Document:

EXHIBIT 4.1

 

Exhibit 4.1

[Front of common stock
certificate]

	COMMON STOCK            COMMON STOCK

	PAR VALUE $.01 THIS CERTIFICATE IS TRANSFERABLE
IN NEW YORK, NY OR CHICAGO, IL
——  —

Shares
** XXXXXX ******
Certificate *** XXXXXX *****
Number            AGERE SYSTEMS INC. **** XXXXXX ****
INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE ***** XXXXXX ***
XXXXXXX ****** XXXXXX **
——  —

	XXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXX
THIS CERTIFIES THAT

	SEE REVERSE FOR CERTAIN DEFINITIONS
is the owner of * * * XXXXXXXXXXXXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXX * * *

	FULLY-PAID AND NON-ASSESSABLE SHARES OF COMMON STOCK, PAR VALUE $.01, OF

	Agere Systems Inc., 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 a Transfer Agent and registered by a Registrar.

	Witness the seal of the corporation and the signatures of its duly authorized officers.

	[GRAPHIC OMITTED][GRAPHIC OMITTED] DATED Month, Day, Year
/s/
COUNTERSIGNED AND REGISTERED
COMPUTERSHARE INVESTOR SERVICES, LLC.
President (CHICAGO)
/s/ TRANSFER AGENT AND REGISTRAR,

	Treasurer            By___
Authorized Signature

 

 

[Back of common stock
certificate]

AGERE SYSTEMS INC.

THE CORPORATION WILL FURNISH WITHOUT CHARGE TO EACH STOCKHOLDER 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 CORPORATION AND THE QUALIFICATIONS, LIMITATIONS OR
RESTRICTIONS OF SUCH PREFERENCES AND/OR RIGHTS. SUCH REQUEST MAY BE MADE TO THE TRANSFER AGENT.

	 
	THIS CERTIFICATE ALSO EVIDENCES AND ENTITLES THE HOLDER HEREOF TO CERTAIN RIGHTS AS SET FORTH IN A
RIGHTS AGREEMENT BETWEEN AGERE SYSTEMS INC. AND COMPUTERSHARE INVESTOR SERVICES, LLC, DATED AS OF
MARCH 26, 2001, AS AMENDED FROM TIME TO TIME (THE “RIGHTS AGREEMENT”), THE TERMS OF WHICH ARE
HEREBY INCORPORATED HEREIN BY REFERENCE AND A COPY OF WHICH IS ON FILE AT THE PRINCIPAL EXECUTIVE
OFFICES OF AGERE SYSTEMS INC. UNDER CERTAIN CIRCUMSTANCES, AS SET FORTH IN THE RIGHTS AGREEMENT,
SUCH RIGHTS WILL BE EVIDENCED BY SEPARATE CERTIFICATES AND WILL NO LONGER BE EVIDENCED BY THIS
CERTIFICATE. AGERE SYSTEMS INC. WILL MAIL TO THE HOLDER OF THIS CERTIFICATE A COPY OF THE RIGHTS
AGREEMENT WITHOUT CHARGE AFTER RECEIPT OF A WRITTEN REQUEST THEREFOR. UNDER CERTAIN CIRCUMSTANCES,
AS SET FORTH IN THE RIGHTS AGREEMENT, RIGHTS OWNED BY OR TRANSFERRED TO ANY PERSON WHO IS OR
BECOMES AN ACQUIRING PERSON (AS DEFINED IN THE RIGHTS AGREEMENT) AND CERTAIN TRANSFEREES THEREOF
WILL BECOME NULL AND VOID AND WILL NO LONGER BE TRANSFERABLE.

	 	 	 	 	 	 	 	 	 
	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:
	 
	 	 	 	 	 	 	 	 
	 	 	 	 	UNIF GIFT MIN ACT-.
.. . . . . . . . . . .Custodian . . . . . . . . . . . . . . . . . . .
	

	 	 	 	 	 	                       (Cust)
	 	(Minor)
	TEN COM -	 	as tenants in common	 	 	 	under Uniform Gifts
to Minors Act . . . . . . . . . . . . . . . . .
	 	 	 	 	 	 	 	          (State) 
	TEN ENT -

	 	as tenants by the entireties
	 	 	 	 	 	     
	 	 	 	 	UNIF TRF MIN ACT-. . . . . . . . . Custodian (until age. . .). . . . . . . . .. . .
	

	 	 	 	 	 	                  (Cust)
	 	                (Minor)
	JT TEN -	 	as joint tenants with right of survivorship
and not as tenants in common	 	 	 	under Uniform
Transfers to Minors Act . . . . . . . . . . . . . .

