附件10.1

证券购买 协议

这证券购买协议(“协议”)日期为2023年8月31日，由Lytus Technologies Holdings PTV签署。本公司为根据英属维尔京群岛法律成立的公司，其办事处位于印度孟买Andheri(East) Andheri(East) Andheri(East)，Mahakali Caves Road A翼601号珠峰格兰德(Everest Grande)(“本公司”)，以及本协议所附买家名单上所列的每一位投资者(个别为“买家”，集体为“买家”)。

独奏会

答： 公司和每个买方依据的是《1933年证券法》(经修订)第4(A)(2)节和美国证券交易委员会(“美国证券交易委员会”)根据1933年法案颁布的《条例D》第506(B)条规定的证券登记豁免 签署和交付本协议。

B.公司已授权本公司新发行的一系列可转换优先股，指定为A系列可转换优先股，面值为0.01美元，其条款载于该系列优先股的指定证书(“指定证书”)中，其形式为附件A(连同根据其条款发行的任何可转换优先股，即“A系列优先股”)。A系列优先股 可转换为普通股(定义见下文)(根据指定证书的条款可发行的普通股，包括但不限于转换或以其他方式统称为“转换股份”)， 根据指定证书的条款。

C.每个买方都希望购买，而公司希望根据本协议规定的条款和条件出售(I)买方名单第(3)栏中与买方姓名相对的A系列优先股(“初始优先股”)股份总数，(Ii)初步收购买方名单第(5)栏中与买方姓名相对的额外普通股总数的普通权证。实质上以附件 B(“普通权证”)(统称为“认股权证”)的形式及 (Iii)认股权证，初步收购买方名册第(4)栏内与买方姓名相对的A系列优先股额外股份总数，基本上以附件附件作为附件C(“优先认股权证”)的形式(统称为“认股权证”)(行使时为“认股权证”，连同初始优先股，称为“优先股”)。

D.在交易结束时，本协议各方应签署并交付一份注册权协议，该协议的格式应为本协议附件D(“注册权协议”)，根据该协议，公司同意根据1933年法案及其颁布的规则和法规以及适用的州证券法，就可注册证券(在注册权协议中的定义)提供某些注册权利。

E.优先股、转换股份、优先认股权证、普通权证及认股权证在此统称为“证券”。

协议书

因此，本公司和每一位买主在此确认，考虑到房屋和本合同所载的相互契诺，以及其他良好和有价值的对价，已收到并已收到足够的价款，本公司和每位买方同意如下：

1.优先股、优先权证及普通权证的买卖。

(A) 购买优先股、优先权证和普通权证。在满足(或豁免)以下第6条和第7条规定的条件的前提下，公司应向每一位买家发行并出售，每一位买家分别但不是共同同意 在成交日期(定义如下)从本公司购买(A)在买家名单第(3)栏中与买家姓名相对的优先股总数。(B)优先认股权证，初步收购买方附表第(4)栏中与买方姓名相对的认股权证优先股总数 ，及(C)普通权证 ，初步收购买方附表第(5)栏中与买方姓名相对的认股权证普通股总数。

(B) 结束。买方购买优先股、优先认股权证和普通权证的交易应在Kelley Drye&Warren LLP的办公室进行，地址为纽约格林威治街175号，纽约，NY 10007。成交日期及时间(“成交日期”)应为纽约时间上午10：00，即满足或豁免下文第6及7节所载成交条件的首(1)个营业日(或本公司与各买方双方同意的其他 日期)。这里所用的“营业日”是指除星期六、星期日或法律授权或要求纽约市商业银行继续关闭的其他日子以外的任何日子；但为澄清起见，只要纽约市商业银行的电子资金转账系统(包括电汇系统)在这一天对客户开放，商业银行不应被视为获得授权或法律要求其继续关闭，只要该日纽约商业银行的电子资金转账系统(包括电汇系统)在这一天对客户开放。

(C) 采购价格。各买方将购买的优先股、优先认股权证及普通权证的总收购价(“收购价”)应为买方名单第(6)栏中与该买方名称相对的金额。每名买方应为其将在成交时购买的每1,000美元的优先股、优先认股权证和普通权证支付约850美元。

(D)付款形式。在成交日期，(I)每个买方应向公司支付各自的购买价格(如果是任何买方，则减去根据第4(G)条扣留的 金额)，以购买将在成交时发行和出售给该买方的优先股、优先认股权证和普通权证，根据《资金流动函》(定义见下文)，通过电汇立即可用资金，以及(Ii)公司应向每位买方交付(A)买方名单第(3)栏中与买方姓名相对的优先股总数，(B)向 初步收购于买方附表第(4)栏与买方姓名相对之处所载最多该总数认股权证优先股及(C)普通权证，据此，该买方有权初步收购于买方附表第(5)栏与买方姓名相对之该等认股权证普通股总数，在每种情况下，该优先认股权证均代表本公司妥为签立，并登记于该买方或其指定人名下。

2. 买方陈述和保修。

每名买方(并非共同)仅就其本身向本公司表示并保证，截至本合同日期和截止日期：

(A)组织；权威。该买方是根据其组织的法律正式组织、有效存在和信誉良好的实体，具有必要的权力和授权以达成和完成其所属的交易文件(定义见下文)所设想的交易，并以其他方式履行其在本协议和协议项下的义务。

(b) No Public Sale or Distribution. Such Buyer (i) is acquiring its Preferred Shares, Preferred Warrant and Common Warrants, (ii) upon conversion of its Preferred Shares will acquire the Conversion Shares issuable upon conversion thereof, (iii) upon exercise of its Common Warrants (other than pursuant to a Cashless Exercise (as defined in the Common Warrants)) will acquire the Warrant Common Shares issuable upon exercise thereof and (iv) upon exercise of its Preferred Warrants will acquire the Warrant Preferred Shares issuable upon exercise thereof, in each case, for its own account and not with a view towards, or for resale in connection with, the public sale or distribution thereof in violation of applicable securities laws, except pursuant to sales registered or exempted under the 1933 Act; provided, however, by making the representations herein, such Buyer does not agree, or make any representation or warranty, to hold any of the Securities for any minimum or other specific term and reserves the right to dispose of the Securities at any time in accordance with or pursuant to a registration statement or an exemption from registration under the 1933 Act. Such Buyer does not presently have any agreement or understanding, directly or indirectly, with any Person to distribute any of the Securities in violation of applicable securities laws. For purposes of this Agreement, “Person” means an individual, a limited liability company, a partnership, a joint venture, a corporation, a trust, an unincorporated organization, any other entity and any Governmental Entity (as defined below) or any department or agency thereof.

(c)认可 投资者状态。该买方是一个“认可投资者”，该术语定义在条例D的规则501（a）。

(d)依赖豁免。 该买方理解，根据美国联邦和州证券法的注册要求的特定豁免，向其提供和出售证券，且该公司部分依赖于声明、保证、协议的真实性和准确性， 以及该买方遵守这些声明、保证、协议，本协议所述买方的同意和理解 ，以确定此类豁免的可用性以及买方收购证券的资格。

(e)信息. 该买方及其顾问（如有）已被提供了与 公司业务、财务和运营有关的所有材料，以及与该买方要求的证券要约和销售有关的材料。此类买方及其 顾问（如有）有机会向公司提出问题。买方或其顾问（如有）或其代表进行的此类查询或任何其他尽职调查均不得修改、修改或影响买方依赖本协议所载公司声明和保证的权利。该买方明白其 投资证券涉及高度风险。该买方已寻求其 认为必要的会计、法律和税务建议，以就其收购证券作出明智的投资决定。

(f)没有政府审查。 该买方理解，美国联邦或州机构或任何其他政府或政府机构均未就证券或证券投资的公平性或适当性传递或 作出任何建议或认可，也未 该等机构传递或认可证券发行的价值。

(g) Transfer or Resale. Such Buyer understands that except as provided in the Registration Rights Agreement and Section 4(h) hereof: (i) the Securities have not been and are not being registered under the 1933 Act or any state securities laws, and may not be offered for sale, sold, assigned or transferred unless (A) subsequently registered thereunder, (B) such Buyer shall have delivered to the Company (if requested by the Company) an opinion of counsel, in a form reasonably acceptable to the Company, to the effect that such Securities to be sold, assigned or transferred may be sold, assigned or transferred pursuant to an exemption from such registration, or (C) such Buyer provides the Company with reasonable assurance that such Securities can be sold, assigned or transferred pursuant to Rule 144 or Rule 144A promulgated under the 1933 Act (or a successor rule thereto) (collectively, “Rule 144”); (ii) any sale of the Securities made in reliance on Rule 144 may be made only in accordance with the terms of Rule 144, and further, if Rule 144 is not applicable, any resale of the Securities under circumstances in which the seller (or the Person through whom the sale is made) may be deemed to be an underwriter (as that term is defined in the 1933 Act) may require compliance with some other exemption under the 1933 Act or the rules and regulations of the SEC promulgated thereunder; and (iii) neither the Company nor any other Person is under any obligation to register the Securities under the 1933 Act or any state securities laws or to comply with the terms and conditions of any exemption thereunder. Notwithstanding the foregoing, the Securities may be pledged in connection with a bona fide margin account or other loan or financing arrangement secured by the Securities and such pledge of Securities shall not be deemed to be a transfer, sale or assignment of the Securities hereunder, and no Buyer effecting a pledge of Securities shall be required to provide the Company with any notice thereof or otherwise make any delivery to the Company pursuant to this Agreement or any other Transaction Document (as defined in Section 3(b)), including, without limitation, this Section 2(g).

(h)有效性； 强制执行。本协议和注册权协议已代表该买方正式有效授权、签署和交付 ，并构成该买方的合法、有效和有约束力的义务，可根据其各自的条款对该买方执行 ，除非此类可执行性可能受到一般公平原则的限制，或 适用的破产、无力偿债、重组、延期，清算和其他与执行适用债权人权利和救济措施有关或普遍影响的类似法律。

(i)没有冲突。 该买方对本协议和注册权协议的执行、交付和履行，以及该 买方完成本协议所设想的交易，因此不会（i）导致违反该 买方的组织文件，或（ii）与该 买方的组织文件相冲突，或构成违约（或经通知或时间流逝或两者均将成为违约的事件） 或给予他人终止、修订、加速或取消该买方作为一方的任何协议、标识或文书的任何权利，或（iii）导致违反任何法律、规则、规例、命令、判决或判令（包括联邦 和州证券法）适用于该买方，但上文第（ii）和（iii）款除外，对于此类冲突、违约、 权利或侵权行为，这些冲突、违约、 权利或侵权行为不能单独或总体，合理预期会对买方履行其在本协议项下义务的能力产生重大不利影响。

(j)住院医生该 买方是买方列表中其地址下方指定的该管辖区的居民。

3. 公司的陈述和担保。

本公司声明并 向各买方保证，截至本协议日期和截止日期：

(a) Organization and Qualification. Each of the Company and each of its Subsidiaries are entities duly organized and validly existing and in good standing under the laws of the jurisdiction in which they are formed, and have the requisite power and authority to own their properties and to carry on their business as now being conducted and as presently proposed to be conducted. Each of the Company and each of its Subsidiaries is duly qualified as a foreign entity to do business and is in good standing in every jurisdiction in which its ownership of property or the nature of the business conducted by it makes such qualification necessary, except to the extent that the failure to be so qualified or be in good standing would not reasonably be expected to have a Material Adverse Effect (as defined below). As used in this Agreement, “Material Adverse Effect” means any material adverse effect on (i) the business, properties, assets, liabilities, operations (including results thereof), condition (financial or otherwise) or prospects of the Company or any Subsidiary (as defined below), individually or taken as a whole, (ii) the transactions contemplated hereby or in any of the other Transaction Documents or any other agreements or instruments to be entered into in connection herewith or therewith or (iii) the authority or ability of the Company or any of its Subsidiaries to perform any of their respective obligations under any of the Transaction Documents (as defined below). Other than the Persons (as defined below) set forth on Schedule 3(a), the Company has no Subsidiaries. “Subsidiaries” means any Person in which the Company, directly or indirectly, (I) owns any of the outstanding share capital or holds any equity or similar interest of such Person or (II) controls or operates all or any part of the business, operations or administration of such Person, and each of the foregoing, is individually referred to herein as a “Subsidiary.”

(b) Authorization; Enforcement; Validity. The Company has the requisite power and authority to enter into and perform its obligations under this Agreement and the other Transaction Documents and to issue the Securities in accordance with the terms hereof and thereof. The execution and delivery of this Agreement and the other Transaction Documents by the Company, and the consummation by the Company of the transactions contemplated hereby and thereby (including, without limitation, the issuance of the Preferred Shares and the reservation for issuance and issuance of the Conversion Shares issuable upon conversion of the Preferred Shares, the issuance of the Common Warrants and the reservation for issuance and issuance of the Warrant Common Shares issuable upon exercise of the Common Warrants and the issuance of the Preferred Warrants and the reservation for issuance and issuance of the Warrant Preferred Shares issuable upon exercise of the Preferred Warrants) have been duly authorized by the Company’s board of directors or other governing body, as applicable, and (other than the filing with the SEC of one or more Registration Statements in accordance with the requirements of the Registration Rights Agreement, a Form D with the SEC and any other filings as may be required by any state securities agencies) no further filing, consent or authorization is required by the Company, its Subsidiaries, their respective boards of directors or their shareholders or other governing body. This Agreement has been, and the other Transaction Documents to which it is a party will be prior to the Closing, duly executed and delivered by the Company, and each constitutes the legal, valid and binding obligations of the Company, enforceable against the Company in accordance with its respective terms, except as such enforceability may be limited by general principles of equity or applicable bankruptcy, insolvency, reorganization, moratorium, liquidation or similar laws relating to, or affecting generally, the enforcement of applicable creditors’ rights and remedies and except as rights to indemnification and to contribution may be limited by federal or state securities law. The Certificate of Designations in the form attached hereto as Exhibit A has been approved by the board of directors of the Company and is authorized under the Articles of Association (as defined below), and is in full force and effect, enforceable against the Company in accordance with its terms and has not have been amended. “Transaction Documents” means, collectively, this Agreement, the Preferred Shares, the Common Warrants, the Preferred Warrants, the Certificate of Designations, the Registration Rights Agreement, the Irrevocable Transfer Agent Instructions (as defined below) and each of the other agreements and instruments entered into or delivered by any of the parties hereto in connection with the transactions contemplated hereby and thereby, as may be amended from time to time.

