Document:

EX-4.1

 

Exhibit 4.1

      

			
	NUMBER
	 	UNITS

U- [     ]

					
	SEE REVERSE FOR 

CERTAIN DEFINITIONS
	 	

TM ENTERTAINMENT AND MEDIA, INC.
	 	CUSIP 87260T 207

UNITS CONSISTING OF ONE SHARE OF COMMON STOCK AND WARRANTS TO PURCHASE ONE

SHARE OF COMMON STOCK

THIS CERTIFIES THAT 

is the owner
of 
Units.

Each Unit (“Unit”) consists of one (1) share of common stock, par value $0.001 per share (“Common
Stock”), of TM Entertainment and Media, Inc., a Delaware corporation (the “Company”), and one
warrant (the “Warrant”). The Warrant entitles the holder to purchase one (1) share of Common Stock
for $5.50 per share (subject to adjustment). The Warrant will become exercisable on the later of
(i) the Company’s completion of a merger, capital stock exchange, asset acquisition, stock purchase
or other similar business combination and (ii) [ ], 2009, and will expire unless
exercised before 5:00 p.m., New York City Time, on [ ], 2011, or earlier upon
redemption (the “Expiration Date”). The Common Stock and Warrants comprising the Units represented
by this certificate are not transferable separately prior to [ ], 2007,
subject to earlier separation; provided, however, in no event will the
representative of the underwriters allow separate trading of the Common Stock and Warrants until
the Company files, with the Securities and Exchange Commission, an audited balance sheet reflecting
the Company’s receipt of the gross proceeds of the offering. The terms of the Warrants are
governed by a Warrant Agreement, dated as of [ ], 2007, 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 [17 Battery Place, 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 signature of its duly authorized
officers.

TM ENTERTAINMENT AND MEDIA, INC.

DELAWARE

CORPORATE SEAL 2007

*

By:

      

	 	 	 
	 
	 	 
	Chairman of the Board, Co-Chief
Executive Officer,
 Secretary
	 	Co-Chief Executive Officer,
Assistant Secretary, 
Treasurer

 

 

TM ENTERTAINMENT AND MEDIA, INC.

     The Company 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 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 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.

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 will 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).EX-4.2

 

Exhibit 4.2

      

	 	 	 	 	 
	NUMBER
C [     ]

	 	

TM ENTERTAINMENT AND MEDIA, INC.
	 	SHARES
	 

	 	INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE	 	 
	 

	 	COMMON STOCK	 	 

	 	 	 
	 

	 	SEE REVERSE

FOR CERTAIN

DEFINITIONS

CUSIP 87260T 108

This Certifies that

 

 

 

is the owner of

FULLY PAID AND NON-ASSESSABLE SHARES OF THE PAR VALUE OF $0.001 EACH OF THE COMMON STOCK OF

TM ENTERTAINMENT AND MEDIA, 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 the Transfer Agent and registered by the
Registrar.

Witness the facsimile seal of the Corporation and the facsimile signatures of its duly
authorized officers.

Dated:

TM Entertainment and Media, Inc.

Delaware

Corporate Seal 2007

     By:

      

	 	 	 
	 
	 	 
	Chairman of the Board, Co-Chief Executive Officer,
Secretary
	 	Co-Chief Executive Officer, Assistant Secretary,
Treasurer

 

 

TM Entertainment and Media, Inc.

     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 Certificate of Incorporation and
all amendments thereto and resolutions of the Board of Directors providing for the issue of shares
of Preferred Stock (copies of which may be obtained from the secretary of the Corporation), to all
of which the holder of this certificate by acceptance hereof assents.

     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.

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 will 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 of this certificate shall be entitled to receive funds from the trust fund only in
the event that 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 Company. In no other
circumstances shall the holder have any right or interest of any kind in or to the trust fund .EX-4.3

 

Exhibit 4.3

(SEE REVERSE SIDE FOR LEGEND)

			
	NUMBER 

W [     ]
	 	WARRANTS 

CUSIP 87260T 116

(THIS WARRANT WILL BE VOID IF NOT EXERCISED PRIOR TO 5:00 P.M.

NEW YORK CITY LOCAL TIME, [ ], 2011

TM ENTERTAINMENT AND MEDIA, INC.

WARRANT

THIS CERTIFIES THAT, for value received,

is the registered holder of a Warrant or Warrants expiring [          ], 2011 (the “Warrant”) to
purchase one fully paid and non-assessable share of Common Stock, par value $0.001 per share
(“Shares”), of TM Entertainment and Media, Inc., a Delaware corporation (the “Company”), for each
Warrant evidenced by this Warrant Certificate. The Warrant entitles the holder thereof to purchase
from the Company, commencing on the later of the Company’s completion of a merger, capital stock
exchange, asset acquisition, stock purchase or other similar business combination (“Business
Combination”) or [           ], 2008, such number of Shares of the Company at the price of
$5.50 per share, upon surrender of this Warrant Certificate accompanied by the annexed duly
executed exercise form and payment of the Warrant Price at the office or agency of the Warrant
Agent, Continental Stock Transfer & Trust Company (such payment to be made by check made payable to
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 (the “Warrant
Agreement”). The Warrant Agreement provides that upon the occurrence of certain events the Warrant
Price and the number of Warrant Shares purchasable hereunder, set forth on the face hereof, may,
subject to certain conditions, be adjusted. 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.

     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 his 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 hereof 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 30 days’ notice of such
call at any time after the Warrant becomes exercisable if the last sale price of the Shares has
been at least $11.50 per share on each of 20 trading days within any 30 trading day period ending
on the third business day prior to the date on which notice of such call is given. 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.

	 	 	 	 	 
	 	BY: TM ENTERTAINMENT AND MEDIA, INC.

 	 
	 	 	 
	 	 	 
	 	 	 
	 

COUNTERSIGNED:

CONTINENTAL STOCK TRANSFER & TRUST COMPANY

			
	(NEW YORK, NY)
	 	AS WARRANT AGENT

BY:

      

	 	 	 
	 
	 	 
	Chairman of the Board, Co-Chief Executive Officer,
Secretary
	 	Co-Chief Executive Officer, Assistant Secretary,
Treasurer

 

 

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 shares of 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)	 	 

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

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