Subscription協議
聚焦影響收購公司。
帕克大道250號,911號套房
New York, NY 10177
專注影響贊助商,有限責任公司
帕克大道250號,911號套房
New York, NY 10177
女士們,先生們:
本訂閱協議(以下簡稱「本協議」)系在下文所述日期由內華達州公司Know Labs, Inc.(以下簡稱「公司」)與投資者訂立。協議”) is being entered into as of the date set forth on the signature page hereto, by and among Focus Impact Acquisition Corp., a Delaware
corporation (the “公司「」或「」FIAC”),重點影響贊助人,一家特拉華州有限責任公司(以下簡稱“贊助商”),以及簽署的投資者(以下簡稱“投資者”),涉及業務合併
協議,日期爲2023年9月12日,由2024年5月1日修訂的第一修正協議修訂,和截至2024年8月10日的第二修正協議進一步修訂(如有進一步修訂,則簡稱爲“業務
合併協議”和其中規定的交易,“業務組合公司,Focus Impact Amalco 子公司有限公司(Amalco子公司),一家根據不列顛哥倫比亞省法律成立的公司,以及 DevvStream Holdings Inc.(DevvStream),一家根據不列顛哥倫比亞省法律成立的公司,根據該協議,公司預計將根據德拉華州《德拉華州一般公司法》繼續在
有關企業組合,公司正在尋求有興趣的投資者承諾購買一定數量的公司A類普通股,每股面值 $0.0001(“A類普通股”),如本頁簽名頁所述(“定向增發股”) for the
purchase price set forth on the signature page hereto (the “認購額度”). In exchange for the Investor’s agreement to purchase the PIPE Shares, the Sponsor has agreed to transfer a number of shares of Class A Common Stock as set
forth on the signature page hereto (the “贊助商股份”) substantially concurrently with the execution of this Agreement. For purposes of this Agreement, 「business day」 shall mean any day other than a Saturday, Sunday or a day on which
commercial banking institutions in New York, New York are authorized or required to close for business. Upon the closing of the Business Combination, the Class A Common Stock, including the PIPE Shares and Sponsor Shares, will automatically convert
into common shares of the Company (as continued as an Alberta, Canada corporation) pursuant to the terms of the Business Combination Agreement and the formula described on the signature page hereto (with the converted PIPE Shares of the continued
Company sometimes referred to herein as the “New PIPE Shares” and the converted Sponsor Shares of the continued Company sometimes referred to herein as the “新贊助股份”).
在此情況下,考慮到前述互相陳述、擔保和契約,並根據此處規定的條件,意圖在此受法律約束,投資者和公司各自確認並同意如下:
1. 認購.
(a) 儘快自本協議日期(“贊助商股份轉讓日期”)之後,贊助商應將贊助商股份轉讓給投資者,並使這些股份以簿記形式登記,不受任何留置權(除了依法產生的證券法律所規定的留置權)的約束,在公司的股份登記簿上以投資者的名義登記。如果在業務組合結束之前的任何時間,而且不是與業務組合相關,請匯通常股票的發行數量通過合併、組合、細分或股票再分類等事件而增加或減少,那麼在上述合併、組合、細分或股票再分類或類似事件的生效日期,贊助商股份將按照常規調整。此外,投資者對贊助商股份或新贊助股份不應因任何原因而受到沒收、退回、收回、轉讓、處置、交換或分期贖回。
(b) 本協議擬議的 PIPE 股份的出售、購買和發行的結束(“結盤control控件於實質上同時進行的交易Sentio的閉幕將以交易所交易所交易所的閉幕爲前提(讓交易所的發生日期,"結束日期。)。在公司向投資者(或代表公司)發出的書面通知(“封閉通知),公司合理預計根據交易合同有關對交易所進行交割的所有條件將在交割通知遞交給投資者的日期後不少於五(5)個工作日內滿足或放棄,投資者應在交割通知指定的預計交割日期向公司交付認購額度(通過電匯等方式支付給公司指定的帳戶的美元立即到賬的資金),(該帳戶不得爲託管帳戶),以及應在交割通知中合理要求的其他任何信息,以便向投資者發行PIPE股票,包括但不限於將發行證券的合法持有人的姓名和已經簽署的美國國內稅收局W-9或W-8表格。在交割日,公司將PIPE股票發放給投資者,並隨後導致PIPE股票以賬簿形式登記,不受任何留置權的約束(除了適用證券法律下產生的留置權),註明投資者的名稱已被納入公司的股東登記簿; 在每種情況下,該B類股東和/或該B類股東的家庭成員需獨立控制在此類帳戶、計劃或信託中持有的B類普通股實時;, 公司對於以下情況,不應承擔責任:根據第10(b)部分書面信息可靠地提供。,公司向投資者發行PIPE股票的義務取決於公司根據本 衝突礦物披露。如果交割日期並非按照交割通知中指定的預期交割日期的一個(1)個工作日內發生,則公司應在收到投資者認購額度後及時但不遲於隨後的下一個工作日將認購額度退還給投資者;但前提是,除非根據本協議已被終止,否則款項退還將不會終止本協議或免除投資者根據公司根據本協議發送的隨後交割通知購買PIPE股權的義務。 第6節 公司根據本協議發送符合本協議規定的後續交割通知後,無論如何資金退還都不會終止本協議或免除投資者購買PIPE股票的義務。 衝突礦物披露。.