(c) Issuance of Securities. The issuance of the Initial Preferred Shares are duly authorized and upon issuance in accordance with the terms of the Transaction Documents shall be validly issued, fully paid and non-assessable and free from all preemptive or similar rights, mortgages, defects, claims, liens, pledges, charges, taxes, rights of first refusal, encumbrances, security interests and other encumbrances (collectively “Liens”) with respect to the issuance thereof. The issuance of the Preferred Warrants and the Common Warrants are duly authorized and upon issuance in accordance with the terms of the Transaction Documents shall be validly issued and free from all Liens with respect to the issuance thereof. As of the Closing, the Company shall have reserved from its duly authorized share capital not less than the sum of (i) the maximum number of Conversion Shares issuable upon conversion of the Preferred Shares (assuming for purposes hereof that (w) the Preferred Warrants have been exercised in full, (x) the Preferred Shares are convertible at the Floor Price (as defined in the Certificate of Designations) and (y) any such conversion shall not take into account any limitations on the conversion of the Preferred Shares set forth in the Certificate of Designations), (ii) the maximum number of Warrant Preferred Shares initially issuable upon exercise of the Preferred Warrants (without taking into account any limitations on the exercise of the Preferred Warrants set forth therein) and (iii) the maximum number of Warrant Common Shares initially issuable upon exercise of the Common Warrants (without taking into account any limitations on the exercise of the Common Warrants set forth therein). Upon issuance or conversion in accordance with the Certificate of Designations or exercise in accordance with the Common Warrants or the Preferred Warrants (as the case may be), the Conversion Shares, the Warrant Common Shares and the Warrant Preferred Shares, respectively, when issued, will be validly issued, fully paid and nonassessable and free from all preemptive or similar rights or Liens with respect to the issue thereof, with the holders being entitled to all rights accorded to a holder of Common Shares or Preferred Shares, as the case may be. Subject to the accuracy of the representations and warranties of the Buyers in this Agreement, the offer and issuance by the Company of the Securities is exempt from registration under the 1933 Act.

(d) No Conflicts. The execution, delivery and performance of the Transaction Documents by the Company and the consummation by the Company of the transactions contemplated hereby and thereby (including, without limitation, the issuance of the Initial Preferred Shares, the Common Warrants, the Preferred Warrants, the Conversion Shares, the Warrant Common Shares and the Warrant Preferred Shares and the reservation for issuance of the Conversion Shares, the Warrant Common Shares and the Warrant Preferred Shares) will not (i) result in a violation of the Articles of Association (as defined below) (including, without limitation, any certificate of designation contained therein), Memorandum of Association (as defined below), certificate of formation, memorandum of association, articles of association, bylaws or other organizational documents of the Company or any of its Subsidiaries, or any share capital or other securities of the Company or any of its Subsidiaries, (ii) conflict with, or constitute a default (or an event which with notice or lapse of time or both would become a default) in any respect under, or give to others any rights of termination, amendment, acceleration or cancellation of, any agreement, indenture or instrument to which the Company or any of its Subsidiaries is a party, or (iii) result in a violation of any law, rule, regulation, order, judgment or decree (including, without limitation, foreign, federal and state securities laws and regulations and the rules and regulations of the Nasdaq Capital Market (the “Principal Market”) and including all applicable foreign, federal and state laws, rules and regulations, including, without limitation, the laws, rules and regulations of British Virgin Islands and India) applicable to the Company or any of its Subsidiaries or by which any property or asset of the Company or any of its Subsidiaries is bound or affected.

(e) Consents. Neither the Company nor any Subsidiary is required to obtain any consent from, authorization or order of, or make any filing or registration with (other than the filing with the SEC of one or more Registration Statements in accordance with the requirements of the Registration Rights Agreement, a Form D with the SEC and any other filings as may be required by any state securities agencies), any Governmental Entity (as defined below) or any regulatory or self-regulatory agency or any other Person in order for it to execute, deliver or perform any of its respective obligations under or contemplated by the Transaction Documents, in each case, in accordance with the terms hereof or thereof. All consents, authorizations, orders, filings and registrations which the Company or any Subsidiary is required to obtain pursuant to the preceding sentence have been or will be obtained or effected on or prior to the Closing Date, and neither the Company nor any of its Subsidiaries are aware of any facts or circumstances which might prevent the Company or any of its Subsidiaries from obtaining or effecting any of the registration, application or filings contemplated by the Transaction Documents. The Company is not in violation of the requirements of the Principal Market and has no knowledge of any facts or circumstances which could reasonably lead to delisting or suspension of the Common Shares in the foreseeable future. “Governmental Entity” means any nation, state, county, city, town, village, district, or other political jurisdiction of any nature, federal, state, local, municipal, foreign, or other government, governmental or quasi-governmental authority of any nature (including any governmental agency, branch, department, official, or entity and any court or other tribunal), multi-national organization or body; or body exercising, or entitled to exercise, any administrative, executive, judicial, legislative, police, regulatory, or taxing authority or power of any nature or instrumentality of any of the foregoing, including any entity or enterprise owned or controlled by a government or a public international organization or any of the foregoing.

(f) Acknowledgment Regarding Buyer’s Purchase of Securities. The Company acknowledges and agrees that each Buyer is acting solely in the capacity of an arm’s length purchaser with respect to the Transaction Documents and the transactions contemplated hereby and thereby and that no Buyer is (i) an officer or director of the Company or any of its Subsidiaries, (ii) an “affiliate” (as defined in Rule 144) of the Company or any of its Subsidiaries or (iii) to its knowledge, a “beneficial owner” of more than 10% of the Common Shares (as defined for purposes of Rule 13d-3 of the Securities Exchange Act of 1934, as amended (the “1934 Act”)). The Company further acknowledges that no Buyer is acting as a financial advisor or fiduciary of the Company or any of its Subsidiaries (or in any similar capacity) with respect to the Transaction Documents and the transactions contemplated hereby and thereby, and any advice given by a Buyer or any of its representatives or agents in connection with the Transaction Documents and the transactions contemplated hereby and thereby is merely incidental to such Buyer’s purchase of the Securities. The Company further represents to each Buyer that the Company’s decision to enter into the Transaction Documents to which it is a party has been based solely on the independent evaluation by the Company, each Subsidiary and their respective representatives.

(g)无一般征集； 安置代理费用。本公司、其任何子公司或关联公司、或代表本公司或其 行事的任何人士均未就本公司的要约或出售进行任何形式的一般招揽或一般广告（定义见法规D）。本公司应负责支付与本协议预期交易有关或产生 的任何配售代理费用、财务 咨询费用或经纪人佣金（买方或其投资顾问聘用的人员除外）。公司应支付与任何此类索赔有关的任何责任、损失或费用 （包括但不限于律师费和自付费用），并使每个买方免受损害。 本公司或其任何子公司均未聘用任何配售代理或其他代理人进行证券的发售或出售。

(h)没有集成的产品。 本公司、其子公司或其任何关联公司，或代表其行事的任何人士，均未直接或间接地， 在需要根据1933年法案登记发行任何证券的情况下， 无论是通过与先前的发行整合或其他方式，或使 本次证券发行需要获得公司股东的批准，以符合1933年法案或任何适用的 股东批准条款，包括但不限于根据任何交易所或自动报价系统的规则和条例，在其上上市或指定报价。本公司、其子公司、其 关联公司或代表其行事的任何人士均不得采取任何行动或步骤，要求根据《1933年法案》（《登记权协议》除外）对任何 证券发行进行登记，或导致任何证券的发行 与本公司的其他证券发行合并。

绝对及无条件，不论该等发行对本公司其他股东的所有权权益可能产生的摊薄影响。

(j) 接管保护的应用；权利协议。本公司及其董事会已采取一切必要行动（如有），以 使任何控制权股份收购、有利害关系的股东、业务合并、毒丸（包括但不限于根据权利协议进行的任何分配）、股东权利计划或 公司章程细则下的其他类似反收购条款，公司备忘录或其他组织文件或其 注册成立地所在司法管辖区的法律，或其他因本 协议中预期的交易而适用于或可能适用于任何买方的其他法律，包括但不限于，公司发行证券以及任何买方对 证券的所有权。公司及其董事会已采取一切必要行动（如有），以使任何 股东权利计划或与普通股实益所有权累积或 公司或其任何子公司控制权变更有关的类似安排不适用。

(k) SEC Documents; Financial Statements. During the two (2) years prior to the date hereof, the Company has timely filed all reports, schedules, forms, proxy statements, statements and other documents required to be filed by it with the SEC pursuant to the reporting requirements of the 1934 Act (all of the foregoing filed prior to the date hereof and all exhibits and appendices included therein and financial statements, notes and schedules thereto and documents incorporated by reference therein being hereinafter referred to as the “SEC Documents”). The Company has delivered or has made available to the Buyers or their respective representatives true, correct and complete copies of each of the SEC Documents not available on the EDGAR system. As of their respective dates, the SEC Documents complied in all material respects with the requirements of the 1934 Act and the rules and regulations of the SEC promulgated thereunder applicable to the SEC Documents, and none of the SEC Documents, at the time they were filed with the SEC, contained any untrue statement of a material fact or omitted to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they were made, not misleading. As of their respective dates, the financial statements of the Company included in the SEC Documents complied in all material respects with applicable accounting requirements and the published rules and regulations of the SEC with respect thereto as in effect as of the time of filing. Such financial statements have been prepared in accordance with International Financial Reporting Standards (“IFRS”), consistently applied, during the periods involved (except (i) as may be otherwise indicated in such financial statements or the notes thereto, or (ii) in the case of unaudited interim statements, to the extent they may exclude footnotes or may be condensed or summary statements) and fairly present in all material respects the financial position of the Company as of the dates thereof and the results of its operations and cash flows for the periods then ended (subject, in the case of unaudited statements, to normal year-end audit adjustments which will not be material, either individually or in the aggregate). The reserves, if any, established by the Company or the lack of reserves, if applicable, are reasonable based upon facts and circumstances known by the Company on the date hereof and there are no loss contingencies that are required to be accrued by the Statement of Financial Accounting Standard No. 5 of the Financial Accounting Standards Board which are not provided for by the Company in its financial statements or otherwise. No other information provided by or on behalf of the Company to any of the Buyers which is not included in the SEC Documents (including, without limitation, information referred to in Section 2(e) of this Agreement or in the disclosure schedules to this Agreement) contains any untrue statement of a material fact or omits to state any material fact necessary in order to make the statements therein not misleading, in the light of the circumstance under which they are or were made. The Company is not currently contemplating to amend or restate any of the financial statements (including, without limitation, any notes or any letter of the independent accountants of the Company with respect thereto) included in the SEC Documents (the “Financial Statements”), nor is the Company currently aware of facts or circumstances which would require the Company to amend or restate any of the Financial Statements, in each case, in order for any of the Financials Statements to be in compliance with IFRS and the rules and regulations of the SEC. The Company has not been informed by its independent accountants that they recommend that the Company amend or restate any of the Financial Statements or that there is any need for the Company to amend or restate any of the Financial Statements.