                
                
                
                
          (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 POSTAL ZIP CODE, OF ASSIGNEE)
	 
	 	 
	 
	 
	 	 
	 

                                                                                                                                                                                     Shares

of the common 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:                                                              20                                    Signature:                                                             

	 	 	 	 	 	 	 	 	 
	Signature(s) Guaranteed:	 	 	 	 	 	 
	BY:

	 	 	 	Signature:	 	 	 	 
	 	 	 	 	 	 	 
	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.	 	 	 	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.EXHIBIT 4.2

 

Exhibit 4.2

FIRST AMENDMENT TO RIGHTS AGREEMENT

     This First Amendment to Rights Agreement (this “Amendment”), dated as of April 1, 2005, by and
between AGERE SYSTEMS INC., a Delaware corporation (the “Company”) and THE BANK OF NEW YORK
(“BNY”), amends the Rights Agreement, dated as of March 26, 2001, by and between the Company and
BNY (the “Rights Agreement”).

W I T N E S S E T H

     WHEREAS, the Company and BNY previously entered into the Rights Agreement, pursuant to which
the BNY was appointed to serve as the Rights Agent under the Rights Agreement; and

     WHEREAS, the Company desires to amend the Rights Agreement in certain respects; and

     WHEREAS, BNY desires to resign as Rights Agent under the Rights Agreement.

     NOW, THEREFORE, in consideration of the premises and mutual agreements herein set forth, the
parties hereby agree as follows:

     Section 1. Amendment of Rights Agreement. Section 21 of the Rights Agreement is
hereby amended, effective as of the date hereof, by deleting the sentence that begins on line one
of page 43 with “Any successor Rights Agent...” and ends on line 12 of page 43 with “...combined
capital and surplus of at least $50 million.” and replacing such sentence with the following
sentence:

“Any successor Rights Agent, whether appointed by the Company or by such a court,
shall be: (a) a corporation, limited liability company or trust company (or similar
form of entity under the laws of any state of the United States or a foreign
jurisdiction) authorized to conduct business under the laws of the United States or
any state of the United States, which is authorized under such laws to exercise
corporate trust, fiduciary or stockholder services powers and is subject supervision
or examination by a federal or state authority and which has at the time of its
appointment as Rights Agent a combined capital and surplus of at least $25,000,000;
or (b) an Affiliate controlled by a corporation, limited liability company or entity
described in clause (a) of this sentence.”

     Section 2. Resignation of Rights Agent. BNY hereby resigns, effective at 12:01 a.m.,
April 4, 2005, as Rights Agent under the Rights Agreement and the Company hereby accepts such
resignation.

     Section 3. Waiver of Prior Written Notice. The Company and BNY each waive any
requirements of prior written notice of a change of the Rights Agent under the Rights Agreement.

     Section 4. Status of Amendment. The Company confirms that (a) no person has become an
Acquiring Person (as defined in the Rights Agreement) and thus no approval of this

 

 

Amendment by any holder of Rights (as defined in the Rights Agreement) is required under
Section 27 of the Rights Agreement; and (b) the Distribution Date (as defined in the Rights
Agreement) has not occurred and thus no notice of the change of Rights Agent is required to be sent
to the holders of Rights Certificates (as defined in the Rights Agreement) under Section 21 of the
Rights Agreement.

     Section 4. Rights Agreement as Amended. The term “Agreement” as used in the Rights
Agreement shall be deemed to refer to the Rights Agreement as amended hereby. Except as set forth
herein, the Rights Agreement shall remain in full force and effect and otherwise shall be
unaffected hereby.

     Section 5. Execution in Counterparts. This Amendment may be executed in any number of
counterparts and each of such counterparts shall for all purposes deemed to be an original, and all
such counterparts shall together constitute one and the same instrument.

     IN WITNESS WHEREOF, each of the parties hereto have caused this First Amendment to Rights
Agreement to be duly executed by the authorized officer named below to be effective as of the date
hereof.

	 	 	 	 	 
	 	AGERE SYSTEMS INC.

 	 
	 	By /s/ John W. Gamble, Jr.
 	 
	 	Its EVP and CFO 	 
	 	 	 
	 

	 	 	 	 	 
	 	THE BANK OF NEW YORK

 	 
	 	By /s/ James Kiszka
 	 
	 	Its Vice President 	 
	 	 	 
	 

- 2 -EXHIBIT 4.3

 

Exhibit 4.3

SECOND AMENDMENT TO RIGHTS AGREEMENT

     This Second Amendment to Rights Agreement (this “Amendment”), dated as of April 4, 2005, by
and between AGERE SYSTEMS INC., a Delaware corporation (the “Company”) and COMPUTERSHARE INVESTOR
SERVICES, LLC, a Delaware limited liability company (“Computershare”), amends the Rights Agreement,
dated as of March 26, 2001, by and between the Company and The Bank of New York (“BNY”), as amended
by the First Amendment to Rights Agreement (the “First Amendment”), dated as of April 1, 2005, by
and between the Company and BNY (such rights agreement, as so amended, the “Rights Agreement”).

