Attached files
| file | filename |
|---|---|
| 8-K - RIVER VALLEY BANCORP | rvb_8k1119.htm |
| EX-10.1 - FORM OF INVESTMENT AGREEMENT - RIVER VALLEY BANCORP | rvb_8k1119ex101.htm |
| EX-99.1 - PRESS RELEASE - RIVER VALLEY BANCORP | rvb_8k1119ex991.htm |
| EX-3.1 - CERTIFICATE OF DESIGNATIONS FOR SERIES A PREFERRED STOCK - RIVER VALLEY BANCORP | rvb_8k1119ex31.htm |
Exhibit
4.1
THE
SECURITIES REPRESENTED BY THIS INSTRUMENT ARE NOT SAVINGS ACCOUNTS, DEPOSITS OR
OTHER OBLIGATIONS OF A BANK AND ARE NOT INSURED BY THE FEDERAL DEPOSIT INSURANCE
CORPORATION OR ANY OTHER GOVERNMENTAL AGENCY.
THE
SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED UNDER THE
SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY STATE AND MAY
NOT BE TRANSFERRED, SOLD OR OTHERWISE DISPOSED OF EXCEPT WHILE A REGISTRATION
STATEMENT RELATING THERETO IS IN EFFECT UNDER SUCH ACT AND APPLICABLE STATE
SECURITIES LAWS OR PURSUANT TO AN EXEMPTION FROM REGISTRATION UNDER SUCH ACT OR
SUCH LAWS.
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Certificate
Number
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RIVER
VALLEY BANCORP
Incorporated
Under the Laws of the State of Indiana
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________
Shares
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See
Reverse for Certain Definitions
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This
Certifies That
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___________________________________________
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is
the registered owner of
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_________________________________
(________)
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FULLY
PAID AND NONASSESSABLE SHARES OF THE FIXED RATE CUMULATIVE PERPETUAL PREFERRED
STOCK, SERIES A, WITHOUT PAR VALUE AND WITH A LIQUIDATION PREFERENCE OF $1,000
PER SHARE, OF
River
Valley Bancorp transferable on the books of the Corporation in person or by duly
authorized attorney upon surrender of this certificate properly endorsed. This
certificate and the shares represented hereby are subject to the provisions of
the Articles of Incorporation, all amendments thereto, and the Code of By-Laws
of the Corporation, and to the rights, preferences and voting powers of the
Preferred Stock of the Corporation now or hereafter outstanding; the terms of
all such provisions, rights, preferences and voting powers being incorporated
herein by reference.
Witness the signatures of the
duly authorized officers of the Corporation.
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DATED:
November 19, 2009
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Matthew
P. Forrester, President and Chief Executive Officer
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Lonnie
D. Collins, Secretary
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THE
ARTICLES OF INCORPORATION OF THE CORPORATION PROHIBIT CERTAIN PERSONS FROM
ACQUIRING THE BENEFICIAL OWNERSHIP OF MORE THAN 10% OF ANY CLASS OF COMMON STOCK
OF THE CORPORATION. A COPY OF THESE ARTICLES OF INCORPORATION WILL BE FURNISHED,
WITHOUT CHARGE, TO ANY SHAREHOLDER UPON WRITTEN REQUEST TO THE SECRETARY OF THE
CORPORATION.
A FULL
STATEMENT OF THE DESIGNATIONS, RELATIVE RIGHTS, PREFERENCES, AND LIMITATIONS
APPLICABLE TO EACH CLASS OF SHARES AND THE VARIATIONS IN RIGHTS, PREFERENCES,
AND LIMITATIONS DETERMINED FOR EACH SERIES (AND THE AUTHORITY OF THE BOARD OF
DIRECTORS TO DETERMINE VARIATIONS OF FUTURE SERIES) OF SHARES THAT THE
CORPORATION IS AUTHORIZED TO ISSUE WILL BE FURNISHED, WITHOUT CHARGE, TO ANY
SHAREHOLDER UPON WRITTEN REQUEST TO THE SECRETARY OF THE
CORPORATION.
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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
TEN
ENT-- as
tenants by the entireties
JT
TEN-- as
joint tenants with rights of survivorship and not as tenants in
common
UNIF GIFT
MIN
ACT-- ________________ Custodian _______________
(Cust) (Minor)
under Uniform Gift to Minors
Act
____________________________________________________________
(State)
UNIF TRF MIN ACT ______________
Custodian (until age _____) _______________
(Cust) (Minor)
under Uniform Transfers to
Minors Act
____________________________________________________________
(State)
Additional
abbreviations may also be used though not in the above
list.
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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 POSTAL ZIP CODE, OF
ASSIGNEE)
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shares
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of
the capital stock represented by the within Certificate, and do hereby
irrevocably constitute and appoint
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Attorney
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to
transfer the said stock on the books of the within named Corporation with
full power of substitution in the premises.
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Dated:
___________20____
Signature:
Signature:
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NOTE:
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:
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 SEC RULE 17Ad-15.
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