(L)没有某些 变化。自本公司最近一份经审核财务报表载于20-F表格之日起，本公司或其任何附属公司的业务、资产、负债、物业、营运(包括其业绩)、状况(财务或其他)或前景并无重大不利变化及重大不利发展。自本公司最近一份经审核财务报表载于20-F表格的日期起，本公司或其任何附属公司概无(I)宣布或 派发任何股息、(Ii)在正常业务过程以外个别或合共出售任何资产，或(Iii)在正常业务过程以外单独或合计作出任何资本开支。本公司或其任何附属公司并无根据任何有关破产、无力偿债、重组、接管、清盘或清盘的法律或法规采取任何步骤寻求保障，本公司或任何附属公司亦不知悉或有理由相信其各自的任何债权人有意启动非自愿破产程序，或实际知悉任何事实而合理地 导致债权人这样做。本公司及其附属公司，以个别及综合基准计算，于本协议日期并非无力偿债， 在实施预期于结算时进行的交易后，将不会无力偿债(定义见下文)。就本第3节(L)而言，“破产”是指：(1)就本公司及其附属公司而言，综合 基础上，(A)本公司及其附属公司资产目前的公允可出售价值低于偿还本公司及其附属公司的总债务(定义见下文)所需的金额，(B)本公司及其附属公司 无法偿还其从属、或有或有或以其他方式承担的债务和负债，当该等债务及负债变为绝对及到期时 或(C)本公司及其附属公司打算招致或相信他们将招致的债务将超过其偿还能力 ；及(Ii)就本公司及各附属公司个别而言，(A)本公司或该附属公司(视属何情况而定)的资产目前的公平可出售价值低于支付其各自的债务总额所需的金额，(B)本公司或该附属公司(视属何情况而定)无力偿还其各自的债务及负债，不论是从属的、或有的或有的或有或有的，当该等债务及负债成为绝对及到期债务，或(C)本公司或该等附属公司(视情况而定)有意或相信将会产生超过其各自偿债能力的债务。 本公司或其任何附属公司均未从事任何业务或任何交易，亦不会从事任何 业务或任何交易。本公司或该附属公司的剩余资产构成进行其所从事的业务的资本不合理地少 ，因为该等业务现已进行及拟进行。

(M)无任何未披露的事件、责任、发展或情况。本公司、其任何子公司或其各自的任何业务、财产、负债、前景、运营(包括其结果)或状况(财务或其他)未发生或 不存在或 存在或发生的事件、责任、发展或情况， (I)根据适用的证券法，本公司须在向美国证券交易委员会提交的与本公司发行和出售其普通股有关的F-1表格登记声明中披露 (I)，且尚未公开宣布，(Ii) 可能对买方在本合同项下的任何投资产生重大不利影响，或(Iii)可能产生重大不利影响。

(n) Conduct of Business; Regulatory Permits. Neither the Company nor any of its Subsidiaries is in violation of any term of or in default under its Articles of Association, any certificate of designation, preferences or rights of any other outstanding series of preferred shares of the Company or any of its Subsidiaries or Memorandum of Association or their organizational charter, certificate of formation, memorandum of association, articles of association, Articles of Association or certificate of incorporation or bylaws, respectively. Neither the Company nor any of its Subsidiaries is in violation of any judgment, decree or order or any statute, ordinance, rule or regulation applicable to the Company or any of its Subsidiaries, and neither the Company nor any of its Subsidiaries will conduct its business in violation of any of the foregoing, except in all cases for possible violations which could not, individually or in the aggregate, have a Material Adverse Effect. Without limiting the generality of the foregoing, the Company is not in violation of any of the rules, regulations or requirements of the Principal Market and has no knowledge of any facts or circumstances that could reasonably lead to delisting or suspension of the Common Shares by the Principal Market in the foreseeable future. During the two years prior to the date hereof, (i) the Common Shares has been listed or designated for quotation on the Principal Market, (ii) trading in the Common Shares has not been suspended by the SEC or the Principal Market and (iii) the Company has received no communication, written or oral, from the SEC or the Principal Market regarding the suspension or delisting of the Common Shares from the Principal Market. The Company and each of its Subsidiaries possess all certificates, authorizations and permits issued by the appropriate regulatory authorities necessary to conduct their respective businesses, except where the failure to possess such certificates, authorizations or permits would not have, individually or in the aggregate, a Material Adverse Effect, and neither the Company nor any such Subsidiary has received any notice of proceedings relating to the revocation or modification of any such certificate, authorization or permit. There is no agreement, commitment, judgment, injunction, order or decree binding upon the Company or any of its Subsidiaries or to which the Company or any of its Subsidiaries is a party which has or would reasonably be expected to have the effect of prohibiting or materially impairing any business practice of the Company or any of its Subsidiaries, any acquisition of property by the Company or any of its Subsidiaries or the conduct of business by the Company or any of its Subsidiaries as currently conducted other than such effects, individually or in the aggregate, which have not had and would not reasonably be expected to have a Material Adverse Effect on the Company or any of its Subsidiaries.

(o)海外腐败 做法。公司、公司子公司或任何董事、高级管理人员、代理人、雇员或任何其他代表上述人员 （单独和集体，称为"公司关联公司"）违反了 美国反海外腐败法（“FCPA”）或任何其他适用的反贿赂或反腐败法律， 任何公司关联公司也没有提供、支付或承诺支付，或授权支付任何金钱，或提议、给予、承诺给予或授权给予任何有价值的东西给任何官员、雇员或以任何政府实体的官方身份行事的任何其他人给任何政党或其官员或任何政治职位候选人（单独和 统称为"政府官员"）或在该公司关联公司知道或 意识到将直接或间接提供、给予或承诺全部或部分此类金钱或有价值物品的可能性很高的情况下， 向任何政府官员提供，目的是：

(i)（A）影响 该政府官员以其官方身份的任何行为或决定，（B）诱使该政府官员作出或不作出任何违反其合法职责的行为，（C）获取任何不正当利益，或（D）诱使该政府官员影响 或影响任何政府实体的任何行为或决定，或

(ii)协助 公司或其子公司为公司或其子公司获得或保留业务，或向公司或其子公司提供业务。

(p)萨班斯—奥克斯利法案 本公司及各子公司均遵守2002年《萨班斯—奥克斯利法案》（经修订）的任何及所有适用要求， 以及美国证券交易委员会根据该法案颁布的任何及所有适用规则和法规。

(q) Transactions With Affiliates. No current or former employee, partner, director, officer or shareholder (direct or indirect) of the Company or its Subsidiaries, or any associate, or, to the knowledge of the Company, any affiliate of any thereof, or any relative with a relationship no more remote than first cousin of any of the foregoing, is presently, or has ever been, (i) a party to any transaction with the Company or its Subsidiaries (including any contract, agreement or other arrangement providing for the furnishing of services by, or rental of real or personal property from, or otherwise requiring payments to, any such director, officer or shareholder or such associate or affiliate or relative Subsidiaries (other than for ordinary course services as employees, officers or directors of the Company or any of its Subsidiaries)) or (ii) the direct or indirect owner of an interest in any corporation, firm, association or business organization which is a competitor, supplier or customer of the Company or its Subsidiaries (except for a passive investment (direct or indirect) in less than 5% of the common equity of a company whose securities are traded on or quoted through an Eligible Market (as defined in the Certificate of Designations)), nor does any such Person receive income from any source other than the Company or its Subsidiaries which relates to the business of the Company or its Subsidiaries or should properly accrue to the Company or its Subsidiaries. No employee, officer, shareholder or director of the Company or any of its Subsidiaries or member of his or her immediate family is indebted to the Company or its Subsidiaries, as the case may be, nor is the Company or any of its Subsidiaries indebted (or committed to make loans or extend or guarantee credit) to any of them, other than (i) for payment of salary for services rendered, (ii) reimbursement for reasonable expenses incurred on behalf of the Company, and (iii) for other standard employee benefits made generally available to all employees or executives (including share option agreements outstanding under any share option plan approved by the Board of Directors of the Company).

(r)股权资本化。

(i)定义：

(A)"普通股"是指（x）公司的普通股，每股面值0.01美元，以及（y）该等普通股将被变更为的任何股本或因该等普通股重新分类而产生的任何股本。

(B)"优先股 "指（x）公司的空白支票优先股，每股面值0.01美元，其条款可由本公司董事会在指定证书中指定 ，以及（y）该等优先股将 变更为的任何股本或因该等优先股重新分类而产生的任何股本（根据该指定证书的条款将该等优先 股转换为普通股除外）。

(ii)授权 和已发行股本。截至本协议日期，本公司的法定股本由230，000，000股普通股组成，其中40，568，554股已发行及已发行，18，361，474股已根据可转换证券保留发行。（定义见下文）（优先股和普通认股权证除外）可行使或交换或转换为普通股 。本公司的库务并无持有普通股。“可转换证券”是指本公司或其任何子公司的任何股本 或其他证券，其可在任何时间和任何情况下直接或间接转换 为本公司或其任何子公司的任何股本或其他证券，可行使或交换，或以其他方式使其持有人获得本公司或其任何子公司的任何股本或其他证券 （包括但不限于普通股）。

(iii) Valid Issuance; Available Shares; Affiliates. All of such outstanding shares are duly authorized and have been, or upon issuance will be, validly issued and are fully paid and nonassessable. Schedule 3(r)(iii) sets forth the number of Common Shares that are (A) reserved for issuance pursuant to Convertible Securities (as defined below) (other than the Preferred Shares and the Common Warrants) and (B) that are, as of the date hereof, owned by Persons who are “affiliates” (as defined in Rule 405 of the 1933 Act and calculated based on the assumption that only officers, directors and holders of at least 10% of the Company’s issued and outstanding Common Shares are “affiliates” without conceding that any such Persons are “affiliates” for purposes of federal securities laws) of the Company or any of its Subsidiaries. To the Company’s knowledge, no Person owns 10% or more of the Company’s issued and outstanding Common Shares (calculated based on the assumption that all Convertible Securities (as defined below), whether or not presently exercisable or convertible, have been fully exercised or converted (as the case may be) taking account of any limitations on exercise or conversion (including “blockers”) contained therein without conceding that such identified Person is a 10% shareholder for purposes of federal securities laws).

(iv) Existing Securities; Obligations. Except as disclosed in the SEC Documents: (A) none of the Company’s or any Subsidiary’s shares, interests or share capital is subject to preemptive rights or any other similar rights or Liens suffered or permitted by the Company or any Subsidiary; (B) there are no outstanding options, warrants, scrip, rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities or rights convertible into, or exercisable or exchangeable for, any shares, interests or share capital of the Company or any of its Subsidiaries, or contracts, commitments, understandings or arrangements by which the Company or any of its Subsidiaries is or may become bound to issue additional shares, interests or share capital of the Company or any of its Subsidiaries or options, warrants, scrip, rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities or rights convertible into, or exercisable or exchangeable for, any shares, interests or share capital of the Company or any of its Subsidiaries; (C) there are no agreements or arrangements under which the Company or any of its Subsidiaries is obligated to register the sale of any of their securities under the 1933 Act (except pursuant to the Registration Rights Agreement); (D) there are no outstanding securities or instruments of the Company or any of its Subsidiaries which contain any redemption or similar provisions, and there are no contracts, commitments, understandings or arrangements by which the Company or any of its Subsidiaries is or may become bound to redeem a security of the Company or any of its Subsidiaries; (E) there are no securities or instruments containing anti-dilution or similar provisions that will be triggered by the issuance of the Securities; and (F) neither the Company nor any Subsidiary has any share appreciation rights or “phantom share” plans or agreements or any similar plan or agreement.

（v） 组织文件。本公司已向买方提供真实、正确和完整的本公司公司章程（经修订并于本协议日期生效）的副本（“公司章程”），以及经修订并于本协议日期生效的公司章程，（“组织章程大纲”），以及所有可转换 证券的条款及其持有人对该等证券的实质性权利。

(s) Indebtedness and Other Contracts. Neither the Company nor any of its Subsidiaries, (i) except as disclosed on Schedule 3(s), has any outstanding debt securities, notes, credit agreements, credit facilities or other agreements, documents or instruments evidencing Indebtedness of the Company or any of its Subsidiaries or by which the Company or any of its Subsidiaries is or may become bound, (ii) is a party to any contract, agreement or instrument, the violation of which, or default under which, by the other party(ies) to such contract, agreement or instrument could reasonably be expected to result in a Material Adverse Effect, (iii) has any financing statements securing obligations in any amounts filed in connection with the Company or any of its Subsidiaries; (iv) is in violation of any term of, or in default under, any contract, agreement or instrument relating to any Indebtedness, except where such violations and defaults would not result, individually or in the aggregate, in a Material Adverse Effect, or (v) is a party to any contract, agreement or instrument relating to any Indebtedness, the performance of which, in the judgment of the Company’s officers, has or is expected to have a Material Adverse Effect. Neither the Company nor any of its Subsidiaries have any liabilities or obligations required to be disclosed in the SEC Documents which are not so disclosed in the SEC Documents, other than those incurred in the ordinary course of the Company’s or its Subsidiaries’ respective businesses and which, individually or in the aggregate, do not or could not have a Material Adverse Effect. For purposes of this Agreement: (x) “Indebtedness” of any Person means, without duplication (A) all indebtedness for borrowed money, (B) all obligations issued, undertaken or assumed as the deferred purchase price of property or services (including, without limitation, “capital leases” in accordance with IFRS) (other than trade payables entered into in the ordinary course of business consistent with past practice), (C) all reimbursement or payment obligations with respect to letters of credit, surety bonds and other similar instruments, (D) all obligations evidenced by notes, bonds, debentures or similar instruments, including obligations so evidenced incurred in connection with the acquisition of property, assets or businesses, (E) all indebtedness created or arising under any conditional sale or other title retention agreement, or incurred as financing, in either case with respect to any property or assets acquired with the proceeds of such indebtedness (even though the rights and remedies of the seller or bank under such agreement in the event of default are limited to repossession or sale of such property), (F) all monetary obligations under any leasing or similar arrangement which, in connection with IFRS, consistently applied for the periods covered thereby, is classified as a capital lease, (G) all indebtedness referred to in clauses (A) through (F) above secured by (or for which the holder of such Indebtedness has an existing right, contingent or otherwise, to be secured by) any Lien upon or in any property or assets (including accounts and contract rights) owned by any Person, even though the Person which owns such assets or property has not assumed or become liable for the payment of such indebtedness, and (H) all Contingent Obligations in respect of indebtedness or obligations of others of the kinds referred to in clauses (A) through (G) above; and (y) “Contingent Obligation” means, as to any Person, any direct or indirect liability, contingent or otherwise, of that Person with respect to any Indebtedness, lease, dividend or other obligation of another Person if the primary purpose or intent of the Person incurring such liability, or the primary effect thereof, is to provide assurance to the obligee of such liability that such liability will be paid or discharged, or that any agreements relating thereto will be complied with, or that the holders of such liability will be protected (in whole or in part) against loss with respect thereto.

