展品10.1
票據購買協議
這款電動三輪車提供了卓越的舒適度和支撐作用,減輕了騎手的背部和關節的壓力。它是尋求輕鬆騎行體驗而不影響性能和效率的人的絕佳選擇。後置電機可以在加減速時更好地控制和操縱,而前叉懸掛可最小化不平的路面對車輛的衝擊。此三輪車還配備了5英寸液晶屏、EB 2.0照明系統、可摺疊車把、胖胎、後差速器和停車剎車。此外,它還有一個拖車管,可以輕鬆地搬運大貨物。還有一個適用於身材較矮的騎手的Mini版本。注意 購買協議 (以下簡稱「協議」),於2024年10月17日由以下各方簽署: SAFE & GREEN HOLDINGS CORP.,一家位於美國德拉華州的公司,地址爲990 Biscayne Blvd., #501, Office 12, Miami, FL 33132(以下簡稱「公司」),和 1800 DIAGONAL LENDING LLC,一家位於美國弗吉尼亞州的有限責任公司,地址爲1800 Diagonal Road, Suite 623, Alexandria VA 22314(以下簡稱「買方」) 。
鑑於:
A. 公司和買方在執行和交付本協議時,依靠美國證券交易委員會(「SEC」)根據1933年修正法案(「1933 Act」)制定的規則和法規規定的豁免進行。
b. 買方希望購買,公司希望根據本協議所載條款和條件發行和出售公司的一張本票,表格見附件A,總本金金額爲$174,000.00(包括$24,000.00的原始發行折扣)(「本票」);和
因此現在,公司和買方各自(而非共同)同意如下:
1. 購買和銷售該票據。
a. 購買 該票據。在下述的結束日期(如下面定義),公司應發行並賣出給買方,買方同意從公司購買該票據,如下立即簽名頁上買方的名稱所示。
b.付款形式在截止日期(如下所定義)時,(i)買方應將購買票據的購買價格(以下簡稱「購買價格」)通過即時到賬的電匯方式支付給公司,根據公司的書面匯款指示,以換取票據的交付,並且(ii)公司應代表公司交付已執行的票據,以換取該購買價格的交付。
c. 交割日期根據本協議第5和第6節中規定的條件的滿足(或書面豁免),根據本協議發行和銷售票據的日期和時間(「結算日期」)應爲2024年10月18日東部標準時間中午12:00左右,或其他雙方商定的時間。本協議所涉交易的結束(「結束」)應在結算日期在各方同意的地點發生。
2. 買方陳述 和擔保。 買方向公司陳述和保證:
a. 投資 目的截至本日期,買方是自身帳戶購買該票據,並非出於對公開銷售或分銷的即期意圖,除非按照1933年法案下已登記或免登記的銷售。
b.認證投資者狀態買方是「認證投資者」,該術語在D規則501(a)中定義(即「認可投資者」)。
c. 依靠豁免 買方理解該票據是根據美國聯邦和州證券法的特定豁免規定向其提供和出售的,並且公司依賴買方在此處所載的聲明、保證、協議、確認和理解的真實性和準確性,以及買方的遵守,以確定此類豁免的可用性和買方獲得該票據的資格。
d. 信息公司沒有向買方披露任何重要的非公開信息,並且除非此類信息在披露給買方之前或之後迅速公開,否則將不會披露此類信息。
e.法律聲明。 購買方理解該債券尚未根據1933法案登記;可能附有限制性標籤。
f. 公司擁有必要的公司權力和授權,以進行本協議所涉及的交易,並完成其在本協議和其他交易文書中的義務。公司簽署並交付本協議和其他交易文件,並在依照本協議和其他交易文件條款交付時,將構成公司應在本協議和其他交易文件中所承擔的有效約束義務,不違反公正原則和適用於一般債權人權利執行的破產、破產重組、暫停和其他普遍適用的法律限制或任何與特定履行能力、禁制令或其他平衡衡平的限制相沖突的限制,而受到公司權力和控制限制的人士或會員已從事其他任何行動。在公司的股東和董事會或需要的審批沒有提供其他合理的意見之前,公司的本協議和其他所有交易文件均已獲得充分授權。本協議已經得到充分和有效的授權。買方已經依法實施並簽署了本協議,並且本協議構成了買方的有效和具有約束力的協議,可按其條款執行。
3. 本公司代表和保證,同意向每個經理陳述和保證:公司向買方保證:
a. 組織和資格。公司和全部子公司均爲各自注冊或組建的實體,在註冊或組建所在司法管轄區內合法存在並處於良好狀態,具有擁有和使用其財產和資產的必要權限和權力,並像目前這樣開展業務。除非該公司或任何子公司違反或違約其證明書或章程、組織文件或憲章文件的任何規定,否則總公司和各分支機構均不違反或違約。公司和各子公司均已符合法律法規的規定並獲得資格,並處於需要獲得這種資格的每個司法管轄區內均處於良好狀態。除非不符合上述資格或處於良好狀態的情況,否則不會對其業務或財務或其整體狀況構成重大不利影響,並且沒有在任何這方面的司法管轄區中提起訴訟,撤銷、限制或削減或尋求撤銷、限制或削減該等權限和權力或資格,本協議將之爲「重大不利影響」,其定義爲(i)對任何交易文件或其所涉及的交易的合法性、有效性或可執行性造成重大不利影響,(ii)對公司和全部子公司的經營業績、資產、業務、前景或狀況(財務或其他方面)整體造成重大不利影響,或(iii)對公司在任何實質方面及時履行其在任何交易文件下的義務的能力造成重大不利影響。該公司及其各個子公司(如下所定義),如有的話,在其所組織的法域內是一家合法存在且良好經營的公司,具有完全的權力和權限(公司和其他方面),以擁有、租賃、使用和經營其資產,及在現有的地點擁有、租賃、使用和經營其業務。"子公司"指該公司直接或間接持有股權或其他所有權益的任何公司或組織(無論是否註冊)。
b.公司擁有必要的公司權力和授權,以進行本協議所涉及的交易,並完成其在本協議和其他交易文書中的義務。公司簽署並交付本協議和其他交易文件,並在依照本協議和其他交易文件條款交付時,將構成公司應在本協議和其他交易文件中所承擔的有效約束義務,不違反公正原則和適用於一般債權人權利執行的破產、破產重組、暫停和其他普遍適用的法律限制或任何與特定履行能力、禁制令或其他平衡衡平的限制相沖突的限制,而受到公司權力和控制限制的人士或會員已從事其他任何行動。在公司的股東和董事會或需要的審批沒有提供其他合理的意見之前,公司的本協議和其他所有交易文件均已獲得充分授權。(i) 公司具有所有必要的法人權力和權威,以簽訂並履行本協議、票據,並完成本協議和本協議所示交易,並根據本協議和所示條款發行票據;(ii) 公司簽署並交付本協議、票據並完成本協議和本協議所示交易(包括但不限於,發行票據)已獲得公司董事會的充分授權,不需要公司、董事會或股東的進一步同意或授權;(iii) 公司已由其授權代表簽署並交付本協議,該授權代表是有權簽署本協議及與之相關文件並據此約束公司的真實和正式代表;以及(iv) 本協議構成,且在公司簽署並交付票據後,這些文件將構成公司的合法、有效且具有約束力的義務,根據其條款實施。
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c. 資本化 截至本日期,公司的普通股授權股本爲75,000,000股,每股面值爲$0.01,其中2,254,732股已發行並流通。所有這些流通的股份股本均已獲得授權,有效發行,已全額支付且不可再徵稅。
d. 沒有衝突執行、交付和履行本協議、公司發行的票據以及公司按照本協議規定的交易的完成,不會(i)與公司章程或章程的任何條款相沖突或違反,也不會(ii)違反或與公司或任何子公司所涉及的任何協議、債券、專利、專利許可證或其他文書的任何條款相牴觸或違反,或構成違約(或在通知或經過一段時間或兩者的情況下可能成爲違約)或使他人具有終止、修改、加速或取消協議的任何權利,抵押、專利許可或其他文書,公司或其任何子公司也不會(iii)違反適用於公司或其任何子公司的任何法律、規則、規例、命令、判決或裁定(包括聯邦和州的證券法和規例以及適用於公司或其證券的監管組織的規例)或受公司或其任何子公司的任何財產或資產約束或影響的(除了不會對公司或其任何子公司的業務、運營、資產、財務狀況或前景造成重大不利影響的衝突、違約、終止、修改、加速、取消和違反)。公司及其子公司(如有)的業務,正不被進行,當票據有效時,也不得違反任何政府實體的任何法律、條例或規定。「重大不利影響」指的是對公司或其子公司(如有)的業務、運營、資產、財務狀況或前景或作爲一個整體以及本協議規定的交易或在此基礎上要簽署的協議或文書造成的任何重大不利影響。
e.基本報表 文件;財務報表公司已申報了基本報表要求提交的所有報告、時間表、表格、聲明和其他文件給證券交易委員會,根據修訂後的《證券交易法》(以下簡稱「1934法案」)的申報要求(在此之前提交的所有文件以及其中包含的所有附件和基本報表及附表的文件(不包括這些文件的附件),以下簡稱「SEC文件」)。公司將根據書面要求向買方交付SEC文件的真實和完整副本,但不包括這些附件和納入其中的文件。截至各自的日期或如有修訂,則按修訂日期計算,SEC文件在所有重大方面符合1934法案的要求以及SEC制定的適用於SEC文件的規章和規定,當時提交給SEC時,這些SEC文件中沒有包含任何重大事實的不實陳述或遺漏了需要在其中陳述的重大事實或在其做出這些陳述的情況下有必要陳述的事實,使其不會產生誤導性陳述。在適用法律下沒有必須修正或更新的任何這類SEC文件中所做的陳述(除了在此之前修訂或更新的陳述之外)。截至各自的日期或如有修訂,則按修訂日期計算,公司在SEC文件中包含的基本報表在所有重大方面的形式均符合適用的會計要求和SEC對其發佈的規則和規定。這些基本報表是根據一貫適用的美國通行會計原則編制的,並在涉及的期間內進行了一致應用,對公司及其合併子公司的財務狀況截至日期及其合併運營結果和現金流量在很大程度上進行了公平呈現(在未經審計的報表中,受通常的年末審計調整的影響)。公司受1934法案的報告要求約束。