2. 條件.
各方的義務受以下條件的約束:
(i) 沒有適用的政府機構應當當時生效並使本協議所涉交易的完成非法或以其他方式下令、限制或禁止進行本協議所涉交易的暫時性、初步性或永久性判決、命令、法律、規則或法規。
(ii) 業務結合協議規定的所有關閉前提條件均已滿足(如果由適用於業務結合協議的各方共同決定滿足,則應視爲已滿足,但不包括那些根據業務結合協議而須在關閉業務結合時滿足的條件,包括在本協議達成的前提下才能滿足的任何該等條件或者適用於業務結合協議的相關各方根據其規定所放棄的那些條件)。
(b) 投資者履行本協議約定的交易的義務應受以下條件的約束(投資者可以通過書面方式(電子郵件足夠)放棄這些條件):(i) 公司和發起人在本協議中所包含的所有陳述與保證均應於股東股份轉讓日期和交割日前完全保證屬實(但不包括:A.涉及重大性(如下所定義)作爲條件的陳述與保證,這些陳述與保證應在各方面均完全屬實;B.以特定較早日期作爲確定的陳述與保證,這些陳述與保證應於該特定較早日期前完全保證屬實(或者如果陳述與保證包含重大性修飾詞,應在所有方面保證屬實));(ii) 公司和發起人應已在交割日或交割之前全面履行、滿足並遵守本協議規定由其履行、滿足或遵守的一切義務、契約、協議和條件;(iii) 新PIPE股份和新發起人股份已獲得納斯達克在業務結合關閉時的上市批准;和(iv) 投資者將已從公司處自行決定獲得令其滿意的證據,證明新發起人股份在業務結合關閉時將不受任何限制性標籤的約束。
(c) 公司和贊助商履行本協議所規定交易的義務應受以下控件的約束(公司可以書面放棄,電子郵件足夠):(i) 投資者在本協議中所含聲明和擔保在交割時應在所有重大方面屬實並正確(除了(A) 牽涉到重大性的聲明和擔保,此類聲明和擔保應在各個方面均屬實並正確(B) 那些根據特定較早日期作出的聲明和擔保,在此類特定較早日期屬實並正確(或者如果以重大性作爲條件,則在各個方面均屬實並正確));和(ii) 投資者應該在交割前或交割時已在所有重大方面履行、完成並符合本協議要求的所有義務、契約、協議和控件。
3. 進一步保證. 在交割前或交割時,本方應執行和交付,或導致執行和交付,任何額外文件並採取任何可能必要的額外行動,以便完成本協議規定的交易。
4. 公司的陳述和擔保3. 公司向投資者聲明和擔保:
(a) 公司是依照特拉華州法律合法成立、有效存在並保持良好地位的公司。公司具有一切權力(公司或其他方式)和權限擁有、租賃和運營其現在進行的業務以及根據本協議進入、交付和履行其義務。
(b) PIPE股份已獲得妥善授權,根據本協議發行、交付和支付時,將被有效發行,全部支付且無需追索。 贊助商股份已經得到妥善授權,有效發行,全部支付且無需追索。 新PIPE股份和新贊助商股份已經獲得妥善授權,並將根據業務組合協議的條款發行、交付和支付時,將被有效發行,全部支付且無需追索。
(c) This Agreement has been duly authorized, validly executed and delivered by the Company and the Sponsor and is enforceable against the Company and the Sponsor in accordance with its
terms, except as may be limited or otherwise affected by (i) bankruptcy, insolvency, fraudulent conveyance, reorganization, moratorium or other laws relating to or affecting the rights of creditors generally, or (ii) principles of equity, whether
considered at law or equity.