(t) Litigation. There is no action, suit, arbitration, proceeding, inquiry or investigation before or by the Principal Market, any court, public board, other Governmental Entity, self-regulatory organization or body pending or, to the knowledge of the Company, threatened against or affecting the Company or any of its Subsidiaries, the Common Shares or any of the Company’s or its Subsidiaries’ officers or directors, whether of a civil or criminal nature or otherwise, in their capacities as such, except as set forth in Schedule 3(t). No director, officer or employee of the Company or any of its subsidiaries has willfully violated 18 U.S.C. §1519 or engaged in spoliation in reasonable anticipation of litigation. Without limitation of the foregoing, there has not been, and to the knowledge of the Company, there is not pending or contemplated, any investigation by the SEC involving the Company, any of its Subsidiaries or any current or former director or officer of the Company or any of its Subsidiaries. The SEC has not issued any stop order or other order suspending the effectiveness of any registration statement filed by the Company under the 1933 Act or the 1934 Act. After reasonable inquiry of its employees, the Company is not aware of any fact which might result in or form the basis for any such action, suit, arbitration, investigation, inquiry or other proceeding. Neither the Company nor any of its Subsidiaries is subject to any order, writ, judgment, injunction, decree, determination or award of any Governmental Entity.

（u） 保险。本公司及其子公司由具有公认财务责任的保险公司为 本公司及其子公司从事的业务中 本公司管理层认为谨慎和惯常的损失和风险投保。本公司或任何此类子公司均未被拒绝寻求或申请任何保险，且本公司或任何此类子公司均无理由相信，其将无法在现有的 保险到期时续延，或无法以不会产生重大不利影响的成本从类似保险公司获得延续其业务所需的类似保险。

(v) Employee Relations. Neither the Company nor any of its Subsidiaries is a party to any collective bargaining agreement or employs any member of a union. The Company and its Subsidiaries believe that their relations with their employees are good. No executive officer (as defined in Rule 501(f) promulgated under the 1933 Act) or other key employee of the Company or any of its Subsidiaries has notified the Company or any such Subsidiary that such officer intends to leave the Company or any such Subsidiary or otherwise terminate such officer’s employment with the Company or any such Subsidiary. No current (or former) executive officer or other key employee of the Company or any of its Subsidiaries is, or is now expected to be, in violation of any material term of any employment contract, confidentiality, disclosure or proprietary information agreement, non-competition agreement, or any other contract or agreement or any restrictive covenant, and the continued employment of each such executive officer or other key employee (as the case may be) does not subject the Company or any of its Subsidiaries to any liability with respect to any of the foregoing matters. The Company and its Subsidiaries are in compliance with all federal, state, local and foreign laws and regulations respecting labor, employment and employment practices and benefits, terms and conditions of employment and wages and hours, except where failure to be in compliance would not, either individually or in the aggregate, reasonably be expected to result in a Material Adverse Effect.

(W)头衔。

(i)不动产。 公司及其子公司对公司或其子公司拥有或持有的所有不动产、不动产租赁、设施或其他权益 公司或其子公司拥有 或其子公司（如适用）。不动产不受任何留置权的限制，不受任何道路权、 建筑物使用限制、例外、差异、保留或任何性质的限制，但（a）尚未 到期的现行税收的留置权和（b）分区法律和其他土地使用限制，这些限制不会损害受其约束的财产的当前或预期用途 。本公司或其任何子公司根据租赁持有的任何不动产均由本公司或其任何子公司根据有效、存续和可执行的 租赁持有，但不属重大且不影响本公司或其任何子公司对此类不动产和建筑物的使用 。

(ii)夹具 和设备。公司及其子公司（如适用）对 公司或其子公司在开展业务时使用的 有形个人财产、设备、改进、固定装置和其他个人财产和附属物（“固定装置和设备”）拥有良好的所有权或有效的租赁权益。 固定装置和设备结构良好，运行状况良好，维修良好，足以满足其 的用途，除了普通的日常维护和维修外，不需要维护或维修，并且足以 以 关闭前的方式开展公司和/或其子公司的业务（如适用）。公司及其子公司拥有其所有固定装置和设备，不受任何留置权的限制，但（a） 尚未到期的现行税款的留置权和（b）分区法和其他土地使用限制，这些限制不会损害受其约束的财产的当前或 使用。

(X)知识产权 权利。本公司及其附属公司拥有或拥有足够的权利或许可，以使用所有商标、商号、服务标志、服务标志注册、服务名称、原创作品、专利、专利权、版权、发明、许可、批准、政府授权、商业秘密和其他知识产权，以及开展其目前和目前拟开展的各自业务所需的所有申请和注册(“知识产权”)。 本公司或其任何附属公司拥有的每项专利列于附表3(X)(I)。除附表3(X)(Ii)所述外，自本协议之日起三年内，公司的任何知识产权均未到期、终止、放弃或预计将到期、终止或预计将放弃。本公司不知道 本公司或其子公司侵犯他人知识产权。本公司或其任何附属公司并无就其知识产权向本公司或其任何附属公司提出或提出任何索赔、诉讼或法律程序，或据本公司或其任何附属公司所知而受到威胁。本公司及其任何附属公司均不知悉可能导致任何前述侵权或索赔、诉讼或诉讼的任何事实或 情况。本公司及其子公司 已采取合理的安全措施保护其所有知识产权的保密性、保密性和价值。

(Y)环境法律。(I)本公司及其附属公司(A)遵守任何及所有环境法律(定义见下文)，(B) 已收到适用环境法律要求其开展各自业务所需的所有许可证、牌照或其他批准，及(C)遵守任何该等许可证、许可证或批准的所有条款及条件，而上述条款(A)、(B)及(C)中的每一项均可合理地预期未能遵守会对个别或整体造成重大不利影响。“环境法”是指与污染或保护人类健康或环境(包括但不限于环境空气、地表水、地下水、地表或地下地层)有关的所有联邦、州、地方或外国法律，包括但不限于与向环境排放、排放化学品、污染物、污染物或有毒或危险物质或废物(统称为“危险材料”)有关的法律，或与制造、加工、分配、使用、处理、储存、处置或处置有关的法律。危险材料的运输或搬运，以及根据其发布、登记、颁布或批准的所有授权、守则、法令、要求或要求函、禁令、判决、许可证、通知或通知信、命令、许可证、计划或条例。

(ii)无危险材料：

(A)已 违反任何 环境法，处置或以其他方式从公司或其任何子公司的任何不动产中释放；或

(B) 存在于任何不动产或其任何部分之上、之上、之下、之内或之上，其数量将构成违反任何环境法的 。本公司或其任何附属公司先前并无使用任何不动产违反任何环境法律，而违反该等法律会对本公司或其任何附属公司的业务产生重大不利影响。

(Iii)本公司或其任何附属公司均不知悉任何其他人士或实体在任何不动产上储存、处理、回收、处置或以其他方式处置任何危险物质，包括但不限于石棉和多氯联苯等物质。

(Iv)这些房地产不在任何联邦或州“超级基金”名单或责任信息系统(“CERCLIS”)名单上，也不在任何州环保局考虑申请CERCLIS的地点名单上，也不受 任何与环境有关的留置权的约束。

(Z)附属权利。 本公司或其附属公司享有不受限制的投票权，并(受适用法律所施加的限制) 收取本公司或该附属公司所拥有的附属公司的所有资本证券的股息及分派。

(Aa)纳税状况。 本公司及其每一子公司(I)已及时提交或提交其所属司法管辖区要求的所有外国、联邦和州收入及所有其他税收、报告和申报，(Ii)已及时支付所有税款和其他政府评估和收费，这些纳税和收费在金额上是实质性的，并在该等申报、报告和申报中显示或确定为应缴，除非出于善意提出异议，并且(Iii)已在其账面上留出合理充足的拨备，以便在该等申报表、报告或声明适用的期间之后的期间内缴纳所有税款。任何司法管辖区的税务机关并无声称应缴的任何重大金额的未缴税款，而本公司及其附属公司的高级职员亦不知道任何此类申索的依据。本公司的运营方式不符合修订后的1986年《国税法》第1297节所界定的被动外国投资公司的资格。公司为其共同母公司的合并集团的美国联邦所得税用途的净营业亏损 结转(“NOL”)(如果有的话)不应受到本协议所拟进行的交易的不利影响。本协议拟进行的交易 并不构成守则第382节所指的“所有权变更”，因此 保留了本公司使用此类NOL的能力。

(Bb)内部会计和披露控制。本公司及其各子公司对财务报告保持内部控制(该术语在1934年法案下的规则13a-15(F)中定义)，有效地为财务报告的可靠性和根据公认的会计原则为外部目的编制财务报表提供合理保证， 包括：(I)交易根据管理层的一般或特别授权执行，(Ii)交易 被记录为必要的，以允许按照国际财务报告准则编制财务报表，并维持资产和负债责任， (Iii)只有在获得管理层的一般或特别授权的情况下，才允许接触资产或产生负债 以及(Iv)记录的资产和负债问责与现有资产和负债按合理间隔进行比较 并针对任何差异采取适当行动。公司维持披露控制和程序(该术语在1934年法案下的规则13a-15(E)中定义)，有效地确保公司在根据1934年法案提交或提交的报告中要求披露的信息在美国证券交易委员会规则和表格中指定的时间段内得到记录、处理、汇总和报告，包括但不限于，控制和程序旨在确保公司根据1934年法案提交或提交的报告中要求披露的信息被累积并传达给公司的管理层，包括公司的一名或多名主要高管和一名或多名财务主管，以使 能够及时做出关于要求披露的决定。本公司或其任何附属公司概无接获任何会计师、政府实体或其他人士就本公司或其任何附属公司的财务报告内部控制的任何潜在重大弱点或重大缺失 部分发出的任何通知或函件。

(cc)资产负债表外 安排。本公司或其任何子公司与未合并 或其他资产负债表外实体之间不存在要求本公司在其1934年法案文件中披露且未披露的交易、安排或其他关系，或 否则可能合理地产生重大不利影响。

(Dd)投资 公司状态。本公司不是，在证券出售完成后，也不会是“投资公司”、“投资公司”的关联公司、由“投资公司”或“投资公司”的“关联人”或“投资公司”的“发起人”或“主承销商”控制的公司，这些术语在1940年修订后的《投资公司法》中有定义。

(Ee)确认买方的交易活动。本公司理解并承认：(I)在公开披露交易文件拟进行的交易后，根据交易文件的条款，本公司或其任何子公司均未要求任何买方 同意，也未有任何买方与本公司或其任何子公司达成协议，停止就本公司任何证券进行任何交易或与之有关的任何交易(包括但不限于购买或出售做多和/或做空)，或以本公司发行的证券为基础的“衍生”证券，或持有任何特定期限的证券；(Ii)任何买方以及任何此类买方直接或间接参与的“衍生”交易的交易对手目前可能在该买方知悉交易文件拟进行的交易之前建立的普通股 中持有“空头”头寸；(Iii) 每名买方不得被视为与任何 “衍生”交易中的任何交易对手有任何联系或控制；及(Iv)各买方可信赖本公司于转换、行使或交换(视何者适用而定)证券时，按交易文件的要求及时交付普通股的义务 以实现本公司普通股的交易。本公司进一步理解并承认，在根据新闻稿公开披露交易文件预期的交易(定义如下)后，一个或多个买方可在证券发行期间的不同时间从事套期保值和/或交易活动(包括但不限于可借入普通股的地点和/或预留)，包括但不限于，在认股权证普通股或转换股的价值和/或数量(按 适用)该等对冲及/或交易活动(包括但不限于可借入普通股的地点及/或预留)(如有)会在进行对冲及/或交易活动时及之后减少现有 股东于本公司的股权的价值。本公司承认，上述对冲及/或交易活动并不构成违反本协议、指定证书、优先认股权证、普通认股权证或任何其他交易文件或与本协议或相关文件有关的任何文件。

(Ff)操纵价格。 本公司或其任何附属公司，据本公司所知，任何代表其行事的人均未直接或间接(I)采取任何旨在导致或导致稳定或操纵本公司或其任何附属公司的任何证券的价格的行动，以促进任何证券的出售或转售，(Ii)出售、竞购、购买或 因招揽购买任何证券而支付任何补偿，(Iii)因怂恿他人购买本公司或其任何附属公司的任何其他证券而向任何人士支付或同意支付任何补偿 ，或(Iv)就有关本公司或其任何附属公司的任何证券的研究服务向任何人士支付或同意支付 。

(Gg)美国房地产控股公司。本公司及其任何附属公司都不是，过去也不是，只要任何证券由任何买方持有，就不应成为守则第897节所指的美国房地产控股公司，本公司及其各附属公司应应买方的要求予以证明。

(hh)注册 资格。公司有资格注册可登记证券（定义见登记权协议） ，以便买方使用根据1933年法案颁布的表格F—3转售。

(ii)转移税。 在截止日期，与本公司根据本协议向每个买方出售的证券的发行、销售和转让有关而需要支付的所有股份转让税或其他税（所得税或类似税除外）将全部支付或 ，且所有征收此类税的法律将得到或将得到遵守。

