Document:

Exhibit 4.1

 

SEE REVERSE FOR LEGEND

 

	
  Number: A-1

  	
  CUSIP
  NO.: 27579R 203

  

 

	
  8.00% Non-Cumulative Perpetual Convertible Preferred Stock,
  Series A

  	
  200,000
  Shares

  

 

EAST WEST BANCORP, INC.

 

FACE OF SECURITY

 

This certifies that                     
is the owner of 200,000 fully paid and non-assessable shares of the 8.00%
Non-Cumulative Perpetual Convertible Preferred Stock, Series A, par value
$0.001 per share, of East West Bancorp, Inc., a Delaware corporation
(hereinafter called the “Corporation”), 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 and the
shares represented hereby are issued and shall be held subject to all the provisions
of the Certificate of Incorporation, as amended, of the Corporation and all
amendments thereto (copies of which are on file at the office of the Registrar)
to all of which the holder of this certificate by acceptance hereof assents.
This certificate is not valid until countersigned by the Registrar.

 

1

 

IN WITNESS WHEREOF, the Corporation has
caused this certificate to be executed.

 

	
   

  	
  EAST WEST
  BANCORP, INC.

  
	
   

  	
   

  
	
   

  	
   

  
	
   

  	
  By:

  	
   

  
	
   

  	
  Name:

  	
  Thomas J. Tolda

  
	
   

  	
  Title:

  	
  Executive Vice
  President and

  
	
   

  	
   

  	
  Chief Financial
  Officer

  
	
   

  	
   

  	
   

  
	
   

  	
   

  	
   

  
	
   

  	
  By:

  	
   

  
	
   

  	
  Name:

  	
  Douglas P.
  Krause

  
	
   

  	
  Title:

  	
  Executive Vice
  President, General Counsel

  
	
   

  	
   

  	
  and Corporate
  Secretary

  
				

 

 

REGISTRAR’S COUNTERSIGNATURE

 

This is one of the certificates representing
shares of the 8.00% Non-Cumulative Perpetual Convertible Preferred Stock, Series A,
referred to in the within mentioned Certificate of Designations.

 

	
   

  	
  BNY MELLON
  SHAREOWNER SERVICES,

  
	
   

  	
  as Registrar

  
	
   

  	
   

  
	
   

  	
  By:

  	
   

  
	
   

  	
  Name:

  	
  Mark Cano

  
	
   

  	
  Title:

  	
  Relationship
  Officer

  
	
   

  	
   

  	
   

  
	
   

  	
  Dated:

  	
  April 29,
  2008

  
				

 

2

 

REVERSE OF SECURITY

 

EAST WEST BANCORP, INC.

 

The shares of 8.00% Non-Cumulative Perpetual
Convertible Preferred Stock, Series A (the “Series A Preferred Stock”)
have the preferences and privileges, conversion rights, dividend rights,
liquidation preferences and such other rights and qualifications, limitations
and restrictions as provided in the Certificate of Designations relating to the
Series A Preferred Stock (the “Certificate of Designations”), in addition
to those set forth in the Certificate of Incorporation of the Corporation, as
amended, and the Corporation’s bylaws, copies of which shall be furnished by
the Corporation to any holder without charge upon the request addressed to the
Secretary of the Corporation at its principal office in Pasadena, California or
to the Registrar named on the face of this certificate.

 

The shares of Series A Preferred Stock are
convertible into shares of Common Stock at any time at the option of the
Holder, subject to certain conditions as provided in the Certificate of
Designations.  On or after May 1,
2013, the Corporation also has the right to cause some or all of the Series A
Preferred Stock to be converted into shares of Common Stock, subject to certain
conditions as provided in the Certificate of Designations.  The preceding description is qualified in its
entirety by reference to the Certificate of Designations.

 

The Corporation shall furnish to any stockholders,
upon request, and without charge, a full statement of the designations,
relative rights, preferences and limitations of the shares of each class and
series authorized to be issued so far as the same have been determined and of
the authority of the Board of Directors to divide the shares into classes or
series and to determine and change the relative rights, preferences and
limitations of any class or series. Any such request should be addressed to the
Secretary of the Corporation at its principal office in Pasadena, California,
or to the Registrar named on the face of this certificate.

 

UNLESS THIS CERTIFICATE IS PRESENTED BY AN
AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK
CORPORATION (“DTC”), TO THE CORPORATION OR THE REGISTRAR NAMED ON THE FACE OF
THIS CERTIFICATE, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE &
CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF
DTC (AND ANY PAYMENT IS MADE TO CEDE & CO., OR TO SUCH OTHER ENTITY AS
IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), ANY TRANSFER, PLEDGE OR
OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL IN AS
MUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO. HAS AN INTEREST
HEREIN.