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f. 某些更改的缺席自2024年6月30日起,除在證券交易委員會文件中另有規定外,公司或其任何子公司的資產、負債、業務、財產、運營、財務狀況、經營結果、前景或1934年法案報告狀態均無重大不利變化或重大不利發展。
g. 訴訟缺席 除了SEC文件中所述的,公司或其子公司沒有任何訴訟、起訴、索賠、程序、詢問或調查在任何法院、公共委員會、政府機構、自律組織或機構等待審理或被威脅,也沒有影響公司或其子公司、它們的官員或董事在其職務所擔任的地位,可能對其造成重大不利影響。公司及其子公司不知道可能引起前述任何情況的任何事實或情況。
錯誤的格式。沒有 綜合報價公司及其關聯公司,或代表其或代表它們的任何人,均未直接或間接在任何安全性質上作出任何要約或銷售,或就要求購買任何安全性質作出任何招攬,而這樣的情況將要求根據1933年法案就向買方發行票據進行登記。向買方發行票據將不會與公司證券的任何其他發行(過去、現在或未來)集成,用於適用於公司或其證券的任何股東批准規定。
i. 無 券商公司未採取任何行動,可能引起任何人對本協議或本協議所涉及的交易產生券商佣金、交易費或類似支付的索賠。
j.不是投資公司公司不是,且按照本協議擬發行和出售的票據不會成爲根據1940年《投資公司法》需要註冊的「投資公司」。公司不受投資公司控制。
k. 公司違反陳述和保證。 如果公司違反本第 3 節中規定的任何重大聲明或保證,且持續超過票據中規定的適用糾正期限(如有),除了買方根據本協議享有的其他補救措施外,將被視爲票據中規定的違約事件。
4. 條款.
a. 在類似情況下,爲實現結果而使用的慎重的個人所使用的努力,以儘快實現該結果的「最佳努力」。公司應盡合理商業努力及時滿足本協議第6節中描述的每個條件。
b.使用收益公司將使用此利潤進行一般工作資本目的。
c. 費用. 在結束時,公司根據本協議所約定的交易的責任是償還買方 支出將爲買方的律師費和盡職調查費用爲$6,000.00。
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d. 企業 存續只要買方有任何一份票據的受益權,公司應當保持其企業的存續,並且不得賣出所有或基本資產的大部分,除非得到買方的書面同意。
e.違反契約 條款如果公司違反本第4節中規定的任何重要契約,並且除了買方根據本協議可獲得的其他補救措施外,在票據中規定的適用的糾正期限之後仍繼續的話,將被視爲票據的違約事件。
f. Failure to Comply with the 1934 Act. So long as the Buyer beneficially owns the Note, the Company shall comply with the reporting requirements of the 1934 Act; and the Company shall continue to be subject to the reporting requirements of the 1934 Act.
g. The Buyer is Not a “Dealer”. The Buyer and the Company hereby acknowledge and agree that the Buyer has not: (i) acted as an underwriter; (ii) acted as a market maker or specialist; (iii) acted as “de facto” market maker; or (iv) conducted any other professional market activities such as providing investment advice, extending credit and lending securities in connection; and thus that the Buyer is not a “Dealer” as such term is defined in the 1934 Act.