(Jj)《银行控股公司法》。本公司或其任何附属公司均不受经修订的1956年银行控股公司法(“BHCA”) 及美国联邦储备理事会(“美联储”)的监管。本公司及其任何子公司或关联公司均不直接或间接拥有或控制任何类别有投票权证券的5%(5%)或以上的流通股，或银行或受BHCA和美联储监管的任何实体总股本的25%(25%)或以上。本公司或其任何附属公司或联属公司均不对受BHCA和美联储监管的银行或任何实体的管理或政策施加控制 影响。

(kk)壳牌公司 状态。本公司不是，也从未是第144（i）条所述或受其约束的发行人。

(ll)非法或未经授权 付款；政治捐款。公司或其任何子公司，以及据公司所知 （在对其高级管理人员和董事进行合理询问后），本公司或其任何子公司或本公司或任何子公司 与本公司或任何子公司 有关联或有关联的任何其他商业实体或企业的任何高级管理人员、董事、雇员、代理人或其他代表，作出或授权任何金钱、财产、 或服务的付款、捐助或馈赠，不论是否违反适用法律，（i）作为回扣或贿赂任何人或（ii）任何政治组织， 或担任任何民选或选举性公职的人或任何有志担任公职的人，但个人政治献金不涉及 直接或间接使用本公司或其任何子公司的资金。

(mm)洗钱本公司及其子公司遵守且以前从未违反过《2001年美国爱国者法案》以及所有其他适用的美国和非美国反洗钱法律法规，包括但不限于美国外国资产控制办公室管理的 法律法规和行政命令和制裁计划，包括但不限于，（i）2001年9月23日题为"封锁财产和禁止与犯下、威胁犯下或支持恐怖主义者进行交易"的第13224号行政命令（66美联储。法规49079（2001））；以及（ii）31 CFR， 副标题B，第五章中所载的任何法规。

(nn)管理 除本协议附件3（nn）中规定的情况外，在过去五年期间，本公司或其任何子公司的现任或前任高级管理人员或董事 ，或据本公司所知，本公司或其任何子公司的现有百分之十（10%）或以上的股东 未成为以下事项的主体：

（i） 根据破产法或任何其他无力偿债或暂缓执行法提出的申请，或由法院为该人指定接管人、财务 代理人或类似高级人员，或在提交该申请或该指定之前两年内，该人为普通合伙人的任何合伙企业，或该人在提交该呈请书或该委任书之时或之前两年内担任其执行人员的任何法团或商业协会；

(Ii)刑事诉讼中的定罪或悬而未决的刑事诉讼的指名标的(不包括与酒后驾驶或酒后驾驶无关的交通违法行为)；

㈢ 任何具有管辖权的法院的任何命令、判决或法令（其后未被推翻、中止或撤销），永久 或暂时禁止或以其他方式限制下列活动：

（1） 作为期货佣金商、介绍经纪人、商品交易顾问、商品池运营商、场内经纪人、杠杆交易商、受美国商品期货交易委员会监管的任何其他人或上述任何人的关联人 ，或作为投资顾问、承销商、经纪人或证券交易商，或作为关联人，任何投资公司、银行、储蓄和贷款协会或保险公司的董事 或雇员，或从事或继续与该等活动有关的任何行为 或惯例；

(2) 从事任何特定类型的业务；或

（3） 从事与购买或出售任何证券或商品有关的活动，或与违反证券法或商品法有关的活动；

（iv） 任何当局的任何命令、判决或法令，禁止、暂停或以其他方式 限制任何该等人士从事前款所述任何活动的权利，或与从事任何该等活动的人有联系的权利超过六十（60）天；

(V) 民事诉讼中有管辖权的法院、美国证券交易委员会或其他机构作出的违反证券法律、法规或法令的裁决，且美国证券交易委员会或任何其他机构在该民事诉讼或裁决中的判决此后未被推翻、暂停执行或撤销；或

（vi） 民事诉讼中具有管辖权的法院或商品期货交易委员会裁定违反 任何联邦商品法，且该民事诉讼或裁定的判决随后未被推翻、中止或撤销。

(oo)股票期权 计划。本公司授出的每份购股权乃（i）根据本公司适用购股权 计划的条款授出，及（ii）行使价至少等于该 购股权根据国际财务报告准则及适用法律被视为授出当日普通股的公平市值。根据本公司购股权计划授出的购股权并无追溯日期。本公司没有在发布 或其他关于本公司或其子公司或其财务业绩或 前景的重大信息发布 或其他公开公告之前，有意授予购股权，且 本公司没有且一直没有政策或惯例，或有意地将购股权的授予与发布 或其他公开公告协调。

(pp)与 会计师和律师无异议。公司与公司以前或现在雇用的会计师和律师之间目前不存在或 公司合理预计将出现任何类型的重大分歧，并且公司 目前存在可能影响公司履行 任何交易文件项下义务的能力的会计师和律师的任何费用。此外，在此日期或之前，公司与 其会计师就其先前提交给SEC的财务报表进行了讨论。基于这些讨论，公司没有理由 相信它将需要重述任何此类财务报表或其中任何部分。

(QQ)无 个取消资格事件。关于根据本协议将依据1933年法令(以下简称“D条例”)第506(B)条发售和出售的证券，本公司、其任何前身、任何关联发行人、参与本协议拟发行事项的任何董事高管、本公司其他高管、持有本公司20%或以上未偿还有表决权股权证券(按投票权计算)的任何实益拥有人、以及在出售时与本公司相关的任何发起人 (该词定义见1933年法令第405条)。除规则506(D)(2)或(D)(3)所述的取消资格事件外，《1933年法案》规则506(D)(1)(I)至(Viii)中所述的 “发卡人承保人员”(以及合称“发卡人承保人员”)将受到规则506(D)(1)(I)至(Viii)中所述的任何 “不良行为者”资格的取消。本公司已采取合理的 谨慎措施，以确定是否有任何发行人承保人员受到取消资格事件的影响。在适用范围内，本公司已遵守规则506(E)项下的披露义务，并已向买方提供根据规则提供的任何披露的副本 。

(Rr)其他受保人员 。本公司并不知悉任何人士已获支付或将获支付(直接或间接)酬金，以招揽买家或潜在买家出售任何D规例证券。

(ss)没有其他协议。 公司与任何买方没有就交易 文件中预期的交易达成任何协议或谅解，交易文件中另有规定。

(tt)公用事业控股法。本公司及其任何子公司均不属于"控股公司"或"控股公司"的"关联公司"，这些术语在2005年《公用事业控股法》中定义。

(uu)《联邦电力法》 本公司或其任何子公司均不受《联邦电力法》（经修订）下的“公用事业”监管。

(vv) Cybersecurity. The Company and its Subsidiaries’ information technology assets and equipment, computers, systems, networks, hardware, software, websites, applications, and databases (collectively, “IT Systems”) are adequate for, and operate and perform in all material respects as required in connection with the operation of the business of the Company and its subsidiaries as currently conducted, free and clear of all material bugs, errors, defects, Trojan horses, time bombs, malware and other corruptants that would reasonably be expected to have a Material Adverse Effect on the Company’s business. The Company and its Subsidiaries have implemented and maintained commercially reasonable physical, technical and administrative controls, policies, procedures, and safeguards to maintain and protect their material confidential information and the integrity, continuous operation, redundancy and security of all IT Systems and data, including “Personal Data,” used in connection with their businesses. “Personal Data” means (i) a natural person’s name, street address, telephone number, e-mail address, photograph, social security number or tax identification number, driver’s license number, passport number, credit card number, bank information, or customer or account number; (ii) any information which would qualify as “personally identifying information” under the Federal Trade Commission Act, as amended; (iii) “personal data” as defined by the European Union General Data Protection Regulation (“GDPR”) (EU 2016/679); (iv) any information which would qualify as “protected health information” under the Health Insurance Portability and Accountability Act of 1996, as amended by the Health Information Technology for Economic and Clinical Health Act (collectively, “HIPAA”); and (v) any other piece of information that allows the identification of such natural person, or his or her family, or permits the collection or analysis of any data related to an identified person’s health or sexual orientation. There have been no breaches, violations, outages or unauthorized uses of or accesses to same, except for those that have been remedied without material cost or liability or the duty to notify any other person or such, nor any incidents under internal review or investigations relating to the same except in each case, where such would not, either individually or in the aggregate, reasonably be expected to result in a Material Adverse Effect. The Company and its Subsidiaries are presently in compliance with all applicable laws or statutes and all judgments, orders, rules and regulations of any court or arbitrator or governmental or regulatory authority, internal policies and contractual obligations relating to the privacy and security of IT Systems and Personal Data and to the protection of such IT Systems and Personal Data from unauthorized use, access, misappropriation or modification except in each case, where such would not, either individually or in the aggregate, reasonably be expected to result in a Material Adverse Effect.

(ww) Compliance with Data Privacy Laws. The Company and its Subsidiaries are, and at all prior times were, in compliance with all applicable state and federal data privacy and security laws and regulations, including without limitation HIPAA, and the Company and its Subsidiaries have taken commercially reasonable actions to prepare to comply with, and since May 25, 2018, have been and currently are in compliance with, the GDPR (EU 2016/679) (collectively, the “Privacy Laws”) except in each case, where such would not, either individually or in the aggregate, reasonably be expected to result in a Material Adverse Effect. To ensure compliance with the Privacy Laws, the Company and its Subsidiaries have in place, comply with, and take appropriate steps reasonably designed to ensure compliance in all material respects with their policies and procedures relating to data privacy and security and the collection, storage, use, disclosure, handling, and analysis of Personal Data (the “Policies”). The Company and its Subsidiaries have at all times made all disclosures to users or customers required by applicable laws and regulatory rules or requirements, and none of such disclosures made or contained in any Policy have, to the knowledge of the Company, been inaccurate or in violation of any applicable laws and regulatory rules or requirements in any material respect. The Company further certifies that neither it nor any Subsidiary: (i) has received notice of any actual or potential liability under or relating to, or actual or potential violation of, any of the Privacy Laws, and has no knowledge of any event or condition that would reasonably be expected to result in any such notice; (ii) is currently conducting or paying for, in whole or in part, any investigation, remediation, or other corrective action pursuant to any Privacy Law; or (iii) is a party to any order, decree, or agreement that imposes any obligation or liability under any Privacy Law.

(xx) Disclosure. The Company confirms that neither it nor any other Person acting on its behalf has provided any of the Buyers or their agents or counsel with any information that constitutes or could reasonably be expected to constitute material, non-public information concerning the Company or any of its Subsidiaries, other than the existence of the transactions contemplated by this Agreement and the other Transaction Documents. The Company understands and confirms that each of the Buyers will rely on the foregoing representations in effecting transactions in securities of the Company. All disclosure provided to the Buyers regarding the Company and its Subsidiaries, their businesses and the transactions contemplated hereby, including the schedules to this Agreement, furnished by or on behalf of the Company or any of its Subsidiaries is true and correct and does not contain any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements made therein, in the light of the circumstances under which they were made, not misleading. All of the written information furnished after the date hereof by or on behalf of the Company or any of its Subsidiaries to each Buyer pursuant to or in connection with this Agreement and the other Transaction Documents, taken as a whole, will be true and correct in all material respects as of the date on which such information is so provided and will not contain any untrue statement of a material fact or omit to state any material fact necessary in order to make the statements made therein, in the light of the circumstances under which they were made, not misleading. Each press release issued by the Company or any of its Subsidiaries during the twelve (12) months preceding the date of this Agreement did not at the time of release contain any untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary in order to make the statements therein, in the light of the circumstances under which they are made, not misleading. No event or circumstance has occurred or information exists with respect to the Company or any of its Subsidiaries or its or their business, properties, liabilities, prospects, operations (including results thereof) or conditions (financial or otherwise), which, under applicable law, rule or regulation, requires public disclosure at or before the date hereof or announcement by the Company but which has not been so publicly disclosed. All financial projections and forecasts that have been prepared by or on behalf of the Company or any of its Subsidiaries and made available to you have been prepared in good faith based upon reasonable assumptions and represented, at the time each such financial projection or forecast was delivered to each Buyer, the Company’s best estimate of future financial performance (it being recognized that such financial projections or forecasts are not to be viewed as facts and that the actual results during the period or periods covered by any such financial projections or forecasts may differ from the projected or forecasted results). The Company acknowledges and agrees that no Buyer makes or has made any representations or warranties with respect to the transactions contemplated hereby other than those specifically set forth in Section 2.

