Fifth Street Asset Management Inc. - FORM S-1/A - EX-4.1 - EXHIBIT 4.1 - September 19, 2014

Attached files

file filename
S-1/A - S-1/A - Fifth Street Asset Management Inc.v389070_s1a.htm
EX-10.2.1 - EXHIBIT 10.2.1 - Fifth Street Asset Management Inc.v389070_ex10-2x1.htm
EX-3.1 - EXHIBIT 3.1 - Fifth Street Asset Management Inc.v389070_ex3-1.htm
EX-3.2 - EXHIBIT 3.2 - Fifth Street Asset Management Inc.v389070_ex3-2.htm
EX-5.1 - EXHIBIT 5.1 - Fifth Street Asset Management Inc.v389070_ex5-1.htm
EX-10.7 - EXHIBIT 10.7 - Fifth Street Asset Management Inc.v389070_ex10-7.htm
EX-21.1 - EXHIBIT 21.1 - Fifth Street Asset Management Inc.v389070_ex21-1.htm
EX-10.4 - EXHIBIT 10.4 - Fifth Street Asset Management Inc.v389070_ex10-4.htm
EX-10.6 - EXHIBIT 10.6 - Fifth Street Asset Management Inc.v389070_ex10-6.htm
EX-10.1 - EXHIBIT 10.1 - Fifth Street Asset Management Inc.v389070_ex10-1.htm
EX-10.3 - EXHIBIT 10.3 - Fifth Street Asset Management Inc.v389070_ex10-3.htm
EX-10.2.2 - EXHIBIT 10.2.2 - Fifth Street Asset Management Inc.v389070_ex10-2x2.htm
EX-10.2.3 - EXHIBIT 10.2.3 - Fifth Street Asset Management Inc.v389070_ex10-2x3.htm
EX-10.5 - EXHIBIT 10.5 - Fifth Street Asset Management Inc.v389070_ex10-5.htm

  

Exhibit 4.1

         
    [FIFTH STREET ASSET MANAGEMENT INC. LOGO]   CLASS A COMMON STOCK
     
Number       Shares
     
   

INCORPORATED UNDER THE LAWS OF THE

STATE OF DELAWARE

   CUSIP
         
This Certifies That        
         
Is the Owner of        

 

FULLY PAID AND NON-ASSESSABLE SHARES OF CLASS A COMMON STOCK, PAR VALUE $0.01 PER SHARE, OF

 

FIFTH STREET ASSET MANAGEMENT INC.

 

transferable on the books of the Corporation in person or by duly authorized attorney, on 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 of the Corporation and the Bylaws of the Corporation, as now or hereafter amended, to all of which the holder hereof by the acceptance hereof assents. This certificate is not valid unless countersigned and registered by the Transfer Agent and Registrar.

 

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

 

Dated:

 

_______________________________  [CORPORATE SEAL]  COUNTERSIGNED AND REGISTERED:
CHIEF EXECUTIVE OFFICER   [•]
     
    TRANSFER AGENT AND REGISTRAR
     
_______________________________   BY: _______________________________
SECRETARY   AUTHORIZED SIGNATURE

  

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FIFTH STREET ASSET MANAGEMENT INC.

 

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                       

        (Cust)                              (Minor)

             
TEN ENT   - as tenants by the entireties      

under Uniform Gifts to Minors

Act                                                            

                           (State)

             
JT TEN   - as joint tenants with right of survivorship and not as tenants in common   UNIF TRF MIN ACT  

-                      Custodian  (until age         )

        (Cust)

 

                     under Uniform Transfers

    (Minor)

 

to Minors Act                                         

                                     (State)

 

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

 

For value received,                                          hereby sell(s), assign(s) and transfer(s) unto

 

(Please Insert Social Security Number 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(es) hereby irrevocably 

 

constitute and appoint                                                                                                                                                        

 

Attorney to transfer the said shares 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.

 

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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.

 

The within named 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 requests may be made to the Corporation’s Secretary at the principal office of the Corporation.

 

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Fifth Street Asset Management Inc. Reports