Document:

exv4w1

Exhibit 4.1

HICKS ACQUISITION COMPANY II, INC.

UNITS CONSISTING OF ONE SHARE OF COMMON STOCK AND ONE WARRANT 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 $0.0001 per share
(“Common Stock”), of Hicks Acquisition Company II, Inc., a Delaware corporation (the “Company”),
and one warrant (the “Warrants”). Each Warrant entitles the holder to purchase one (1) share
(subject to adjustment) of Common Stock for $12.00 per share (subject to adjustment). Each Warrant
will become exercisable on the later of (i) thirty (30) days after the Company’s completion of a
merger, capital stock exchange, asset acquisition, stock purchase, reorganization or other similar
business combination with one or more businesses (each a
“Business
Combination”), or (ii) twelve (12) months from the closing of
Company’s initial public offering, and will expire unless exercised before 5:00 p.m., New York City
Time, on the date that is five (5) years after the date on which the
Company completes its initial Business Combination, or earlier upon redemption or liquidation (the “Expiration Date”). The
Common Stock and Warrants comprising the Units represented by this certificate are not transferable
separately prior to                     , 20___, unless Citigroup Global Markets Inc. elects to allow separate
trading earlier, subject to the Company’s filing of a current Report on Form 8-K with the
Securities and Exchange Commission containing an audited balance sheet reflecting the Company’s
receipt of the gross proceeds of the offering and issuing a press release announcing when separate
trading will begin. The terms of the Warrants are governed by a Warrant Agreement, dated as of
                    , 2010, 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 signature of its duly authorized officers.

	 	 	 

	 
	 
	 

	 	 
	Secretary

	 	President

 

 

Hicks Acquisition Company II, 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.

     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)

under Uniform Gifts to Minors
	JT TEN

	 	—
	 	as joint tenants with right
of survivorship and not as tenants in common
	 	 	 	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 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(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).exv4w2

Exhibit 4.2

     NUMBER

C

	 	 	 

	 

	 	SHARES

SEE REVERSE FOR

CERTAIN DEFINITIONS

CUSIP                     

HICKS ACQUISITION COMPANY II, INC.

INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE

COMMON STOCK

	 	 	 

	This Certifies that
	 	 
	 

	 	 
	 
	 	 
	is the owner of
	 	 
	 

	 	 

FULLY PAID AND NON-ASSESSABLE SHARES OF THE PAR VALUE OF $.0001 EACH OF THE COMMON STOCK OF

HICKS ACQUISITION COMPANY II, INC.

(THE “CORPORATION”)

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

The Corporation will be forced to redeem all of its shares of common stock and liquidate if it is
unable to complete a business combination
by              ,2012
[TWENTY-ONE MONTHS FROM THE DATE OF THE CLOSING OF THE
CORPORATION’S INITIAL PUBLIC OFFERING] all as more fully described
in the Corporation’s final prospectus dated              , 2010.

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.

	 	 	 	 	 

	 
	 

	 	[Corporate Seal]
	 	 

	Secretary

	 	Delaware
	 	President

 

 

HICKS ACQUISITION COMPANY II, 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 securities (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
	 	 	 	 	 	under Uniform Gifts to Minors
	 

	 	 	 	of survivorship and not as tenants in common
	 	 	 	Act	 	 
	 

	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 
	 	 	 	 	 	(State)

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

For value received,                                                             
hereby sells, assigns and transfers unto

 

(PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER(S) OF ASSIGNEE(S))

 

(PLEASE PRINT OR TYPEWRITE NAME(S) AND ADDRESS(ES), INCLUDING ZIP CODE, OF ASSIGNEE(S))

 
  

                                                                              
                                                                             
                                                                 
Shares

of the capital stock represented by the within Certificate, and do hereby irrevocably constitutes
and appoints

 

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(S) 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:

By

 

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).

In each
case, as more fully described in the Corporation’s final
prospectus dated ______, 2010, the holder(s) of this certificate shall be entitled to receive a pro-rata portion of funds from the
trust account only in the event that the Corporation redeems the shares of Common Stock sold in its
initial public offering and liquidates because it does not consummate
an initial business combination by
___, 2012[TWENTY-ONE MONTHS FROM THE DATE OF THE
CLOSING OF THE CORPORATION’S INITIAL PUBLIC OFFERING], or if the holder(s) seek(s) to redeem
for cash his, her or its respective
shares of Common Stock in connection with a tender offer (or proxy
solicitation, solely in the event the
Corporation seeks stockholder approval of the proposed initial
business combination) setting forth the
details of a proposed initial
business combination. In no other circumstances shall the holder(s) have any
right or interest of any kind in or to the trust account.

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