4. 公约。

(a)最大努力。 各买方应尽最大努力及时满足本协议第6条中规定的各项约定和条件。公司应尽最大努力及时满足本协议第7条规定的各项约定和条件 。

(b)D型和蓝天。公司应按照法规D的要求，提交一份有关证券的表格D，并在提交后立即向每个买方提供表格D的副本 。公司应在交割日或之前采取公司合理确定的必要行动，以便根据适用的证券或美国各州的"蓝天"法律，在交割日获得豁免，或使证券有资格在 交割时出售给买方（或 获得该资格豁免），并应在 截止日期或之前向买方提供任何该等行动的证据。在不限制本协议项下本公司的任何其他义务的情况下，本公司应根据所有适用证券法的要求，及时提交与证券发售和出售有关的所有 备案和报告（包括但不限于，所有适用的联邦证券法和所有适用的“蓝天”法），公司应 遵守所有适用的外国、联邦、州和地方法律、法规，有关 向买方发售和出售证券的规则、规章等。

(c)报告 状态。直到买方已出售所有可登记证券之日（“报告期”），公司应及时提交所有要求提交SEC根据1934年法案提交的报告，且 公司不得终止其根据《1934年法案》要求提交报告的发行人的身份，即使《1934年法案》或规则而根据该条例的规定不再要求或以其他方式允许该终止。

(d)收益的使用。 本公司将把出售证券所得款项用于一般企业用途，但不得直接或间接用于 （i）除附表4（d）所述外，清偿本公司或其任何子公司的任何债务，（ii）赎回 或回购本公司或其任何子公司的任何证券，或（iii）解决任何未决诉讼。

(e)财务 信息。本公司同意向每一位投资者发送以下信息（定义见《注册权协议》）在 报告期内（i）（除非通过EDGAR向SEC提交并通过EDGAR向公众提供以下内容 系统向SEC提交，在向SEC提交后的一（1）个工作日内， 外国发行人在表格6—K上的报告、任何其他中期报告或任何合并资产负债表、损益表、股东权益表和/或现金流量表，除年度以外的任何期间，任何外国发行人在表格6—K上的报告和任何 登记声明（表格S—8除外）或根据1933年法案提交的修正案，（ii）除非以下内容 通过EDGAR提交给SEC，或通过认可的新闻发布服务广泛传播（如美通社）， 在发布该新闻稿的同一天，通过电子邮件发送公司或其任何子公司发布的所有新闻稿的副本，以及 （iii）除非通过EDGAR向SEC提交以下内容， 一般向公司股东提供或提供的任何通知和其他信息的副本，在向股东提供或给予其期间。

(f)在上市 公司应立即确保上市或指定报价（视情况而定）所有可登记证券 在每个国家证券交易所和自动报价系统（如有）上，在此基础上，普通股被列出或指定报价。（视属何情况而定）（以正式发布通知为准），并应保持此类上市或 报价指定（视情况而定）根据 交易文件条款不时在该国家证券交易所或自动报价系统上发行的所有可登记证券。公司应维持普通股在主要市场、纽约证券交易所、美国纽约证券交易所、纳斯达克全球市场或纳斯达克全球精选市场（各自为"合格市场"）的上市或报价授权（视情况而定）。 公司或其任何子公司均不得采取任何合理预期会导致普通股在合格市场上被摘牌或 停牌的行动。公司应支付与履行本第4条（f）项下的 义务有关的所有费用和开支。

(g) Fees. The Company shall reimburse the lead Buyer for all costs and expenses incurred by it or its affiliates in connection with the structuring, documentation, negotiation and closing of the transactions contemplated by the Transaction Documents (including, without limitation, as applicable, a non-accountable amount of $54,130 for the fees of outside counsel and disbursements of Kelley Drye & Warren LLP, counsel to the lead Buyer, any other reasonable fees and expenses in connection with the structuring, documentation, negotiation and closing of the transactions contemplated by the Transaction Documents and due diligence and regulatory filings in connection therewith) (the “Transaction Expenses”) and shall be withheld by the lead Buyer from its Purchase Price at the Closing; provided, that the Company shall promptly reimburse Kelley Drye & Warren LLP on demand for all Transaction Expenses not so reimbursed through such withholding at the Closing. The Company shall be responsible for the payment of any placement agent’s fees, financial advisory fees, transfer agent fees, DTC (as defined below) fees or broker’s commissions (other than for Persons engaged by any Buyer) relating to or arising out of the transactions contemplated hereby. The Company shall pay, and hold each Buyer harmless against, any liability, loss or expense (including, without limitation, reasonable attorneys’ fees and out-of-pocket expenses) arising in connection with any claim relating to any such payment. Except as otherwise set forth in the Transaction Documents, each party to this Agreement shall bear its own expenses in connection with the sale of the Securities to the Buyers.

(h) 证券质押。尽管本协议中有任何相反的规定，本公司承认并同意投资者可以就以证券为担保的善意保证金协议或其他贷款或融资安排质押 证券。证券质押不应被视为本协议项下证券的转让、出售或转让 ，任何进行证券质押的投资者均不需要向公司提供任何通知或 根据本协议或任何其他交易文件（包括但不限于 第2（g）节）以其他方式向公司交付任何交付；但投资者及其质押人应遵守本协议第2（g）节的规定，以实现向质押人出售、转让或转让证券。本公司特此同意 根据证券质押人合理要求的与买方向该质押人质押 证券有关的文件，并签署和交付。

(i)交易 和其他重要信息的披露。

(i)交易披露 。公司应于上午9时或之前，纽约时间1日（1^ST）在本协议签订之日后的 工作日，发布一份买方合理接受的新闻稿（以下简称"新闻稿"）， 披露交易文件中预期交易的所有重要条款。上午9点或之前，纽约时间 第一号（1^ST）本协议签订日期后的一个工作日，公司应提交一份格式为6—K的外国发行人报告，以 1934年法案要求的格式描述交易文件所预期交易的所有重要条款，并附上所有重要交易文件（包括但不限于本协议（及本协议的所有附件 ）、优先认股权证的形式、普通认股权证的形式，指定证书的格式和 注册权协议的格式）（包括所有附件，"6—K文件"）。自 提交6—K文件以来，公司应披露公司或其任何子公司或其各自的任何高级职员、董事、雇员或代理人向任何 买方提供的与交易文件中预期的交易有关的所有重要、非公开信息（如有）。此外，自提交6—K文件之日起， 公司承认并同意，公司、其任何子公司或其任何各自的高级职员、董事、关联公司、雇员或代理人 为一方，与任何买方或其任何关联公司为另一方，将终止。

(ii) Limitations on Disclosure. The Company shall not, and the Company shall cause each of its Subsidiaries and each of its and their respective officers, directors, employees and agents not to, provide any Buyer with any material, non-public information regarding the Company or any of its Subsidiaries from and after the date hereof without the express prior written consent of such Buyer (which may be granted or withheld in such Buyer’s sole discretion). In the event of a breach of any of the foregoing covenants, including, without limitation, Section 4(o) of this Agreement, or any of the covenants or agreements contained in any other Transaction Document, by the Company, any of its Subsidiaries, or any of its or their respective officers, directors, employees and agents (as determined in the reasonable good faith judgment of such Buyer), in addition to any other remedy provided herein or in the Transaction Documents, such Buyer shall have the right to make a public disclosure, in the form of a press release, public advertisement or otherwise, of such breach or such material, non-public information, as applicable, without the prior approval by the Company, any of its Subsidiaries, or any of its or their respective officers, directors, employees or agents. No Buyer shall have any liability to the Company, any of its Subsidiaries, or any of its or their respective officers, directors, employees, affiliates, shareholders or agents, for any such disclosure. To the extent that the Company delivers any material, non-public information to a Buyer without such Buyer’s consent, the Company hereby covenants and agrees that such Buyer shall not have any duty of confidentiality with respect to, or a duty not to trade on the basis of, such material, non-public information. Subject to the foregoing, neither the Company, its Subsidiaries nor any Buyer shall issue any press releases or any other public statements with respect to the transactions contemplated hereby; provided, however, the Company shall be entitled, without the prior approval of any Buyer, to make the Press Release and any press release or other public disclosure with respect to such transactions (i) in substantial conformity with the 6-K Filing and contemporaneously therewith and (ii) as is required by applicable law and regulations (provided that in the case of clause (i) each Buyer shall be consulted by the Company in connection with any such press release or other public disclosure prior to its release). Without the prior written consent of the applicable Buyer (which may be granted or withheld in such Buyer’s sole discretion), the Company shall not (and shall cause each of its Subsidiaries and affiliates to not) disclose the name of such Buyer in any filing, announcement, release or otherwise. Notwithstanding anything contained in this Agreement to the contrary and without implication that the contrary would otherwise be true, the Company expressly acknowledges and agrees that no Buyer shall have (unless expressly agreed to by a particular Buyer after the date hereof in a written definitive and binding agreement executed by the Company and such particular Buyer (it being understood and agreed that no Buyer may bind any other Buyer with respect thereto)), any duty of confidentiality with respect to, or a duty not to trade on the basis of, any material, non-public information regarding the Company or any of its Subsidiaries.

(iii) Other Confidential Information. Disclosure Failures; Disclosure Delay Payments. In addition to other remedies set forth in this Section 4(i), and without limiting anything set forth in any other Transaction Document, at any time after the Closing Date if the Company, any of its Subsidiaries, or any of their respective officers, directors, employees or agents, provides any Buyer with material non-public information relating to the Company or any of its Subsidiaries (each, the “Confidential Information”), the Company shall, on or prior to the applicable Required Disclosure Date (as defined below), publicly disclose such Confidential Information on a Report of Foreign Issuer on Form 6-K or otherwise (each, a “Disclosure”). From and after such Disclosure, the Company shall have disclosed all Confidential Information provided to such Buyer by the Company or any of its Subsidiaries or any of their respective officers, directors, employees or agents in connection with the transactions contemplated by the Transaction Documents. In addition, effective upon such Disclosure, the Company acknowledges and agrees that any and all confidentiality or similar obligations under any agreement, whether written or oral, between the Company, any of its Subsidiaries or any of their respective officers, directors, affiliates, employees or agents, on the one hand, and any of the Buyers or any of their affiliates, on the other hand, shall terminate. In the event that the Company fails to effect such Disclosure on or prior to the Required Disclosure Date and such Buyer shall have possessed Confidential Information for at least ten (10) consecutive Trading Days (each, a “Disclosure Failure”), then, as partial relief for the damages to such Buyer by reason of any such delay in, or reduction of, its ability to buy or sell Common Shares after such Required Disclosure Date (which remedy shall not be exclusive of any other remedies available at law or in equity), the Company shall pay to such Buyer an amount in cash equal to the greater of (I) two percent (2%) of the aggregate Purchase Price and (II) the applicable Disclosure Restitution Amount, on each of the following dates (each, a “Disclosure Delay Payment Date”): (i) on the date of such Disclosure Failure and (ii) on every thirty (30) day anniversary such Disclosure Failure until the earlier of (x) the date such Disclosure Failure is cured and (y) such time as all such non-public information provided to such Buyer shall cease to be Confidential Information (as evidenced by a certificate, duly executed by an authorized officer of the Company to the foregoing effect) (such earlier date, as applicable, a “Disclosure Cure Date”). Following the initial Disclosure Delay Payment for any particular Disclosure Failure, without limiting the foregoing, if a Disclosure Cure Date occurs prior to any thirty (30) day anniversary of such Disclosure Failure, then such Disclosure Delay Payment (prorated for such partial month) shall be made on the second (2nd) Business Day after such Disclosure Cure Date. The payments to which an Investor shall be entitled pursuant to this Section 4(i)(iii) are referred to herein as “Disclosure Delay Payments.” In the event the Company fails to make Disclosure Delay Payments in a timely manner in accordance with the foregoing, such Disclosure Delay Payments shall bear interest at the rate of two percent (2%) per month (prorated for partial months) until paid in full.

(Iv) 就本协定而言，应适用下列定义：

（1） "披露失败市价"是指，截至任何披露延迟付款日期，计算为 适用披露恢复期（定义见下文）内普通股五（5）个最高VWAP（定义见普通认股权证）之和除以（II）五（5）（该期间，"披露失败计量期"）的 商数。 所有该等决定均应根据任何股份股息、股份拆分、股份合并、重新分类或类似 交易在该披露失败计量期间按比例减少或增加普通股。

（2） "披露补偿金额"是指，截至任何披露延迟付款日期，（x） （I）披露失败市价减去（II）根据本协议或任何其他交易文件已发行或 可发行给该买方的任何普通股的每股普通股的最低购买价的乘积，乘以（y）每日 美元总交易量的10%（根据彭博社（定义见认股权证）报告）每个 交易日主要市场上的普通股（定义见普通认股权证）（1）就初始披露延迟付款日期而言，在 期间内，自适用的要求披露日期起至（包括）紧接初始交易日之前的交易日 披露延迟付款日期或（2）对于其他披露延迟付款日期，从 紧接披露延迟付款日期之前的 至紧接该适用 披露延迟付款日期之前的交易日（包括该适用期间，“披露补偿期”）。

(3)"所需 披露日期"指（x）如果买方授权交付此类机密信息，（I）如果公司 和买方已就披露此类机密信息的日期（通过电子邮件或其他书面形式证明）达成一致， 该日期或（II）否则，第七（7）^这是）该买方首次收到任何机密 信息之日后的日历日，或（y）如果该买方未授权交付该机密信息，则第一（1）^ST）营业 买方收到此类机密信息后的第二天。

(j) Additional Registration Statements. Until the Applicable Date (as defined below) and at any time thereafter while any Registration Statement is not effective or the prospectus contained therein is not available for use or any Current Public Information Failure (as defined in the Registration Rights Agreement) exists, the Company shall not file a registration statement or an offering statement under the 1933 Act relating to securities that are not the Registrable Securities (other than a registration statement on Form S-8 or such supplements or amendments to registration statements that are outstanding and have been declared effective by the SEC as of the date hereof (solely to the extent necessary to keep such registration statements effective and available and not with respect to any Subsequent Placement)). “Applicable Date” means the earlier of (x) the first date on which the resale by the Buyers of all the Registrable Securities required to be filed on the initial Registration Statement (as defined in the Registration Rights Agreement) pursuant to the Registration Rights Agreement is declared effective by the SEC (and each prospectus contained therein is available for use on such date) or (y) the first date on which all of the Registrable Securities are eligible to be resold by the Buyers pursuant to Rule 144 (or, if a Current Public Information Failure has occurred and is continuing, such later date after which the Company has cured such Current Public Information Failure).

