the Warrants exercised will be entitled to the benefits generally
available to other holders of Shares and such former holder’s right to receive payments of
dividends and any other amounts payable in respect of the Shares shall be governed by, and shall be
subject to, the terms and provisions generally applicable to such Shares.

     The Exercise Price and the number of Shares purchasable upon the exercise of each Warrant
shall be subject to adjustment as provided pursuant to Section 4 of the Warrant Agreement.

     Prior to the Detachment Date, the Warrants represented by this Warrant Certificate may be
exchanged or transferred only together with the Shares to which such Warrant is attached (together,
a “Unit”), and only for the purpose of effecting, or in conjunction with, an exchange or
transfer of such Unit. Additionally, prior to the Detachment Date, each transfer of such Unit on
the register of the Units shall operate also to transfer the Warrants included in such Units. From
and after the Detachment Date, the above provisions shall be of no further force and effect. Upon
due presentment for registration of transfer or exchange of this Warrant Certificate at the stock
transfer division of the Warrant Agent, the Company shall execute, and the Warrant Agent shall
countersign and deliver, as provided in Section 5 of the Warrant Agreement, in the name of the
designated transferee one or more new Warrant Certificates of any authorized denomination
evidencing in the aggregate a like number of unexercised Warrants, subject to the limitations
provided in the Warrant Agreement.

     Neither this Warrant Certificate nor the Warrants evidenced hereby shall entitle the holder
hereof or thereof to any of the rights of a holder of the Shares, including, without limitation,
the right to receive dividends, if any, or payments upon the liquidation or winding up of the
Company or to exercise voting rights, if any.

     The Warrant Agreement and this Warrant Certificate may be amended as provided in the Warrant
Agreement including, under certain circumstances described therein, without the consent of the
holder of this Warrant Certificate or the Warrants evidenced hereby.

 

 

     THIS WARRANT CERTIFICATE AND ALL RIGHTS HEREUNDER AND UNDER THE WARRANT AGREEMENT SHALL BE
GOVERNED BY AND INTERPRETED AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK
APPLICABLE TO CONTRACTS FORMED AND TO BE PERFORMED ENTIRELY WITHIN THE STATE OF NEW YORK, WITHOUT
REGARD TO THE CONFLICTS OF LAW PROVISIONS THEREOF TO THE EXTENT SUCH PRINCIPLES OR RULES WOULD
REQUIRE OR PERMIT THE APPLICATION OF THE LAWS OF ANOTHER JURISDICTION.

     This Warrant Certificate shall not be entitled to any benefit under the Warrant Agreement or
be valid or obligatory for any purpose, and no Warrant evidenced hereby may be exercised, unless
this Warrant Certificate has been countersigned by the manual or facsimile signature of the Warrant
Agent.

     IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed.

Dated as of [•], 2008

	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	FIG Acquisition Corp.
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	By:	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	Authorized Officer	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	American Stock Transfer & Trust Company,	 	 	 	 	 	 	 	 
	     as Warrant Agent	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	By:
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 
	 

	 	Authorized Officer	 	 	 	 	 	 	 	 

 

 

[REVERSE]

Instructions for Exercise of Warrant

     To exercise the Warrants evidenced hereby, the holder or Participant must, by 5:00 P.M., New
York City time, on the specified Exercise Date, deliver to the Warrant Agent at the office of the
Warrant Agent, or at the office of its successor as Warrant Agent, in the Borough of Manhattan,
City of New York cash, a certified or official bank check or a wire transfer in immediately
available funds, in each case payable to the Warrant Agent at Account No.                     , in an amount
equal to the Exercise Price in full for the Warrants exercised; provided, however,
that, if the Company elects to redeem the Warrants and requires all Warrants that are exercised
prior to redemption to be settled on a cashless basis, the holder (in lieu of payment of the
Exercise Price for the Warrants) shall, in lieu of payment of the Exercise Price for the Warrants,
surrender its Warrants for that number of shares of Common Stock equal to the quotient obtained by
dividing (x) the product of the number of shares of Common Stock underlying the surrendered
Warrants, multiplied by the difference between the Fair Market Value and the Exercise Price by (y)
the Fair Market Value. In addition, the Warrant holder or Participant must provide the information
required below and deliver this Warrant Certificate to the Warrant Agent at the address set forth
below. The Warrant Certificate and this Election to Purchase must be received by the Warrant Agent
by 5:00 P.M., New York time, on the specified Exercise Date.

ELECTION TO PURCHASE

TO BE EXECUTED IF WARRANT HOLDER DESIRES

TO EXERCISE THE WARRANTS EVIDENCED HEREBY

     The undersigned hereby irrevocably elects to exercise, on                     ,       (the “Exercise
Date”),                      Warrants, evidenced by this Warrant Certificate, to purchase,
                     of the shares of Common Stock (each a “Share”) of FIG Acquisition Corp.,
a Delaware corporation (the “Company”), and represents that, on or before the Exercise
Date, such holder has tendered payment for such Shares by cash, certified or official bank check or
bank wire transfer in immediately available funds to the order of the Company c/o American Stock
Transfer & Trust Company, 59 Maiden Lane, New York, New York 10038, in the amount of $                    
in accordance with the terms hereof or, if the Company elects to redeem the Warrants and requires
all Warrants that are exercised prior to redemption to be settled on a cashless basis, the holder
(in lieu of payment of the Exercise Price for the Warrants) has surrendered Warrants for that
number of Shares equal to the quotient obtained by dividing (x) the product of the number of Shares
underlying the tendered Warrants multiplied by the difference between the Fair Market Value and the
Exercise Price by (y) the Fair Market Value in accordance with the terms hereof. The undersigned
requests that said number of Shares be in fully registered form, registered in such names and
delivered, all as specified in accordance with the instructions set
forth in the following page.