(d) A copy of each form, report, statement, schedule, proxy and other document filed by the Company with the U.S. Securities and Exchange Commission (the “SEC”) on or prior to the
Closing (the “SEC報告”) is available to the Investor (including via the SEC’s EDGAR system). As of their respective filing dates all SEC Reports complied in all material respects with the requirements of the Exchange Act and the rules
and regulations of the SEC promulgated thereunder applicable to the SEC Reports. None of the SEC Reports filed under the Exchange Act (except to the extent that information contained in any SEC Report has been superseded by a later timely filed SEC
Report) contained, when filed or, if amended, as of the date of such amendment with respect to those disclosures that are amended, any untrue statement of a material fact or omitted to state a material fact required to be stated therein or
necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The financial statements of FIAC included in the SEC Reports, as applicable, comply in all material respects with applicable
accounting requirements and the rules and regulations of the SEC with respect thereto as in effect at the time of filing, or, if amended, as of the date of such amendment, and fairly present in all material respects the financial position of FIAC
as of and for the dates thereof and the results of operations and cash flows for the periods presented, subject to (i) in the case of unaudited statements, to normal, year-end audit adjustments, and such consolidated financial statements have been
prepared in conformity with United States generally accepted accounting principles applied on a consistent basis during the periods involved (“通用會計原則(GAAP)”) (except as may be disclosed therein or in the notes thereto, and except that the unaudited
financial statements may not contain all footnotes required by GAAP), and (ii) changes to historical accounting policies of FIAC in connection with any order, directive, guideline, comment or recommendation from the SEC that is applicable to FIAC.
There are no outstanding or unresolved comments in comment letters from the staff of the SEC with respect to any of the SEC Reports. For the avoidance of doubt, any restatement of the financial statements of the Company and any amendments to
previously filed SEC Reports or delays in filing SEC Reports, in connection with any guidance from the SEC following the date of this Agreement, shall not be deemed to constitute a breach of this 第4(d)節. Additionally, for avoidance of
doubt, any amendment or modification of any SEC Report (or any agreement filed as an exhibit to any SEC Report) from its initial filing date in a subsequent filing shall not be deemed to constitute a breach of this 第4(d)節.
(e) The Company is authorized to issue up to 551,000,000 shares of capital stock, consisting of 550,000,000 shares of common stock, including (i) 500,000,000 shares of Class A Common Stock
and 50,000,000 shares of Class b common stock, par value $0.0001 per share (“B類普通股”), and (ii) 1,000,000 undesignated shares of preferred stock (“優先股”). As of the date of this Agreement, the Company has
2,452,731 shares of common stock issued and outstanding, including 1,702,731 shares of Class A Common Stock and 750,000 shares of Class b Common Stock, and no shares of Preferred Stock issued or outstanding. There are no shareholder agreements,