(k) Additional Issuance of Securities. So long as any Buyer beneficially owns any Securities, the Company will not, without the prior written consent of the Required Holders, issue any Preferred Shares (other than to the Buyers as contemplated hereby) and the Company shall not issue any other securities that would cause a breach or default under the Certificate of Designations or the Common Warrants. The Company agrees that for the period commencing on the date hereof and ending on the date immediately following the 120th calendar day after the Closing Date (the “Restricted Period”), neither the Company nor any of its Subsidiaries shall directly or indirectly issue, offer, sell, grant any option or right to purchase, or otherwise dispose of (or announce any issuance, offer, sale, grant of any option or right to purchase or other disposition of) any Convertible Securities (as defined below), any debt, any preferred shares or any purchase rights) (any such issuance, offer, sale, grant, disposition or announcement (whether occurring during the Restricted Period or at any time thereafter) is referred to as a “Subsequent Placement”). Notwithstanding the foregoing, this Section 4(k) shall not apply in respect of the issuance of (i) Common Shares or standard options to purchase Common Shares to directors, officers or employees of the Company in their capacity as such pursuant to an Approved Share Plan (as defined below), provided that the exercise price of any such options is not lowered, none of such options are amended to increase the number of shares issuable thereunder and none of the terms or conditions of any such options are otherwise materially changed in any manner that adversely affects any of the Buyers; (ii) Common Shares issued upon the conversion or exercise of Convertible Securities (other than standard options to purchase Common Shares issued pursuant to an Approved Share Plan that are covered by clause (i) above) issued prior to the date hereof, provided that the conversion, exercise or other method of issuance (as the case may be) of any such Convertible Security is made solely pursuant to the conversion, exercise or other method of issuance (as the case may be) provisions of such Convertible Security that were in effect on the date immediately prior to the date of this Agreement, the conversion, exercise or issuance price of any such Convertible Securities (other than standard options to purchase Common Shares issued pursuant to an Approved Share Plan that are covered by clause (i) above) is not lowered, none of such Convertible Securities (other than standard options to purchase Common Shares issued pursuant to an Approved Share Plan that are covered by clause (i) above) are amended to increase the number of shares issuable thereunder and none of the terms or conditions of any such Convertible Securities (other than standard options to purchase Common Shares issued pursuant to an Approved Share Plan that are covered by clause (i) above) are otherwise materially changed in any manner that adversely affects any of the Buyers; (iii) the Conversion Shares; provided, that the terms of the Certificate of Designations are not amended, modified or changed on or after the hereof, (iv) the Warrant Preferred Shares; provided, that the terms of the Preferred Warrant are not amended, modified or changed on or after the Closing Date, and (v) the Warrant Common Shares; provided, that the terms of the Common Warrants are not amended, modified or changed on or after the Closing Date (each of the foregoing in clauses (i) through (v), collectively the “Excluded Securities”). “Approved Share Plan” means any employee benefit plan which has been approved by the board of directors of the Company prior to or subsequent to the date hereof pursuant to which Common Shares and standard options to purchase Common Shares may be issued to any employee, officer or director for services provided to the Company in their capacity as such.

(l) Reservation of Shares. So long as any of the Preferred Shares, Preferred Warrants or Common Warrants remain outstanding, the Company shall take all action necessary to at all times have authorized, and reserved for the purpose of issuance, no less than the sum of (i) the maximum number of Conversion Shares issuable upon conversion of the Preferred Shares (assuming for purposes hereof that (w) the Preferred Warrants have been exercised in full, (x) the Preferred Shares are convertible at the Floor Price (as defined in the Certificate of Designations) and (y) any such conversion shall not take into account any limitations on the conversion of the Preferred Shares set forth in the Certificate of Designations), (ii) the maximum number of Warrant Preferred Shares initially issuable upon exercise of the Preferred Warrants (without taking into account any limitations on the exercise of the Preferred Warrants set forth therein) and (iii) the maximum number of Warrant Common Shares initially issuable upon exercise of the Common Warrants (without taking into account any limitations on the exercise of the Common Warrants set forth therein) (collectively, the “Required Reserve Amount”); provided that at no time shall the number of Common Shares reserved pursuant to this Section 4(l) be reduced other than proportionally in connection with any conversion, exercise and/or redemption, as applicable of Preferred Shares and Common Warrants. If at any time the number of Common Shares authorized and reserved for issuance is not sufficient to meet the Required Reserve Amount, the Company will promptly take all corporate action necessary to authorize and reserve a sufficient number of shares, including, without limitation, calling a special meeting of shareholders to authorize additional shares to meet the Company’s obligations pursuant to the Transaction Documents, in the case of an insufficient number of authorized shares, obtain shareholder approval of an increase in such authorized number of shares, and voting the management shares of the Company in favor of an increase in the authorized shares of the Company to ensure that the number of authorized shares is sufficient to meet the Required Reserve Amount.

(m)业务的行为。 公司及其子公司的业务不得违反任何法律、条例或任何政府机构的规章，除非合理预期此类违规行为不会单独或总体造成重大不利影响 。

(n) Other Preferred Shares; Variable Securities. So long as any Preferred Shares remain outstanding, the Company and each Subsidiary shall be prohibited from effecting or entering into an agreement to effect any Subsequent Placement involving a Variable Rate Transaction. “Variable Rate Transaction” means a transaction in which the Company or any Subsidiary (i) issues or sells any Convertible Securities either (A) at a conversion, exercise or exchange rate or other price that is based upon and/or varies with the trading prices of or quotations for the Common Shares at any time after the initial issuance of such Convertible Securities, or (B) with a conversion, exercise or exchange price that is subject to being reset at some future date after the initial issuance of such Convertible Securities or upon the occurrence of specified or contingent events directly or indirectly related to the business of the Company or the market for the Common Shares, other than pursuant to a customary “weighted average” anti-dilution provision or (ii) enters into any agreement (including, without limitation, an equity line of credit or an “at-the-market” offering) whereby the Company or any Subsidiary may sell securities at a future determined price (other than standard and customary “preemptive” or “participation” rights). Each Buyer shall be entitled to obtain injunctive relief against the Company and its Subsidiaries to preclude any such issuance, which remedy shall be in addition to any right to collect damages.

(o)参与权。 在截止日期的第二个周年日（或，如果较早，则为 优先股或优先认股权证没有发行在外之日的九（9）个月周年日）或之前的任何时间，除非公司首先遵守本第4（o）条的规定，否则公司或其任何子公司均不得直接或间接实施任何后续配售。公司承认并 同意，本第4（o）条所述的权利是公司单独授予每个买方的权利。

(i) At least five (5) Trading Days prior to any proposed or intended Subsequent Placement, the Company shall deliver to each Buyer a written notice (each such notice, a “Pre-Notice”), which Pre-Notice shall not contain any information (including, without limitation, material, non-public information) other than: (A) if the proposed Offer Notice (as defined below) constitutes or contains material, non-public information, a statement asking whether the Investor is willing to accept material non-public information or (B) if the proposed Offer Notice does not constitute or contain material, non-public information, (x) a statement that the Company proposes or intends to effect a Subsequent Placement, (y) a statement that the statement in clause (x) above does not constitute material, non-public information and (z) a statement informing such Buyer that it is entitled to receive an Offer Notice (as defined below) with respect to such Subsequent Placement upon its written request. Upon the written request of a Buyer within three (3) Trading Days after the Company’s delivery to such Buyer of such Pre-Notice, and only upon a written request by such Buyer, the Company shall promptly, but no later than one (1) Trading Day after such request, deliver to such Buyer an irrevocable written notice (the “Offer Notice”) of any proposed or intended issuance or sale or exchange (the “Offer”) of the securities being offered (the “Offered Securities”) in a Subsequent Placement, which Offer Notice shall (A) identify and describe the Offered Securities, (B) describe the price and other terms upon which they are to be issued, sold or exchanged, and the number or amount of the Offered Securities to be issued, sold or exchanged, (C) identify the Persons (if known) to which or with which the Offered Securities are to be offered, issued, sold or exchanged and (D) offer to issue and sell to or exchange with such Buyer in accordance with the terms of the Offer such Buyer’s pro rata portion of 50% of the Offered Securities, provided that the number of Offered Securities which such Buyer shall have the right to subscribe for under this Section 4(o) shall be (x) based on such Buyer’s pro rata portion of the aggregate number of the Preferred Shares purchased hereunder by all Buyers (the “Basic Amount”), and (y) with respect to each Buyer that elects to purchase its Basic Amount, any additional portion of the Offered Securities attributable to the Basic Amounts of other Buyers as such Buyer shall indicate it will purchase or acquire should the other Buyers subscribe for less than their Basic Amounts (the “Undersubscription Amount”), which process shall be repeated until each Buyer shall have an opportunity to subscribe for any remaining Undersubscription Amount.

(ii)为接受 全部或部分要约，买方必须在第五个 （5）月底前向公司提交书面通知^这是)买方收到要约通知后的营业日(“要约期”)，说明买方选择购买的买方基本金额的部分，如果买方选择购买所有基本金额，则说明买方选择购买的认购不足金额(在任何情况下，均为 “接受通知”)。如果所有买受人认购的基本金额少于所有基本金额的总和，则在接受通知书中列出认购金额的买受人，除认购的基本金额外，有权购买其认购的认购金额；然而，如果 认购的基本金额超过所有基本金额的总和与认购的基本金额之间的差额(“可用认购金额”)，则每名已认购任何 认购金额的买家有权只购买可用认购金额中的一部分，该部分仅为该买家的基本金额与所有已认购的基本金额的总和之间的差额，但须受本公司认为合理必要的 舍入所限。尽管有上述规定，如果公司希望在要约期届满前修改要约的条款和条件，公司可以向每位买家发出新的要约通知，要约期将于五(5)日届满^这是）买方收到 新报价通知后的工作日。

(Iii)自上述要约期届满起，本公司应有五(5)个工作日的时间(A)就买方尚未根据最终协议(S)(“后续配售协议”)发出接纳通知(“拒绝接受的证券”)的已发行证券的全部或 部分进行要约、发行、出售或交换，但只能向要约通知中所述的受要约人(如其中所述)且仅根据条款和条件(包括但不限于 )，(B)公开宣布(X)该等后续配售协议已签立，及(Y)(I)完成该等后续配售协议或(Ii)终止该等后续配售协议，该等报告应以外国发行人以表格6-K格式呈交予美国证券交易委员会的报告形式提交予该等后续配售协议及其中所载的任何文件，如其附件所示。

(Iv) 如果本公司提议出售少于全部被拒绝的证券(任何此类出售应以上文第4(O)(Iii)节规定的方式和条款进行)，则每一买方可自行选择并全权酌情决定：撤回其接受通知 或将其接受通知中指定的要约证券的数量或金额减少至不少于该买方根据上文第4(O)(Ii)节选择购买的要约证券的数量或金额乘以一个分数，(I)分子应为公司实际建议发行的要约证券的数量或金额。出售或交换(包括根据本第4(O)节在减持之前将发行或出售给买家的已发行证券)和(Ii)其分母应为已发行证券的原始金额。如果任何买方选择 减少其接受通知中指定的已发行证券的数量或金额，本公司不得发行、出售或交换超过已减少数量或金额的已发行证券，除非该等证券已根据上文第4(O)(I)节再次向买方要约 。

(V) 在全部或少于全部被拒绝证券的发行、出售或交换完成后，买方应从本公司收购 ，如果买方已根据要约中规定的条款和条件作出选择，则公司应向买方发行其接受通知中规定的、根据上文第4(O)(Iv)节减少的已要约证券的数量或金额。 在所有情况下，买方购买任何已要约证券均须进行准备，本公司与该买方签署并交付一份有关该等已发售证券的单独购买协议，该协议在形式和实质上均令该买方及其律师感到合理满意。

(Vi) 任何未由买方或其他人根据本协议第4(O)条获得的要约证券，在根据本协议规定的程序再次向买方要约之前，不得发行、出售或交换。

(Vii)本公司和每名买方同意，如果任何买方选择参与要约，(X)关于该要约的后续配售协议或与此相关的任何其他交易文件(统称为“后续配售文件”) 均不应包括任何条款或条款，据此，买方应被要求同意对公司任何证券的任何交易 的任何限制，或被要求同意根据或与 相关的任何修订或终止，或授予任何豁免、免除等，先前与本公司订立的任何协议或从本公司收到的任何文件，及(Y)该等后续配售文件所载的任何登记权利应在所有重大方面与登记权利协议所载的登记权利相类似。

(Viii) 尽管第4(O)节有任何相反规定，除非买方另有约定，否则公司应 以书面形式向买方确认关于后续配售的交易已被放弃，或应公开披露其发行要约证券的意向，在任何一种情况下，以使买方不会在第五(5)日之前拥有任何 重大非公开信息的方式。^这是)递送优惠通知后的营业日。如果到这样的第五个 (5^这是）交易日，未公开披露与要约证券有关的交易，且 该买方未收到关于放弃该交易的通知，该交易应被视为 放弃，且该买方不应拥有与本公司或其任何 子公司有关的任何重大非公开信息。如果公司决定就已发行证券进行此类交易，公司应向该 买方提供另一份要约通知，该买方将再次享有本第4（o）条所述的参与权。除非第4（o）（ii）节最后一句明确规定，否则本公司 不得在任何六十（60）天内向买方交付超过一份此类要约通知。

