EX-99.A.1 2 ex99a-1.htm EXHIBIT A.1 ex99a-1.htm
Exhibit a.1
 
         
 
No.                             
HARVEST CAPITAL CREDIT
    
    CORPORATION
                             Shares
  
    Incorporated under the Laws of the State of  Delaware    
 
CUSIP NO. [                           ]
      
         
 
Common Stock
 
Par Value $.001 Per Share
  
     
 
SEE REVERSE FOR CERTAIN DEFINITIONS
  
     
 
THIS CERTIFIES THAT                                                                                                                                          IS THE OWNER OF                                                                                                                                         FULLY PAID AND NON-ASSESSABLE SHARES OF COMMON STOCK, WITH A PAR VALUE OF $.001 PER SHARE, OF HARVEST CAPITAL CREDIT CORPORATION (the “Corporation”), transferable on the books of the Corporation in person or by duly authorized attorney upon surrender of this certificate if properly endorsed. This certificate is not valid unless countersigned by the Transfer Agent and registered by the Registrar.
  
     
 
WITNESS the facsimile seal of the Corporation and the facsimile signatures of its duly authorized officers.
  
     
 
Dated: , 2013
  
         
   
HARVEST CAPITAL CREDIT CORPORATION
    
         
 
Secretary
CORPORATE SEAL
Chief Executive Officer
  
   
2013
Delaware
    
   
 
   
   
 
   
 
Transfer Agent
 
   
         
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
tenants by the entireties
  
(Cust)                                   (Minor)
       
JT TEN
as joint tenants with right of
  
Under Uniform Gifts to Minors
       
  survivorship and not as tenants    
 
in common
   Act:                                                                     
      (State)
 
 
Additional Abbreviations may also be used though not in the above list.
 
IMPORTANT NOTICE
 
A statement of the powers, designations, preferences and relative participating, optional or other special rights of each class of stock or series thereof and the qualifications, limitations or restrictions of such preferences and/or rights as established, from time to time, by the Certificate of Incorporation and by any certificate of designation, the number of shares constituting each class and series, and designations thereof, may be obtained by the holder hereof upon request and without charge 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.
 
 
For Value Received,                            hereby sells, assigns and transfers 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 this certificate, and does 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
  
  
  
  
  
  
  
  
 
  
  
  
  
  
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) 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 17Ad-15.