voting trusts or other agreements or understandings to which the Company is a party or by which it is bound relating to the voting of any securities of the Company, other than (1) as set forth in the SEC Reports and (2) as contemplated by the
Business Combination Agreement. Except as set forth in the SEC Reports or as contemplated by the Business Combination Agreement and the other agreements and arrangements referred to therein, as of the date hereof, there are no outstanding options,
warrants or other rights to subscribe for, purchase or acquire from the Company any equity interests in the Company, or securities convertible into or exchangeable or exercisable for such equity interests.
(f) As of the date hereof, there is no suit, action, proceeding or investigation pending or, to the knowledge of the Company, threatened against the Company by Nasdaq or the SEC,
respectively, to prohibit the listing of the PIPE Shares, or the registration of the PIPE Shares under the Exchange Act of 1934, as amended (the “使擁有公司註冊證券類別10%以上股權的官員、董事或實際股東代表簽署人遞交表格3、4和5(包括修正版及有關聯合遞交協議),符合證券交易法案第16(a)條及其下屬規則規定的要求;”).
(g) Assuming the accuracy of the Investor’s representations and warranties set forth in 第6節, no registration under the Securities Act of 1933, as amended (the “1933年證券法本協議規定,轉讓PIPE股份或特許人股份給投資者需要獲得”。而這些PIPE股份和特許人股份既不是以任何形式進行一般招攬或廣告向投資者提供的,也不是以違反《證券法》或任何州證券法規定的公開發行方式向投資者提供的。
在業務整合完成交割時,特許人股份將根據業務整合協議的規定進行換股,並在依照《證券法》登記的新特許人股份發行中。業務整合完成後,新特許人股份將無限制,並且無需附加標籤。供避免疑慮,在業務整合完成後,新特許人股份將不再受限於《信函協議》第5條或特許方附屬信函第1.4(a)和(b)條中包含的轉讓限制。公司將要求其律師在交割日向過戶代理(下文將定義)出具法律意見,以去除新特許人股份上的所有標籤。
5. 贊助方的陳述和保證特許方向投資者保證並聲明:
(a)特許方是特許人股份的名義和受益所有者,並擁有特許人股份的完全和可轉讓所有權,並將在將特許人股份轉讓給投資者之時,成爲特許人股份的名義和受益所有者,以上述情況,特許人股份將不受任何種類的留置、質押、抵押、讓與、債權、約定、選擇權、投票信託、代理或其他安排或限制的約束,而且在按照本協議規定轉讓給投資者時,將完全無任何留置、質押、抵押、讓與、債權、約定、選擇權、投票信託、代理或其他安排或限制的約束(其他限制和適用於特許人股份的通用條款和適用證券法除外)。
(b) 此協議的執行、交付和履行以及贊助方根據此協議擬議的交易不違反、不與其《組織證明書》或《經營協議》(i)、贊助方作爲一方或受其約束的任何協議或文書,包括信函協議和贊助方附側信(即)發生衝突,或構成違約;
在(iii)、贊助方受制於的任何法律、法規、規章或任何相關法令、裁定或法令下,贊助方不受聯邦、州或地方法律、規章或法規的規定必須獲得任何法院或政府機構或自律實體的任何同意、授權或命令或進行任何提交或註冊,以便其根據此協議執行其任何義務,包括根據本協議條款轉讓贊助股份,而不涉及向SEC提交有益所有權的申報。
6. 投資者聲明和擔保投資者向公司和贊助方聲明並保證:
(a) 投資者或投資者代表的或與投資者有關的每一個基金,作爲投資者行使提名權,如適用,(i) 是《證券法》144A條款下規定的「合格機構買家」,或者是《證券法》規則D條款501(a)(1)、(2)、(3)、(7)、(8)、(9)、(12)或(13)項定義的「認定投資者」,並滿足本由此定義的適用要求;(ii) 僅爲自身取得PIPE股份和贊助股份,而不是爲他人帳戶取得,或者如果投資者作爲一個或多個投資者帳戶的受託人或代理人來取得PIPE股份或贊助股份,每個這樣的帳戶的所有者是《證券法》144A條款下規定的「合格機構買家」,或者是《證券法》規則D條款501所定義的「認定投資者」的(1)、(2)、(3)或(7)項,並且投資者對每個這樣的帳戶享有充分的投資決定權,並有完全的權力和權限代表每個這樣的帳戶的所有者在此作出確認、聲明和協議;(iii) 此《證券法》或美國任何其他司法管轄區的任何證券法違反的情況下,投資者不是爲了以違反《證券法》或美國或其他司法管轄區的任何證券法的分佈情況,而取得PIPE股份或贊助股份。 附表A 投資者將提供所要求的信息,如下所示: 附表A 在此簽署頁後以及其中包含的信息準確完整。投資者不是爲了獲得PIPE股份或發起人股份的特定目的而設立的實體。術語“關聯公司「」或「」隸屬”在本協議中使用時,將表示對於任何個人、合夥企業、公司、有限責任公司、股份公司、不設立法人資格的組織或協會、信託、合資企業或其他類似實體,無論是否爲法律實體或政府實體(“人員。”),直接或間接通過一個或多箇中間人,控制、受控於或與該人處於共同控制之下的其他任何人。術語“控制,本協議中的"”"一詞表示直接或間接擁有指導或導致指導某人的管理和策略的權力,無論是通過擁有投票證券,合同或其他方式,術語"如果一個指定的人被另一個人或兩個或多個人共同或協同控制,則該人被「控制」。”和“控制權「具有對應含義。」則含有相應的含義。
(b) 投資者茲承認並同意管道(由公司發行)和贊助商股份(由贊助商轉讓)的發行均不構成《證券法》所指的公開發行,並且管道股份的發行和贊助商股份的轉讓未在《證券法》或任何其他適用的證券法律下注冊。投資者承認並同意,除非(一)向公司或其子公司、(二)根據《證券法》下的第S條規定外國人的要約和銷售或(三)根據《證券法》的另一適用豁免情況,否則在"業務組合"結束前,管道股份和贊助商股份不得被投資者提供、轉售、轉讓、抵押或以其他方式處置,並且必須根據美國各州和其他司法管轄區的適用證券法的規定,該等規定包括(i)和(iii)中的任何排除交易所需進行書面登記的有效登記記錄標有限制性標籤以證明該事實。投資者承認並同意,管道股份和贊助商股份將受到轉讓限制的約束,由於這些轉讓限制,投資者可能無法輕鬆地提供、轉售、轉讓、抵押或以其他方式處置管道股份和贊助商股份,並可能被要求承擔管道股份和贊助商股份投資的金融風險長達無限的時間。投資者承認並同意,管道股份和贊助商股份將不會立即符合《證券法》下頒佈的第144條規定進行要約、轉售、轉讓或處置的資格 ("規則144投資者承認並同意,在進行任何PIPE股票或贊助股票的報價、轉售、轉讓、質押、轉移或處置之前,應在交易完成前諮詢法律顧問以及稅務和會計顧問。投資者承認,在業務合併交割之前,贊助股票受限於《某個贊助人側信函》中規定的轉讓和贖回限制,該信函於2023年9月12日由公司與贊助人簽訂,如有修改,投資者明確同意在業務合併交割之前遵守該協議的條款,做出相關聲明,以確保在業務合併交割之後,投資者不受到此類轉讓和贖回限制的約束,公司不需要在任何投資者贊助股票的報價、轉售、轉讓、質押、轉移或處置方面再次批准或同意。