5. Conditions to the Company’s Obligation to Sell. The obligation of the Company hereunder to issue and sell the Note to the Buyer at the Closing is subject to the satisfaction, at or before the Closing Date of each of the following conditions thereto, provided that these conditions are for the Company’s sole benefit and may be waived by the Company at any time in its sole discretion:
a. The Buyer shall have executed this Agreement and delivered the same to the Company.
b. The Buyer shall have delivered the Purchase Price in accordance with Section 1(b) above.
c. The representations and warranties of the Buyer shall be true and correct in all material respects as of the date when made and as of the Closing Date as though made at that time (except for representations and warranties that speak as of a specific date), and the Buyer shall have performed, satisfied and complied in all material respects with the covenants, agreements and conditions required by this Agreement to be performed, satisfied or complied with by the Buyer at or prior to the Closing Date.
d. No litigation, statute, rule, regulation, executive order, decree, ruling or injunction shall have been enacted, entered, promulgated or endorsed by or in any court or governmental authority of competent jurisdiction or any self-regulatory organization having authority over the matters contemplated hereby which prohibits the consummation of any of the transactions contemplated by this Agreement.
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6. Conditions to The Buyer’s Obligation to Purchase. The obligation of the Buyer hereunder to purchase the Note at the Closing is subject to the satisfaction, at or before the Closing Date of each of the following conditions, provided that these conditions are for the Buyer’s sole benefit and may be waived by the Buyer at any time in its sole discretion:
a. The Company shall have executed this Agreement and delivered the same to the Buyer.
b. The Company shall have delivered to the Buyer the duly executed Note, in accordance with Section 1(b) above.
c. The representations and warranties of the Company shall be true and correct in all material respects as of the date when made and as of the Closing Date as though made at such time (except for representations and warranties that speak as of a specific date) and the Company shall have performed, satisfied and complied in all material respects with the covenants, agreements and conditions required by this Agreement to be performed, satisfied or complied with by the Company at or prior to the Closing Date. The Buyer shall have received a certificate or certificates, executed by the chief executive officer of the Company, dated as of the Closing Date, to the foregoing effect and as to such other matters as may be reasonably requested by the Buyer including, but not limited to certificates with respect to the Board of Directors’ resolutions relating to the transactions contemplated hereby.
d. No litigation, statute, rule, regulation, executive order, decree, ruling or injunction shall have been enacted, entered, promulgated or endorsed by or in any court or governmental authority of competent jurisdiction or any self-regulatory organization having authority over the matters contemplated hereby which prohibits the consummation of any of the transactions contemplated by this Agreement.
e. No event shall have occurred which could reasonably be expected to have a Material Adverse Effect on the Company including but not limited to a change in the 1934 Act reporting status of the Company or the failure of the Company to be timely in its 1934 Act reporting obligations.
7. Governing Law; Miscellaneous.
a. Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the Commonwealth of Virginia without regard to principles of conflicts of laws. Any action brought by either party against the other concerning the transactions contemplated by this Agreement shall be brought only in the Circuit Court of Fairfax County, Virginia or in the Alexandria Division of the United States District Court for the Eastern District of Virginia. The parties to this Agreement hereby irrevocably waive any objection to jurisdiction and venue of any action instituted hereunder and shall not assert any defense based on lack of jurisdiction or venue or based upon forum non conveniens. The Company and Buyer waive trial by jury. The Buyer shall be entitled to recover from the Company its reasonable attorney’s fees and costs. In the event that any provision of this Agreement or any other agreement delivered in connection herewith is invalid or unenforceable under any applicable statute or rule of law, then such provision shall be deemed inoperative to the extent that it may conflict therewith and shall be deemed modified to conform with such statute or rule of law. Any such provision which may prove invalid or unenforceable under any law shall not affect the validity or enforceability of any other provision of any agreement. Each party hereby irrevocably waives personal service of process and consents to process being served in any suit, action or proceeding in connection with this Agreement, the Note or any related document or agreement by mailing a copy thereof via registered or certified mail or overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any other manner permitted by law.
