EX-10.1 4 ea022284201ex10-1_brillia.htm FORM OF LOCK-UP AGREEMENT

Exhibit 10.1

 

鎖定協議

 

2024年11月26日

 

A.G.P./全球合作伙伴
590 麥迪遜大道,28樓
New York, NY 10022

 

女士們,先生們:

 

簽署人理解 作爲幾家承銷商(即「global partners」代表)的A.G.P./Alliance Global Partners代表人提議與BrilliA Inc簽訂承銷協議(“承銷協議”)以參與開曼群島法律下成立的公司BrilliA Inc進行承銷協議公司公開發售”)由承銷協議附表1中列明的多家承銷商簽署承銷協議承壓商公司的A類普通股,每股面值$0.00005的股份(簡稱“A類股”). 本處所使用的大寫字母定義術語未另行定義則應遵循承銷協議中所載之定義。

 

爲了促使代表繼續在公開發行事項中的努力,簽署人特此同意,在未經代表事先書面同意的情況下,在本日起至與公開發行相關的包括公開發行協議(簡稱“ ”)的日期後六個月結束之間的期間內,未經代表允許,簽署人不得:(1)提供、抵押、出售、或者簽署銷售合同、授予、出借,或者直接或間接地轉讓或處理公司A類股份或任何可轉換爲A類股份或可行使權利或交換爲A類股份的證券,無論簽署人現在擁有或今後收購的或關於簽署人擁有或今後獲得處置權的證券(統稱“鎖定證券”); (2) enter into any swap or other arrangement that transfers to another, in whole or in part, any of the economic consequences of ownership of the Lock-Up Securities, whether any such transaction described in clause (1) or (2) above is to be settled by delivery of Lock-Up Securities, in cash or otherwise; (3) make any demand for or exercise any right with respect to the registration of any Lock-Up Securities; or (4) publicly disclose the intention to make any offer, sale, pledge or disposition, or to enter into any transaction, swap, hedge or other arrangement relating to any Lock-Up Securities. Notwithstanding the foregoing, and subject to the conditions below, the undersigned may transfer Lock-Up Securities without the prior written consent of the Representative in connection with (a) transactions relating to Lock-Up Securities acquired in open market transactions after the completion of the Public Offering; provided that no filing under Section 16(a) of the Securities Exchange Act of 1934, as amended (the “交易法”), shall be voluntarily made in connection with subsequent sales of Lock-Up Securities acquired in such open market transactions; (b) transfers of Lock-Up Securities as a 真實的原因 gift, by will or intestacy or to a family member or trust for the benefit of a family member (for purposes of this lock-up agreement, 「family member」 means any relationship by blood, marriage or adoption, not more remote than first cousin); (c) transfers of Lock-Up Securities to a charity or educational institution; or (d) if the undersigned, directly or indirectly, controls a corporation, partnership, limited liability company or other business entity, any transfers of Lock-Up Securities to any shareholder, partner or member of, or owner of similar equity interests in, the undersigned, as the case may be; provided that in the case of any transfer pursuant to the foregoing clauses (b), (c) or (d), (i) any such transfer shall not involve a disposition for value, (ii) each transferee shall sign and deliver to the Representative a lock-up agreement substantially in the form of this lock-up agreement and (iii) no filing under Section 16(a) of the Exchange Act shall be voluntarily made. The undersigned also agrees and consents to the entry of stop transfer instructions with the Company’s transfer agent and registrar against the transfer of the undersigned’s Lock-Up Securities except in compliance with this lock-up agreement.

 

 

 

 

如果簽署人是公司的主管或董事,(i)簽署人同意前述限制同樣適用於在公開發行中籤署人可能購買的任何由發行人指定或「親朋好友」購買的A類股份; 並且(ii)代表同意,在與鎖定證券轉讓相關的前述限制的任何解除或豁免的生效日期之前的至少三(3)個工作日,代表將通知公司即將解除或豁免的事宜。本段的規定不適用於以下情形:(a)解除或豁免僅爲了允許非以報酬轉讓鎖定證券;(b)受讓方書面同意受到本鎖定協議中描述的相同條款的約束,對於這些條款在轉讓時仍然有效的範圍和持續時間。

 

本協議中的任何規定均不得被視爲限制或禁止簽署人行使、交換或轉換任何可行使、可交換或可轉換爲股份的有價證券; provided 簽署人同意不在鎖定期內轉讓因行使、交換或轉換而獲得的A類股份,除非根據本鎖定協議的規定另有許可。此外,本協議中的任何規定都不得被視爲限制或禁止隨時簽訂或修改所謂的「10b5-1」計劃(除非簽訂或修改此類計劃的方式會導致在鎖定期內出售任何鎖定證券)。

 

The undersigned understands that the Company and the Representative are relying upon this lock-up agreement in proceeding toward consummation of the Public Offering. The undersigned further understands that this lock-up agreement is irrevocable and shall be binding upon the undersigned’s heirs, legal representatives, successors and assigns.

 

簽署人理解,如果承銷協議在2024年12月5日前未獲執行,或者承銷協議(除了其存續的條款之外)在A類股份的首次關閉日期之前終止或被提前終止,則本限制協議將被視爲無效,不再具有任何效力。

 

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