(c)投資者對PIPE股票和贊助股票的獲取和持有將不構成或導致違反《1974年修訂的僱員退休收入保障法》第406條、《1986年修訂的內部稅收法》第4975條或任何適用的類似法律的禁止交易。
(d)投資者承認並同意,投資者已收到投資PIPE股票和贊助股票所需的信息,包括公司及DevvStream的業務和業務合併相關信息。不限制前述內容的廣泛性,投資者承認已審閱了SEC報告。投資者承認並同意投資者及投資者的專業顧問(如果有)已充分詢問相關問題、得到解答並獲得了投資PIPE股票和贊助股票所需的信息,以作出相關投資決定。
(e) 投資者僅通過與公司或代表公司直接聯繫而獲悉本協議擬議的交易。投資者並未通過其他方式獲悉本協議擬議的交易,PIPE股份或贊助商股份也未向投資者提供,也沒有公司或其代表或任何代表投資者的人充當投資顧問、經紀人或經銷商。投資者承認PIPE股份和贊助商股份(i)未通過任何形式的一般招攬或廣告宣傳提供,以及(ii)未以牽扯公開發行或違反《證券法》或任何州證券法的方式提供。投資者承認並同意,投資者直接從贊助商處接收贊助商股份。投資者進一步承認,投資者沒有對公司或贊助商或任何其相關聯公司或任何實際控制人、官員、董事、僱員、合作伙伴、代理人或代表或任何其他人或實體明示或暗示作出的,除公司在本協議第五部分明確載明的,的陳述、擔保、契約和協議有任何依賴。 (a)委員會負責管理本《2023年計劃》,並可以將其職責和權力全部或部分委託給任何子委員會。 委員會可以制定本《2023年計劃》的規則和條例。 委員會應按其所確定的時間和地點召開會議。 委員會成員中的多數人構成法定人數。 of this Agreement and of the Sponsor set forth in Section 5 of this Agreement.
(f) 投資者承認,購買和持有PIPE股份和贊助商股份存在重大風險,包括但不限於SEC報告中所列明的風險。投資者在財務和商業事務方面具有足夠的知識和經驗,能夠評估購買PIPE股份和贊助商股份的利弊和風險,並已有機會尋求並已經尋求了認爲有必要做出知情投資決策所需的會計、法律、商業和稅務建議,並已就其購買PIPE股份和贊助商股份感到滿意。投資者(i)是根據FINRA規則4512(c)規定的機構帳戶,(ii)是一位精明的投資者,在私募股權交易投資方面經驗豐富,能夠獨立評估投資風險,無論是總體上還是與涉及任何證券或證券的所有交易和投資策略有關,以及(iii)在評估其參與購買PIPE股份和贊助商股份的過程中行使了獨立判斷。投資者能夠承受對其在PIPE股份和贊助商股份的投資完全損失,對其在PIPE股份和贊助商股份的投資並不需要流動性,並且沒有理由預見將導致或要求其出售或分配PIPE股份和贊助商股份的任何全部或部分資產的情況,無論是財務上的或其他方面的。
(g)獨自或與任何專業顧問一起,投資者已充分分析並充分考慮了對PIPE股和贊助者股票的投資風險,並確定PIPE股和贊助者股票對投資者是合適的投資,而且投資者在此時和可預見的未來能夠承擔其對公司的投資存在全部損失的經濟風險。投資者特別承認存在全部損失的可能性。
(h)在決定收購PIPE股和贊助者股票時,投資者僅依賴於投資者作出的獨立調查。在不限制前述的情況下,投資者沒有依賴任何配售代理或其任何關聯方,也沒有依賴任何控股人、公司高管、董事、員工、合作伙伴、代理人或前述任何人員就公司、DevvStream、業務組合、業務組合協議、本協議或所示交易或PIPE股和贊助者股票提供的任何聲明或其他信息。
(i)投資者承認並同意,聯邦或州政府機構尚未審核或認可PIPE股或贊助方股票的發行優點,也未做出任何關於此投資是否公平的裁定或結論。
(j)如果投資者不是個人,那麼該投資者已依法成立或註冊,並在成立或註冊的司法管轄區合法存在且正常經營,有權力和權威簽署、交付並履行本協議項下的義務。投資者有足夠的資金支付認購額度。
(k)投資者執行、交付及履行本協議及本協議所示交易的行爲在投資者的權力範圍內均得到授權,不會構成或導致違反或違約,或與任何法院或其他法院或任何政府委員會或機構的任何命令、裁決或法規衝突,也不會與投資者參與或受約束的任何協議或其他承諾衝突或違反,如果投資者不是個人,則不會與投資者的組織文件的任何規定衝突或違反,包括但不限於其公司組織文件、公司秘書、信託合同或合夥制或經營協議等。簽署本協議是真實的,如果投資者是個人則簽署本協議的簽字人具有合法能力和簽署能力,或者如果投資者不是個人,則簽署人已被授權簽署本協議,本協議已由投資者或投資者已委託投資決策權的投資顧問簽署和交付,本協議構成投資者的合法、有效和有約束力的義務,根據其條款對投資者可強制執行,除非受(i)破產、無力償還債務、欺詐轉讓、重組、停止支付或其他與普遍債權人權利有關的法律,以及(ii)在法律或公平原則下考慮是否受到制約或其他影響。
(l) The Investor is not (i) a person or entity named on the List of Specially Designated Nationals and Blocked Persons, the Executive Order 13599 List, the Foreign Sanctions Evaders List,
or the Sectoral Sanctions Identification List, each of which is administered by the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”) or in any Executive Order issued by the President of the United States and administered
by OFAC (“OFAC清單”), or a person or entity prohibited by any OFAC sanctions program, (ii) owned, directly or indirectly, or controlled by, or acting on behalf of, one or more persons that are named on the OFAC Lists; (iii) organized,
incorporated, established, located, resident or born in, or a citizen, national or the government, including any political subdivision, agency or instrumentality thereof, of Cuba, Iran, North Korea, Russia, Syria, the Crimea, Donetsk or Luhansk
regions of Ukraine or any other country or territory embargoed or subject to substantial trade restrictions by the United States, (iv) a Designated National as defined in the Cuban Assets Control Regulations, 31 C.F.R. Part 515, or (v) a non-U.S.
shell bank or providing banking services indirectly to a non-U.S. shell bank (each, a “受限制的投資者”). The Investor agrees to provide law enforcement agencies, if requested thereby, such records as required by applicable law, provided