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b. Counterparts. This Agreement may be executed in one or more counterparts, each of which shall be deemed an original but all of which shall constitute one and the same agreement and shall become effective when counterparts have been signed by each party and delivered to the other party.
c. Headings. The headings of this Agreement are for convenience of reference only and shall not form part of, or affect the interpretation of, this Agreement.
d. Severability. In the event that any provision of this Agreement is invalid or unenforceable under any applicable statute or rule of law, then such provision shall be deemed inoperative to the extent that it may conflict therewith and shall be deemed modified to conform with such statute or rule of law. Any provision hereof which may prove invalid or unenforceable under any law shall not affect the validity or enforceability of any other provision hereof.
e. Entire Agreement; Amendments. This Agreement and the instruments referenced herein contain the entire understanding of the parties with respect to the matters covered herein and therein and, except as specifically set forth herein or therein, neither the Company nor the Buyer makes any representation, warranty, covenant or undertaking with respect to such matters. No provision of this Agreement may be waived or amended other than by an instrument in writing signed by the majority in interest of the Buyer.
f. Notices. All notices, demands, requests, consents, approvals, and other communications required or permitted hereunder shall be in writing and, unless otherwise specified herein, shall be (i) personally served, (ii) deposited in the mail, registered or certified, return receipt requested, postage prepaid, (iii) delivered by reputable air courier service with charges prepaid, or (iv) transmitted by hand delivery, telegram, or facsimile, addressed as set forth below or to such other address as such party shall have specified most recently by written notice. Any notice or other communication required or permitted to be given hereunder shall be deemed effective (a) upon hand delivery or delivery by facsimile, with accurate confirmation generated by the transmitting facsimile machine, at the address or number designated below (if delivered on a business day during normal business hours where such notice is to be received), or the first business day following such delivery (if delivered other than on a business day during normal business hours where such notice is to be received) or (b) on the second business day following the date of mailing by express courier service, fully prepaid, addressed to such address, or upon actual receipt of such mailing, whichever shall first occur. The addresses for such communications shall be as set forth in the heading of this Agreement with a copy by fax only to (which copy shall not constitute notice) to Naidich Wurman LLP, 111 Great Neck Road, Suite 214, Great Neck, NY 11021, Attn: Allison Naidich, facsimile: 516-466-3555, e-mail: allison@nwlaw.com. Each party shall provide notice to the other party of any change in address.
g. Successors and Assigns. This Agreement shall be binding upon and inure to the benefit of the parties and their successors and assigns. Neither the Company nor the Buyer shall assign this Agreement or any rights or obligations hereunder without the prior written consent of the other. Notwithstanding the foregoing, the Buyer may assign its rights hereunder to any person in a private transaction from the Buyer or to any of its “affiliates,” as that term is defined under the 1934 Act, without the consent of the Company.
h. Survival. The representations and warranties of the Company and the agreements and covenants set forth in this Agreement shall survive the closing hereunder notwithstanding any due diligence investigation conducted by or on behalf of the Buyer. The Company agrees to indemnify and hold harmless the Buyer and all their officers, directors, employees and agents for loss or damage arising as a result of or related to any breach or alleged breach by the Company of any of its representations, warranties and covenants set forth in this Agreement or any of its covenants and obligations under this Agreement, including advancement of expenses as they are incurred.
i. Further Assurances. Each party shall do and perform, or cause to be done and performed, all such further acts and things, and shall execute and deliver all such other agreements, certificates, instruments and documents, as the other party may reasonably request in order to carry out the intent and accomplish the purposes of this Agreement and the consummation of the transactions contemplated hereby.
j. No Strict Construction. The language used in this Agreement will be deemed to be the language chosen by the parties to express their mutual intent, and no rules of strict construction will be applied against any party.
k. Remedies. The Company acknowledges that a breach by it of its obligations hereunder will cause irreparable harm to the Buyer by vitiating the intent and purpose of the transaction contemplated hereby. Accordingly, the Company acknowledges that the remedy at law for a breach of its obligations under this Agreement will be inadequate and agrees, in the event of a breach or threatened breach by the Company of the provisions of this Agreement, that the Buyer shall be entitled, in addition to all other available remedies at law or in equity, and in addition to the penalties assessable herein, to an injunction or injunctions restraining, preventing or curing any breach of this Agreement and to enforce specifically the terms and provisions hereof, without the necessity of showing economic loss and without any bond or other security being required.
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IN WITNESS WHEREOF, the undersigned Buyer and the Company have caused this Agreement to be duly executed as of the date first above written.
SAFE & GREEN HOLDINGS CORP. | ||
By: | /s/ Paul M. Galvin | |
Paul M. Galvin | ||
Chief Executive Officer |
1800 DIAGONAL LENDING LLC | ||
By: | ||
Curt Kramer | ||
President |
Aggregate Principal Amount of Note: | $ | 174,000.00 | ||
Original Issue Discount | $ | 24,000.00 | ||
Aggregate Purchase Price: | $ | 150,000.00 |
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