NUMBER

EX-4.1 3 a2179856zex-4_1.htm EXHIBIT 4.1

 

Exhibit 4.1

 

NUMBER

 

 

UNITS

 

U

 

 

 

 

SEE REVERSE FOR CERTAIN DEFINITIONS

 

 

CUSIP 429086 40 8

 

 

HICKS ACQUISITION COMPANY I, 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 I, 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 $7.50 per share (subject to adjustment). Each Warrant will become exercisable on the later of (i) the Company’s completion of a merger, capital stock exchange, asset acquisition or other similar business combination and (ii)               , and will expire unless exercised before 5:00 p.m., New York City Time, on          ,       , 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, 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          ,       , 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.

 

 

 

[Corporate Seal]

 

 

Secretary

 

Delaware

 

President

 

 

 

 

 

 

 



 

Hicks Acquisition Company I, 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)

JT TEN

as joint tenants with right of survivorship

 

 

under Uniform Gifts to Minors

 

 

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).