that the Investor is permitted to do so under applicable law. If the Investor is a financial institution subject to the Bank Secrecy Act (31 U.S.C. Section 5311 et seq.) (the “BSA”),根據2001年《美國愛國者法案》,該法案對BSA進行了修改愛國者法案”)及其實施法規。BSA/PATRIOT法案),投資方制定的政策和程序合理設計,以遵守根據BSA/PATRIOT法案的適用義務。在必要範圍內,投資方制定的政策和程序合理設計,用於對其投資者進行OFAC制裁方案的篩查,包括但不限於OFAC名單。根據適用法律的要求,投資方制定的政策和程序合理設計,以確保用於支付認購額度的資金來源合法,並且不是直接或間接從被禁止的投資者處獲得的。
(m) 投資方截至本合同日期,及在此日期之前三十(30)天內,未持有任何按照證券交易法16a-1規定定義的「看跌等價頭寸」,或涉及公司或DevvStream證券的空頭頭寸。投資方目前不是(並且在交割日前始終會避免成爲)根據證券交易法第13(d)(3)條或第14(d)(2)條或任何後續規定的「組」的成員,旨在取得、持有、投票或處置公司股票權益(根據證券交易法規則13d-5(b)(1)的定義),除了由投資方及其關聯公司組成的組。
7. 終止本協議應在以下最早的日期終止並自行作廢,各方在本協議下的所有權利和義務應終止,且任何一方對此均不承擔進一步責任:(a)各方書面協議終止本協議,(b)如果交割自本協議日期起60天內未發生,則投資方向公司和贊助商交付終止本協議的通知,以及(c)業務合併協議的終止;但不應免除本協議項下在終止時之前的任何有意和實質性違約的任何一方的責任,每一方應有權採取法律或公平救濟措施來追償因任何此類有意和實質性違約而產生的損失、責任或損害。公司應在業務合併協議終止後儘快通知投資方。
8. 信託帳戶豁免. The Investor acknowledges that FIAC is a blank check company with the powers and privileges to effect a merger, asset acquisition, reorganization or
similar business combination involving FIAC and one or more businesses or assets. The Investor further acknowledges that, as described in FIAC’s final prospectus relating to its initial public offering dated October 27, 2021 (the “Final
Prospectus”) available at www.sec.gov, substantially all of FIAC’s assets consist of the cash proceeds of FIAC’s initial public offering and private placement of its securities, and substantially all of those proceeds have been deposited in a
trust account (the 「Trust Account」) for the benefit of FIAC, its public shareholders and the underwriters of FIAC’s initial public offering. Except with respect to interest earned on the funds held in the Trust Account that may be released to FIAC
to pay its tax obligations, if any, the cash in the Trust Account may be disbursed only for the purposes set forth in the Final Prospectus. For and in consideration of FIAC entering into this Agreement, the receipt and sufficiency of which are
hereby acknowledged, the Investor, on behalf of itself and its representatives, hereby irrevocably waives any and all right, title and interest, or any claim of any kind it has or may have in the future, in or to any monies held in the Trust
Account (or distributions therefrom to FIAC’s public shareholders or to the underwriters of FIAC’s initial public offering in respect of their deferred underwriting commissions held in the Trust Account), and agrees not to seek recourse against the
Trust Account as a result of, or arising out of, this Agreement or the transactions contemplated hereby regardless of whether such claim arises based on contract, tort, equity or any other theory of legal liability; provided, however, that nothing
in this 第8節。其他股票獎勵。 shall be deemed to limit the Investor’s right, title, interest or claim to any monies held in the Trust Account by virtue of its record or beneficial ownership of publicly traded Class A Shares acquired in an open market
transaction, pursuant to a validly exercised redemption right with respect to any such Class A Shares, in accordance with FIAC’s Amended and Restated Certificate of Incorporation, as may be subsequently amended from time to time, and the Investment
Management Trust Agreement between Continental Stock Transfer & Trust Company and FIAC, dated November 1, 2021, except to the extent that the Investor has otherwise agreed in writing with FIAC or any of their respective affiliates to not
exercise such redemption right.