 

TRANSFERS OF THIS GLOBAL SECURITY SHALL BE LIMITED
TO TRANSFERS IN WHOLE, BUT NOT IN PART, TO NOMINEES OF DTC OR TO A SUCCESSOR
THEREOF OR SUCH SUCCESSOR’S NOMINEE AND TRANSFERS OF PORTIONS OF THIS GLOBAL
SECURITY SHALL BE LIMITED TO TRANSFERS MADE IN ACCORDANCE WITH THE RESTRICTIONS
SET FORTH IN THE CERTIFICATE OF 

 

3

 

DESIGNATIONS. IN CONNECTION
WITH ANY TRANSFER, THE HOLDER WILL DELIVER TO THE REGISTRAR NAMED ON THE FACE
OF THIS CERTIFICATE SUCH CERTIFICATES AND OTHER INFORMATION AS SUCH REGISTRAR MAY REASONABLY
REQUIRE TO CONFIRM THAT THE TRANSFER COMPLIES WITH THE FOREGOING RESTRICTIONS.

 

4

 

NOTICE OF CONVERSION

 

(To be Executed by the Holder in order to Convert
the 8.00% Non-Cumulative Perpetual Convertible Preferred Stock, Series A)

 

The undersigned hereby irrevocably elects to convert
(the “Conversion”) 8.00%
Non-Cumulative Perpetual Convertible Preferred Stock, Series A (the “Series A
Preferred Stock”) of East West Bancorp, Inc. (hereinafter called the “Corporation”), represented by stock
certificate No(s).
[          ] (the “ Series A
Preferred Stock Certificates”), into common stock, par value $0.001 per share,
of the Corporation (the “Common Stock”) according to the conditions of the
Certificate of Designations of the Series A Preferred Stock (the “Certificate
of Designations”), as of the date written below. If Common Stock is to
be issued in the name of a person other than the undersigned, the undersigned
will pay all transfer taxes payable with respect thereto, if any, and is
delivering herewith the Series A Preferred Stock Certificates. No fee will
be charged to the holder for any conversion, except for transfer taxes, if any.
Each Series A Preferred Stock Certificate is attached hereto (or evidence
of loss, theft or destruction thereof).

 

The undersigned represents and warrants that all
offers and sales by the undersigned of the Common Stock, if any, issuable to
the undersigned upon conversion of the Series A Preferred Stock shall be
made pursuant to registration of the Common Stock under the Securities Act of
1933, as amended (the “Act”), or
pursuant to any exemption from registration under the Act.

 

Capitalized terms used but not defined herein shall
have the meanings ascribed thereto in or pursuant to the Certificate of
Designations.

 

Date of Conversion:                                                                                                                                           

 

Shares of Series A Preferred Stock to be Converted:                                                                                        

 

Shares of Common Stock to be Issued: *                                                                                                          

 

	
  Signature:

  	
   

  
	
   

  
	
  Name:

  	
   

  
			

 

Address:**                                                                                                                                                         

 

Fax No.: :                                                                                                                                                           

 

*The
Corporation is not required to issue Common Stock until the original Series A
Preferred Stock Certificate(s) (or evidence of loss, theft or destruction
thereof) to be converted are received by the Corporation or the Conversion
Agent. The Corporation shall issue and deliver Common Stock to an overnight
courier not later than three business days following receipt of the original Series A
Preferred Stock Certificate(s) to be converted.

 

**Address
where Common Stock and any other payments or certificates shall be sent by the
Corporation.

 

5

 

ASSIGNMENT

 

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
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 Whatever.

  

 

SIGNATURE GUARANTEED

 

	
   

  	
   

  
	
  (Signature Must Be
  Guaranteed by a Member

  	
   

  
	
  of a Medallion Signature
  Program)

  	
   

  
			

 

6Exhibit 10.1

 

Enterprise Informatics Inc.

10052 Mesa Ridge Court

Suite 100

San Diego, CA 92121

 

April 29, 2008

 

ERP2 Holdings, LLC

c/o Richard Shorten

694 Weed Street

New Canaan, CT 06840

 

Gentlemen:

 

                Reference is made
to the Secured Promissory Note (the “Note”), in the original principal amount
of up to $1,500,000, issued on January 31, 2008 by Enterprise Informatics
Inc., a California corporation (“Borrower”), in favor of ERP2 Holdings, LLC, a
Delaware limited liability company (“Lender”). 
Borrower and Lender hereby amend Section 8(f) of the Note to
delete “April 30, 2008” and to insert in place of such date “May 14,
2008.”  In all other respects, the Note
shall remain in full force and effect in its original form.

 

                Please confirm
that the above correctly reflects our understanding and agreement with respect
to the foregoing matters by signing a copy of this letter and returning such
copy to Borrower.

 

	
   

  	
  Very truly yours,

  
	
   

  	
   

  	
   

  
	
   

  	
  ENTERPRISE INFORMATICS INC.

  
	
   

  	
   

  	
   

  
	
   

  	
  By: 

  	
  /s/ John W. Low

  
	
   

  	
   

  	
  John W. Low

  
	
   

  	
   

  	
  Chief Financial Officer

  

 

Agreed and Accepted:

 

ERP2 HOLDINGS, LLC

 

	
  By: 

  	
  /s/ Kevin Wyman

  	
   

  
	
   

  	
  Kevin Wyman

  
	
   

  	
  Majority Manager

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