W I T N E S S E T H

     WHEREAS, BNY has resigned as Rights Agent under the Rights Agreement and the Company desires
to appoint Computershare as successor to BNY as Rights Agent under the Rights Agreement; and

     WHEREAS, the Company desires to amend the Rights Agreement in certain respects.

     NOW, THEREFORE, in consideration of the premises and mutual agreements herein set forth, the
parties hereby agree as follows:

     Section 1. Appointment of Successor Rights Agent. The Company hereby appoints
Computershare, effective immediately following the resignation of BNY referred to in Section 2 of
the First Amendment, as successor Rights Agent under the Rights Agreement and Computershare hereby
accepts such appointment.

     Section 2. Amendments to Rights Agreement. The Rights Agreement is hereby amended,
effective immediately following the appointment referred to in Section 1 hereof, as follows:

	 	(a)  	Section 1(f) is hereby amended by deleting the definition of “Business Day” in
its entirety and substituting the following definition:

“Business Day” shall mean any day other than a Saturday, Sunday, or a day on
which the New York Stock Exchange is authorized or obligated by law or executive
order to close.

	 	(b)  	Section 3(c) of the Rights Agreement is hereby amended by deleting the first
sentence of the legend to be placed on Class A Common stock certificates as set forth
therein and replacing it in its entirety with the following:

“This certificate also evidences and entitles the holder hereof to certain Class A
Rights as set forth in a Rights Agreement between Agere Systems Inc. and
Computershare Investor Services, LLC, dated March 26, 2001, as amended from time to
time (the “Rights Agreement”), the terms of which are hereby incorporated herein by
reference and a copy which is on file at the principal executive offices of Agere
Systems Inc.”

 

 

	 	(c)  	Section 3(c) of the Rights Agreement is hereby amended by deleting the first
sentence of the legend to be placed on Class B Common stock certificates as set forth
therein and replacing it in its entirety with the following:

“This certificate also evidences and entitles the holder hereof to certain Class B
Rights as set forth in a Rights Agreement between Agere Systems Inc. and
Computershare Investor Services, LLC, dated March 26, 2001, as amended from time to
time (the “Rights Agreement”), the terms of which are hereby incorporated herein by
reference and a copy which is on file at the principal executive offices of Agere
Systems Inc.”

	 	(d)  	Section 26 of the Rights Agreement is hereby amended by deleting the address
for notice or demand to be given to the Rights Agent therein and substituting in lieu
thereof the following:

	 
	“Computershare Investor Services, LLC

	Two North LaSalle Street

	Chicago, Illinois 60602

	Attention: Cindy Nisley”

	 	(e)  	All references in the Rights Agreement to “The Bank of New York” as Rights
Agent shall for all purposes be deemed to refer to “Computershare Investor Services,
LLC.”

     Section 3. Status of Amendment. The Company confirms that (a) no person has become an
Acquiring Person (as defined in the Rights Agreement) and thus no approval of this Amendment by any
holder of Rights (as defined in the Rights Agreement) is required under Section 27 of the Rights
Agreement; and (b) the Distribution Date (as defined in the Rights Agreement) has not occurred and
thus no notice of the change of Rights Agent is required to be sent to the holders of Rights
Certificates (as defined in the Rights Agreement) under Section 21 of the Rights Agreement.

     Section 4. Rights Agreement as Amended. The term “Agreement” as used in the Rights
Agreement shall be deemed to refer to the Rights Agreement as amended hereby. Except as set forth
herein, the Rights Agreement shall remain in full force and effect and otherwise shall be
unaffected hereby.

     Section 5. Execution in Counterparts. This Amendment may be executed in any number of
counterparts and each of such counterparts shall for all purposes deemed to be an original, and all
such counterparts shall together constitute one and the same instrument.

- 2 -

 

     IN WITNESS WHEREOF, each of the parties hereto have caused this Second Amendment to Rights
Agreement to be duly executed by the authorized officer named below to be effective as of the date
hereof.

	 	 	 	 	 
	 	AGERE SYSTEMS INC.

 	 
	 	By  /s/ John W. Gamble, Jr.
 	 
	 	Its EVP and CFO 	 
	 	 	 
	 

	 	 	 	 	 
	 	COMPUTERSHARE INVESTOR

SERVICES, LLC

 	 
	 	By /s/ Cynthia Nisley
 	 
	 	Its Director, Relationship Management 	 
	 	 	 
	 

- 3 -

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