Aames Financial Corporation Series D Convertible Preferred Stock Certificate

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Summary

This document certifies that the holder owns fully paid and nonassessable shares of Series D Convertible Preferred Stock in Aames Financial Corporation, a Delaware company. The certificate can be transferred by the holder or their authorized agent and includes provisions for converting the preferred shares into common stock according to the company's Certificate of Incorporation. The certificate must be countersigned by the transfer agent to be valid, and lost certificates require a bond for replacement.

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EX-4.6 6 a2026323zex-4_6.txt EXHIBIT 4.6
EXHIBIT 4.6 - ----------------------------- ------------------------------------------------------ --------------------------------- NUMBER [Logo] COMMON STOCK AP AAMES FINANCIAL CORPORATION SHARES [ ] - ----------------------------- ------------------------------------------------------ --------------------------------- SEE REVERSE FOR CERTAIN DEFINITIONS CUSIP 00253A408 INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE THIS CERTIFICATE IS TRANSFERRABLE IN THE CITIES OF RIDGEFIELD PARK, NJ OR NEW YORK, NY - ----------------------------- ---------------------------------------------------------------------------------------- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - This Certifies that is the record holder of - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ----------------------------- ---------------------------------------------------------------------------------------- FULLY PAID AND NONASSESSABLE SHARES OF THE SERIES D CONVERTIBLE PREFERRED STOCK, $0.001 PAR VALUE OF AAMES FINANCIAL CORPORATION transferable on the books of the Corporation by the holder hereof in person or by duly authorized attorney upon the surrender of this Certificate properly endorsed. 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: COUNTERSIGNED AND REGISTERED: CHASEMELLON SHAREHOLDER SERVICES, L.L.C. TRANSFER AGENT AND REGISTRAR BY AUTHORIZED SIGNATURE /s/ John F. Madden, Jr. [SEAL] /s/ Steven M. Gluckstern Secretary Chairman - ----------------------------- ----------------------------------------------------------------------------------------
The Corporation shall 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 of the Corporation or series thereof and the qualifications, limitations or restrictions of such preferences and/or rights. Such requests shall be made to the Corporation's Secretary at the principal office of the Corporation. KEEP THIS CERTIFICATE IN A SAFE PLACE. IF IT IS LOST, STOLEN, OR DESTROYED THE CORPORATION WILL REQUIRE A BOND OF INDEMNITY AS A CONDITION TO THE ISSUANCE OF A REPLACEMENT CERTIFICATE. - -------------------------------------------------------------------------------------- --------------------------- NOTICE OF ELECTION TO CONVERT (CONVERTIBLE INTO COMMON STOCK) FOR This undersigned hereby elects to convert - ------------------------------------------------------------------------- shares CONVERSION of Series B Convertible Preferred Stock, represented by the within certificate into shares of Common Stock of Aames Financial Corporation (as such shares may be constituted on the conversion date) in accordance with the provisions of the USE Certificate of Incorporation, as amended, of the Corporation. Dated: ONLY --------------------------------- --------------------------------- Signature - -------------------------------------------------------------------------------------- ---------------------------
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 ------- ------- JT TEN - as joint tenants with right of (Cust) (Minor) survivorship and not as tenants under Uniform Gifts to Minors in common Act ---------------------------------- (State) UNIF TRF MIN ACT - Custodian (until age ) ------- ----- 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, 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 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 -------------------------------------- X ----------------------------------------- X -----------------------------------------
NOTICE: THE SIGNATURE(S) TO THIS ASSIGNMENT MUST CORRESPOND WITH THE NAME(S) 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) 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 17AG-15.