     If said number of Shares is less than all of the Shares purchasable hereunder, the undersigned
requests that a new Warrant Certificate evidencing the remaining balance of the Warrants evidenced
hereby be issued and delivered to the holder of the Warrant Certificate unless otherwise specified
in the instructions below.

[REMAINDER OF THIS PAGE IS INTENTIONALLY LEFT BLANK]

 

 

Dated:                         ,      

	 	 	 	 	 	 	 	 	 	 	 
	Name:	 	 	 	 	 	(Please Print)
	 
	 	 	 	 	 	 	 	 	 	 
	/ / / / - / / /- / / / / /	 	 	 	 	 	 
	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	(Insert Social Security	 	 	 	 	 	 
	or Other Identifying	 	 	 	 	 	 
	Number of Holder)	 	 	 	Address	 	 
	 

	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	Signature	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 

     This Warrant may only be exercised by presentation to the Warrant Agent at one of the
following locations:

	 	 	 	 	 
	 

	 	By hand at:
	 	American Stock Transfer & Trust Company
	 

	 	 	 	59 Maiden Lane
	 

	 	 	 	New York, New York 10038
	 

	 	 	 	Attn: [•]
	 
	 	 	 	 
	 

	 	By mail at:
	 	American Stock Transfer & Trust Company
	 

	 	 	 	59 Maiden Lane
	 

	 	 	 	New York, New York 10038
	 

	 	 	 	Attn: [•]

     The method of delivery of this Warrant Certificate is at the option and risk of the exercising
holder and the delivery of this Warrant Certificate will be deemed to be made only when actually
received by the Warrant Agent. If delivery is by mail, registered mail with return receipt
requested, properly insured, is recommended. In all cases, sufficient time should be allowed to
assure timely delivery.

(Instructions as to form and delivery of Shares and/or Warrant Certificates)

	 	 	 	 	 	 	 
	Name in which Shares
are to be registered if other than
in the name of the registered holder
of this Warrant Certificate:
	 	 	 	 	 	 
	 

	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	Address to which Shares
are to be mailed if other than to the
address of the registered holder of
this Warrant Certificate as shown on
the books of the Warrant Agent:
	 	 	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	 	 	(Street Address)
	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	 	 	(City and State) (Zip Code)	 	 
	 
	 	 	 	 	 	 
	Name in which Warrant Certificate
evidencing unexercised Warrants, if any,
are to be registered if other than in the
name of the registered holder of this
Warrant Certificate:
	 	 	 	 	 	 
	 

	 	 	 	 	 	 

 

 

	 	 	 	 	 	 	 
	Address to which certificate representing
unexercised Warrants, if any, are to be
mailed if other than to the address of
the registered holder of this Warrant
Certificate as shown on the books of
the Warrant Agent:
	 	 	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	 	 	(Street Address)	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	 	 	 
	 

	 	 	 	(City and State) (Zip Code)	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	Dated:	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	 

	 	 	 	Signature	 	 
	 
	 	 	 	 	 	 
	 	 	 	 	Signature must conform in all respects to the name of
the holder as specified on the face of this Warrant
Certificate. If Shares, or a Warrant Certificate
evidencing unexercised Warrants, are to be issued in
a name other than that of the registered holder
hereof or are to be delivered to an address other
than the address of such holder as shown on the books
of the Warrant Agent, the above signature must be
guaranteed by an Eligible Guarantor Institution (as
that term is defined in Rule 17Ad-15 of the
Securities Exchange Act of 1934, as amended).

SIGNATURE GUARANTEE

	 	 	 	 	 	 	 	 	 	 	 
	Name of Firm	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 
	Address
	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	Area Code and Number	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	Authorized Signature	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	Name
	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	Title
	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	Dated:

	 	 	 	 	 	 	 	, 20     	 	 
	 	 	 	 	 	 	 

 

 

ASSIGNMENT

(FORM OF ASSIGNMENT TO BE EXECUTED IF WARRANT HOLDER

DESIRES TO TRANSFER WARRANTS EVIDENCED HEREBY)

     FOR VALUE RECEIVED,                      hereby sell(s), assign(s) and Transfer(s) unto  
                                        
                                    
      

	 	 	 
	 

	 	 
	 
	 	 
	(Please print name and address

	 	(Please insert social security or
	including zip code of assignee)

	 	other identifying number of assignee)

the rights represented by the within Warrant Certificate and do(es) hereby irrevocably constitute
and appoint                      Attorney to transfer said Warrant Certificate on the books of the Warrant
Agent with full power of substitution in the premises.

	 	 	 
	Dated:
	 	 
	 

	 	 
	 

	 	Signature
	 

	 	(Signature must conform in all respects to the name
of the holder as specified on the face of this
Warrant Certificate and must bear a signature
guarantee by an Eligible Guarantor Institution (as
that term is defined in Rule 17Ad-15 of the
Securities Exchange Act of 1934, as amended).

SIGNATURE GUARANTEE

	 	 	 	 	 	 	 	 	 	 	 
	Name of Firm	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 
	Address
	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	Area Code and Number	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	Authorized Signature	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 
	Name
	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	Title
	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 
	Dated:

	 	 	 	 	 	 	 	, 20

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00136-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00136-of-00352.parquet"}]]