9. 其他.
(a) Neither this Agreement nor any rights that may accrue to the Investor hereunder may be transferred or assigned. Notwithstanding the foregoing, after notifying the Company, Investor may
assign its rights and obligations under this Agreement to one or more of its affiliates or, with the Company’s prior written consent, to another person, provided that no such assignment shall relieve Investor of its obligations hereunder if any
such assignee fails to perform such obligations.
(b) The Investor acknowledges that the Company and the Sponsor will rely on the acknowledgments, understandings, agreements, representations and warranties contained in this Agreement,
including 附表A hereto. Prior to the Closing, the Investor agrees to promptly notify the Company in writing (email being sufficient) if any of the acknowledgments, understandings, agreements, representations or warranties set forth in
第6節 above are no longer accurate in any material respect (other than those acknowledgments, understandings, agreements, representations and warranties qualified by materiality, in which case the Investor shall notify the Company if
they are no longer accurate in any respect).
(c) The Investor agrees that, from the date hereof until the Closing or the earlier termination of this Agreement, none of the Investor or any person or entity acting on behalf of the
Investor or pursuant to any understanding with the Investor will engage in any hedging or other transactions or arrangements (including, without limitation, any short sale or the purchase or sale of, or entry into, any put or call option, or
combination thereof, forward, swap or any other derivative transaction or similar instrument, including without limitation equity repurchase agreements and securities lending arrangements, however described or defined) designed or intended, or
which could reasonably be expected to lead to or result in, a sale, loan, pledge or other disposition or transfer (whether by the Investor or any other person), in each case, solely to the extent it has the same economic effect as a 「short sale」
(as defined in Rule 200 promulgated under Regulation SHO under the Exchange Act), of any economic consequences of ownership (excluding, for the avoidance of doubt, any consequences resulting solely from foreign exchange fluctuations), in whole or
in part, directly or indirectly, physically or synthetically, of any securities of the Company or DevvStream prior to the Closing, whether any such transaction or arrangement (or instrument provided for thereunder) would be settled by delivery of
securities of the Company or DevvStream, in cash or otherwise, or to publicly disclose the intention to undertake any of the foregoing.
(d) 投資者承認,其持有的任何贊助股在業務組合完成前不可贖回。
(e) 投資者同意,無論通過控制權變更、轉讓人或實際控制該轉讓人的任何人,以及轉讓人的權益證券發行或轉讓,或其他方式,均不得主動或被動地進行任何贊助股的轉讓、出售、抵押或其他處置(每一種方式均爲“)。投資者可將贊助股分配給其成員或其他投資者的關聯公司,但前提是,在轉讓前或同時,贊助股接收方成員或投資者的關聯公司需根據可接受各方的書面協議同意作爲本協議的一方受其約束。「轉讓」還將被視爲發生在任何操作持有人(或該操作持有人的允許受讓人)有B類普通股股份的非盈利機構(或該股份的任何受益人)持有該B類普通股股份的頂層支配權或獨家投票權控制時,就該B類普通股股份而言,操作持有人(或其允許受讓方)不再保留獨立支配權(在操作持有人和其允許受讓方之間)和其對該安全的投票或投票的獨佔支配權(包括通過委託、投票協議或其他方式),情況下(在這種情況下)。即使是這種情況,以下任何情況也不被視爲「轉讓」:),或允許任何轉讓。投資者可將贊助股分配給其成員或其他投資者的關聯公司,但前提是,在轉讓前或同時,贊助股接收方成員或投資者的關聯公司需根據可接受各方的書面協議同意作爲本協議的一方受其約束。 在每種情況下,該B類股東和/或該B類股東的家庭成員需獨立控制在此類帳戶、計劃或信託中持有的B類普通股實時;, 那樣的 投資者可將贊助股分發給其成員或直至投資者的關聯方,只要在轉讓前或同時,收到贊助股的任何成員或投資者的關聯方均簽署一份合同,該合同需得到各方認可,同意按照本協議的條款受其約束,如同是本協議的一方。 在每種情況下,該B類股東和/或該B類股東的家庭成員需獨立控制在此類帳戶、計劃或信託中持有的B類普通股實時;,
此外, 那樣的 if such written agreement is not executed and delivered to the parties hereto, such distribution of the Sponsor Shares shall not be permitted hereunder.
