NRC GROUP HOLDINGS CORP. - FORM S-1 - EX-4.1 - SPECIMEN UNIT CERTIFICATE. - May 30, 2017

Attached files

file filename
EX-10.6 - SECOND AMENDED AND RESTATED SPONSOR WARRANTS PURCHASE AGREEMENT DATED MAY 26, 20 - NRC GROUP HOLDINGS CORP.fs12017ex10vi_hennessy.htm
EX-4.4 - FORM OF WARRANT AGREEMENT BETWEEN CONTINENTAL STOCK TRANSFER & TRUST COMPANY AND - NRC GROUP HOLDINGS CORP.fs12017ex4iv_hennessy.htm
EX-99.8 - CONSENT OF DANIEL R. DIMICCO - NRC GROUP HOLDINGS CORP.fs12017ex99viii_hennessy.htm
EX-99.7 - CONSENT OF JAMES F. O'NEIL III - NRC GROUP HOLDINGS CORP.fs12017ex99vii_hennessy.htm
EX-99.6 - CONSENT OF RICHARD BURNS - NRC GROUP HOLDINGS CORP.fs12017ex99vi_hennessy.htm
EX-99.5 - CONSENT OF PETER SHEA - NRC GROUP HOLDINGS CORP.fs12017ex99v_hennessy.htm
EX-99.4 - CONSENT OF BRADLEY BELL - NRC GROUP HOLDINGS CORP.fs12017ex99iv_hennessy.htm
EX-99.3 - CONSENT OF KEVIN M. CHARLTON - NRC GROUP HOLDINGS CORP.fs12017ex99iii_hennessy.htm
EX-99.2 - FORM OF COMPENSATION COMMITTEE CHARTER. - NRC GROUP HOLDINGS CORP.fs12017ex99ii_hennessy.htm
EX-99.1 - FORM OF AUDIT COMMITTEE CHARTER. - NRC GROUP HOLDINGS CORP.fs12017ex99i_hennessy.htm
EX-23.1 - CONSENT OF WITHUMSMITH+BROWN, PC. - NRC GROUP HOLDINGS CORP.fs12017ex23i_hennessy.htm
EX-14 - FORM OF CODE OF ETHICS. - NRC GROUP HOLDINGS CORP.fs12017ex14_hennessy.htm
EX-10.8 - FORM OF ADMINISTRATIVE SERVICES AGREEMENT BETWEEN THE REGISTRANT AND HENNESSY CA - NRC GROUP HOLDINGS CORP.fs12017a1ex10viii_hennessy.htm
EX-10.7 - FORM OF INDEMNITY AGREEMENT - NRC GROUP HOLDINGS CORP.fs12017ex10vii_hennessy.htm
EX-10.5 - SECURITIES SUBSCRIPTION AGREEMENT, DATED MARCH 31, 2017, BETWEEN THE REGISTRANT - NRC GROUP HOLDINGS CORP.fs12017ex10v_hennessy.htm
EX-10.4 - FORM OF REGISTRATION RIGHTS AGREEMENT BETWEEN THE REGISTRANT AND CERTAIN SECURIT - NRC GROUP HOLDINGS CORP.fs12017ex10iv_hennessy.htm
EX-10.3 - FORM OF INVESTMENT MANAGEMENT TRUST AGREEMENT BETWEEN CONTINENTAL STOCK TRANSFER - NRC GROUP HOLDINGS CORP.fs12017ex10iii_hennessy.htm
EX-10.2 - FORM OF LETTER AGREEMENT BETWEEN THE REGISTRANT AND ITS OFFICERS, DIRECTORS AND - NRC GROUP HOLDINGS CORP.fs12017ex10ii_hennessy.htm
EX-10.1 - THIS PROMISSORY NOTE ( NOTE ) HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT O - NRC GROUP HOLDINGS CORP.fs12017ex10i_hennessy.htm
EX-5.1 - OPINION OF ELLENOFF GROSSMAN & SCHOLE LLP. - NRC GROUP HOLDINGS CORP.fs12017ex5i_hennessy.htm
EX-4.3 - SPECIMEN WARRANT CERTIFICATE - NRC GROUP HOLDINGS CORP.fs12017ex4iii_hennessy.htm
EX-4.2 - SPECIMEN COMMON STOCK CERTIFICATE. - NRC GROUP HOLDINGS CORP.fs12017ex4ii_hennessy.htm
EX-3.3 - BY LAWS - NRC GROUP HOLDINGS CORP.fs12017ex3iii_hennessy.htm
EX-3.2 - AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HENNESSY CAPITAL ACQUISITIO - NRC GROUP HOLDINGS CORP.fs12017a1ex3ii_hennessy.htm
EX-3.1 - CERTIFICATE OF INCORPORATION - NRC GROUP HOLDINGS CORP.fs12017ex3i_hennessy.htm
EX-1.1 - FORM OF UNDERWRITING AGREEMENT. - NRC GROUP HOLDINGS CORP.fs12017ex1i_hennessy.htm
S-1 - NRC GROUP HOLDINGS CORP.fs12017_hennessycapital.htm

Exhibit 4.1

 

NUMBER UNITS

U-[●]

 

SEE REVERSE FOR CERTAIN

DEFINITIONS

 

CUSIP 42588L 204

 

HENNESSY CAPITAL ACQUISITION CORP. III

 

UNITS CONSISTING OF ONE SHARE OF COMMON STOCK AND ONE-HALF OF 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 Hennessy Capital Acquisition Corp. III, a Delaware corporation (the “Company”), and one-half of one warrant (the “Warrant”). Each whole Warrant entitles the holder to purchase one share (subject to adjustment) of Common Stock for $11.50 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 the 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 Credit Suisse Securities (USA) LLC 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             , 2017, 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 1 State Street Plaza, 30th Floor, 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

 

 

 

 

Hennessy Capital Acquisition Corp. III

 

The Company will furnish without charge to each unitholder 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)
          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 Company 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(OR ANY SUCCESSOR RULE)).    

 

In each case, as more fully described in the Company’s final prospectus dated             , 2017, the holder(s) of this certificate shall be entitled to receive a pro-rata portion of certain funds held in the trust account established in connection with its initial public offering only in the event that (i) the Company redeems the shares of common stock sold in its initial public offering and liquidates because it does not consummate an initial business combination by __________, 2019, (ii) the Corporation redeems the shares of common stock sold in its initial public offering in connection with a stockholder vote to approve an amendment to any provision of the Corporation’s amended and restated certificate of incorporation relating to stockholders’ rights or pre-initial business combination activity, or (iii) 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 Company 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.

 

 

 

 

 

NRC GROUP HOLDINGS CORP. Reports