(f) The Company, the Sponsor and DevvStream are entitled to rely upon this Agreement and each is irrevocably authorized to produce this Agreement or a copy hereof to any interested party
in any administrative or legal proceeding or official inquiry with respect to the matters covered hereby.
(g) All of the agreements, representations and warranties made by each party hereto in this Agreement shall survive the Closing.
(h) This Agreement may not be terminated other than pursuant to the terms of 第7節。受限制的股票和受限制的股票單位。 above. The provisions of this Agreement may not be modified, amended or waived except by an
instrument in writing, signed by each of the parties hereto. No failure or delay of either party hereto in exercising any right or remedy hereunder shall operate as a waiver thereof, nor shall any single or partial exercise of any such right or
power, or any abandonment or discontinuance of steps to enforce such right or power, or any course of conduct, preclude any other or further exercise thereof or the exercise of any other right or power. The rights and remedies of the parties
hereunder are cumulative and are not exclusive of any rights or remedies that they would otherwise have hereunder.
(i) 本協議及其附表構成整個協議,取代所有先前相關主題的其他書面和口頭協議,了解,陳述和擔保。本協議除交易雙方及其各自的繼承人、受讓人外,不應賦予任何第三方權利或救濟,但DevvStream應爲本協議的第三方受益人。
(j) 除非本協議另有規定,否則本協議對交易雙方及其繼承人、執行人、管理人、繼承人、法定代表人和許可受讓人具有約束力,並且本協議中包含的協議、陳述、擔保、契約和確認應被認爲是由這些繼承人、執行人、管理人、繼承人、法定代表人和許可受讓人作出並對其具有約束力。
(k) 如果本協議的任何條款經有管轄權的法院裁定爲無效、非法或不可執行,則不應以任何方式影響或損害本協議其他條款的有效性、合法性或可執行性,這些條款應繼續完全有效。
(l) 本協議可由一方或多方在一個或多個副本中籤署並交付(包括但不限於傳真、電子郵件或.pdf格式),並由不同的方當事人在單獨的副本中籤署,具有與所有當事人簽署同一文件相同的效力。應將所有如此簽署並交付的副本一併解釋構成同一協議。
(m) 各方承認並同意,如果未按照具體條款執行本協議的任何規定或違反了該等規定可能造成不可彌補的損害。因此,各方有權請求法院下令禁止違反本協議,無需提供按金或承諾並無需證明損害,以強制執行本協議的條款。除了在法律、衡平法、合同、侵權行爲或其他情形下享有的任何其他救濟外,各方承認並同意,各方有權尋求根據本協議在此規定的條件和條款下具體強制履行其他各方的義務。
(n) 任何要求或允許向投資者發出的通知或溝通應以書面形式進行,並通過個人遞送、通過電子郵件發送,或通過著名隔夜快遞寄出或通過掛號信寄出,已付郵資,寄至本頁簽名處所載地址或電子郵件地址,視爲已送達和已接收(i)當出現個人遞送時,(ii)當發送時,如果通過電子郵件發送且無郵件無法投遞或其他拒收通知,或(iii)郵寄日期後的三(3)個工作日送達到以下地址或通過投資者以後在此通過通知指定的其他地址或地址:
(i) 如果發給投資者,則應發送至本頁簽名處載明的地址或地址;
(ii) 如果發給公司:
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聚焦影響收購公司。
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帕克大道250號,911號套房
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New York, NY 10177
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請注意:卡爾·斯坦頓
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電子郵件:cstanton@focus-impact.com
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並抄送(不構成通知)至:
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Kirkland & Ellis LLP
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601 Lexington Avenue
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紐約,NY 10022
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注意:彼得·塞利格森,律師
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郵箱:peter.seligson@kirkland.com
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(iii) 如果發給
保薦方:
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專注影響贊助商,有限責任公司
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帕克大道250號,911號套房
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New York, NY 10177
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請注意:卡爾·斯坦頓
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電子郵件:cstanton@focus-impact.com
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並抄送(不構成通知)至:
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Kirkland & Ellis LLP
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601 Lexington Avenue
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紐約,NY 10022
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注意:彼得·塞利格森,律師
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郵箱:peter.seligson@kirkland.com
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