（ix） 本第4（o）条所载的限制不适用于任何除外证券的发行。 公司不得通过向一个买方提供未向 所有买方提供的条款或条件来规避本第4（o）条的规定。

(p)稀释 发行。只要任何优先股、优先认股权证或普通认股权证仍然未发行，公司不得， 以任何方式，订立或影响任何稀释发行（定义见指定证书），如果该 稀释发行的影响导致公司必须在转换任何优先股或行使任何普通股时发行 在不违反公司在 主要市场规则或条例下的义务的情况下，对超过公司在转换优先股和行使普通认股权证时可能发行的普通股数量的任何普通股发出认股权证。

（q） 被动外国投资公司。公司应开展其业务，并应促使其子公司开展 各自业务，其方式应确保公司不会被视为本守则第1297条所指的被动外国投资 公司。

(r) 赎回和现金股息的限制。只要任何优先股尚未发行，未经买方事先明确书面 同意（指定证书要求的除外），公司不得直接或间接赎回、宣布或支付任何现金股息或公司任何证券的分配。

(s)公司 存在。只要任何买方实益拥有任何优先股、优先认股权证或普通认股权证，公司 不应成为任何基本交易（定义见指定证书）的一方，除非公司遵守 指定证书和普通认股权证中规定的基本交易的适用条款。

(t)转换和练习 程序。每一种形式的演习通知（定义见普通认股权证）包括在普通认股权证内， 练习通知的形式（定义见优先认股权证）包括于优先认股权证及转换通知的格式（如指定证书中的定义 ）包含在指定证书中，列出了 所需的全部程序买方以行使优先认股权证或普通认股权证或转换优先股。除 第5（d）条另有规定外，买方行使其优先 认股权证或普通认股权证或转换其优先股时，无需提供额外法律意见、其他信息或指示。公司应履行优先认股权证和普通 认股权证的行使以及优先股的转换，并应分别按照指定证书、优先认股权证和普通认股权证中规定的条款、条件和期限交付转换股份、认股权证优先股和认股权证普通 认股权证。

(u)条例M. 本公司将不会采取1934年法案下的条例M禁止的与本协议所考虑的证券分销有关的任何行动。

(V)公开征集。 本公司、其任何联属公司(定义见1933年法令第501(B)条)或任何代表本公司行事的人士，或该等联属公司，将不会以任何形式的一般征询或一般广告的方式，征集买卖证券的要约，包括：(I)在任何报章、杂志或类似媒体上或在电视或广播上发表的任何广告、文章、通知或其他通讯；以及(Ii)与会者受到任何一般征集或一般广告邀请的任何研讨会或会议。

(W)融合。本公司、其任何关联公司(定义见1933年法案下的规则501(B))、代表公司行事的任何人或该关联公司的任何 不会出售、要约出售、或就任何证券(定义见《1933年法案》)征求购买或以其他方式进行谈判的要约，而该证券将与证券销售整合在一起，其方式将要求根据1933年法案注册证券或根据主要市场的规则和法规要求股东批准，本公司将采取一切适当或必要的行动，以确保其发行的其他证券不会因1933年法案或主要市场的规则和法规的目的而与本公司拟发行的证券整合在一起。

(X)取消资格通知 个项目。本公司将在以下事项结束日期前书面通知买方：(I)与任何发行人承保人员有关的任何取消资格事件，以及(Ii)随着时间推移可能成为与发行人 承保人员有关的任何取消资格事件的任何事件。

(Y)成交文件。 在成交日期后十四(14)个日历日或之前，公司同意向每位买方和Kelley Drye&Warren LLP交付或安排交付一套完整的已签立交易成交文件、证券和根据本条款第7条或其他规定必须交付给任何一方的任何其他文件。

5. 寄存器；传输代理指令；图例。

(A)注册纪录册。本公司应在其主要执行办公室(或本公司向每位证券持有人发出的通知所指定的本公司其他办事处或机构)保存一份关于优先股、优先认股权证和普通权证的登记册，公司应在其中记录优先股、优先认股权证和普通权证的发行人的姓名和地址(包括每个受让人的姓名和地址)、该人持有的优先股总数、根据优先股条款可发行的转换股份数目、因行使该人士所持优先认股权证而可发行的认股权证优先股总数及因行使该人士所持普通权证而可发行的认股权证普通股总数。公司应开放登记册，并在营业时间内随时开放，以供任何买方或其法定代表人检查。

(b) Transfer Agent Instructions. The Company shall issue irrevocable instructions to its transfer agent and any subsequent transfer agent (as applicable, the “Transfer Agent”) in a form acceptable to each of the Buyers (the “Irrevocable Transfer Agent Instructions”) to issue certificates or credit shares to the applicable balance accounts at The Depository Trust Company (“DTC”), registered in the name of each Buyer or its respective nominee(s), for the Conversion Shares and the Warrant Common Shares in such amounts as specified from time to time by each Buyer to the Company upon conversion of the Preferred Shares or the exercise of the Common Warrants (as the case may be). The Company represents and warrants that no instruction other than the Irrevocable Transfer Agent Instructions referred to in this Section 5(b), and stop transfer instructions to give effect to Section 2(g) hereof, will be given by the Company to its transfer agent with respect to the Securities, and that the Securities shall otherwise be freely transferable on the books and records of the Company, as applicable, to the extent provided in this Agreement and the other Transaction Documents. If a Buyer effects a sale, assignment or transfer of the Securities in accordance with Section 2(g), the Company shall permit the transfer and shall promptly instruct its transfer agent to issue one or more certificates or credit shares to the applicable balance accounts at DTC in such name and in such denominations as specified by such Buyer to effect such sale, transfer or assignment. In the event that such sale, assignment or transfer involves Conversion Shares or Warrant Common Shares sold, assigned or transferred pursuant to an effective registration statement or in compliance with Rule 144, the transfer agent shall issue such shares to such Buyer, assignee or transferee (as the case may be) without any restrictive legend in accordance with Section 5(d) below. The Company acknowledges that a breach by it of its obligations hereunder will cause irreparable harm to a Buyer. Accordingly, the Company acknowledges that the remedy at law for a breach of its obligations under this Section 5(b) will be inadequate and agrees, in the event of a breach or threatened breach by the Company of the provisions of this Section 5(b), that a Buyer shall be entitled, in addition to all other available remedies, to an order and/or injunction restraining any breach and requiring immediate issuance and transfer, without the necessity of showing economic loss and without any bond or other security being required. The Company shall cause its counsel to issue the legal opinion referred to in the Irrevocable Transfer Agent Instructions to the Company’s transfer agent on each Effective Date (as defined in the Registration Rights Agreement). Any fees (with respect to the transfer agent, counsel to the Company or otherwise) associated with the issuance of such opinion or the removal of any legends on any of the Securities shall be borne by the Company.

(c)传说每个 买方都明白证券已发行（或将在转换股份、认股权证 优先股和认股权证普通股的情况下发行）根据1933年法案和 适用的州证券法的注册或资格豁免，且除下文所述者外，证券应带有任何州"蓝天"法要求的任何图例，以及基本上以以下形式的限制性图例（并且可以 针对此类股票的转让发出停止转让指令）：

[无论是 本证书所代表的资产的发行和销售，还是这些资产所组成的资产 [敞篷车][可操练]已 ][本证书所代表的证券尚未]根据1933年《土地法》（经修订）或 适用的州土地法注册。（I）在没有 （A）根据经修订的1933年房产法案，或（B） 顾问意见的情况下，不得出售、出售、转让或转让房产（如公司要求），以公司可合理接受的形式，根据上述法案或（II）除非根据上述法案第144条或第144A条出售或有资格出售，否则不需要进行该注册。尽管 上述规定，这些担保物可能与由这些担保物担保的本地信用保证金或其他贷款或融资安排有关。

(D)删除 个传说。证明证券的证书无需包含上文第5(C)节所述的图例或任何其他图例：(I)当涉及转售此类证券的注册声明(包括注册声明)根据1933年法案生效时，(Ii)根据规则144出售此类证券(假设转让人不是本公司的关联公司)，(Iii)如果此类证券有资格根据规则144出售、转让或转让(前提是买方向公司提供有资格出售此类证券的合理保证)，根据规则 144项下的转让或转让(不包括买方律师的意见)，(Iv)与销售、转让或其他转让有关的(br}规则144项下的除外)，前提是该买方以一般可接受的形式向公司提供该买方的律师意见，大意是，该等证券的出售、转让或转让可以在没有根据1933年法案的适用要求进行登记的情况下进行，或者(V)如果1933年法案的适用要求不需要上述说明(包括但不限于，控制美国证券交易委员会发布的司法解释和声明)。如果根据前述规定不需要图例，则在买方向本公司或转让代理(通知本公司)交付代表该证券的传奇凭证(背书或附有股份权力)后，本公司应不迟于两(2)个交易日(或根据1934年法案或其他适用法律、规则或条例的规定，在买方向本公司交付代表该等证券的传奇凭证向本公司交付该等传奇凭证之日起为交易结算日期)。以及以其他必要的形式影响重新发行和/或转让(如果适用)，连同上述第5(D)节可能要求的买方按照该买方的指示进行的任何其他交付，或者：(A) 只要本公司的转让代理参与DTC快速自动证券转让计划(“FAST”)，并且该等证券是转换股票或认股权证普通股，贷记买方有权通过 其在托管系统的存取款获得该买方或其指定人在DTC的余额账户的普通股的总数，或(B)如果公司的转让代理没有参与FAST，则向该买方签发并 交付(通过信誉良好的隔夜快递)代表该证券的证书，该证书不受所有 限制性和其他传说的限制。以该买方或其指定人的名义登记的(要求将有关信用记入该买方或该买方指定人持有DTC的余额账户的日期，或根据前述规定须向该买方或该买方指定人交付的证书在此称为“规定交付日期”，以及该普通股实际交付给该买方或该买方指定人的 日期，如 适用，为“股份交付日期”)。本公司应负责任何转让代理费或DTC费用 与任何证券的发行或任何证券相关的任何传说的删除。

(e) Failure to Timely Deliver; Buy-In. If the Company fails to fail, for any reason or for no reason, to issue and deliver (or cause to be delivered) to a Buyer (or its designee) by the Required Delivery Date, either (I) if the Transfer Agent is not participating in FAST, a certificate for the number of Warrant Preferred Shares, Conversion Shares or Warrant Common Shares (as the case may be) to which such Buyer is entitled and register such Warrant Preferred Shares, Conversion Shares or Warrant Common Shares (as the case may be) on the Company’s share register or, if the Transfer Agent is participating in FAST, to credit the balance account of such Buyer or such Buyer’s designee with DTC for such number of Conversion Shares or Warrant Common Shares (as the case may be) submitted for legend removal by such Buyer pursuant to Section 5(d) above or (II) if the Registration Statement covering the resale of the Conversion Shares or Warrant Common Shares (as the case may be) submitted for legend removal by such Buyer pursuant to Section 5(d) above (the “Unavailable Shares”) is not available for the resale of such Unavailable Shares and the Company fails to promptly, but in no event later than as required pursuant to the Registration Rights Agreement (x) so notify such Buyer and (y) deliver the Conversion Shares or Warrant Common Shares, as applicable, electronically without any restrictive legend by crediting such aggregate number of Conversion Shares or Warrant Common Shares (as the case may be) submitted for legend removal by such Buyer pursuant to Section 5(d) above to such Buyer’s or its designee’s balance account with DTC through its Deposit/Withdrawal At Custodian system (the event described in the immediately foregoing clause (II) is hereinafter referred as a “Notice Failure” and together with the event described in clause (I) above, a “Delivery Failure”), then, in addition to all other remedies available to such Buyer, the Company shall pay in cash to such Buyer on each day after the Share Delivery Date and during such Delivery Failure an amount equal to 2% of the product of (A) the sum of the number of Common Shares not issued to such Buyer on or prior to the Required Delivery Date and to which such Buyer is entitled, and (B) any trading price of the Common Shares selected by such Buyer in writing as in effect at any time during the period beginning on the date of the delivery by such Buyer to the Company of the applicable Conversion Shares or Warrant Shares (as the case may be) and ending on the applicable Share Delivery Date. In addition to the foregoing, if on or prior to the Required Delivery Date either (I) if the Transfer Agent is not participating in FAST, the Company shall fail to issue and deliver a certificate to a Buyer and register such Common Shares on the Company’s share register or, if the Transfer Agent is participating in FAST, credit the balance account of such Buyer or such Buyer’s designee with DTC for the number of Common Shares to which such Buyer submitted for legend removal by such Buyer pursuant to Section 5(d) above (ii) below or (II) a Notice Failure occurs, and if on or after such Trading Day such Buyer purchases (in an open market transaction or otherwise) Common Shares to deliver in satisfaction of a sale by such Buyer of Common Shares submitted for legend removal by such Buyer pursuant to Section 5(d) above that such Buyer is entitled to receive from the Company (a “Buy-In”), then the Company shall, within two (2) Trading Days after such Buyer’s request and in such Buyer’s discretion, either (i) pay cash to such Buyer in an amount equal to such Buyer’s total purchase price (including brokerage commissions and other out-of-pocket expenses, if any, for the Common Shares so purchased) (the “Buy-In Price”), at which point the Company’s obligation to so deliver such certificate or credit such Buyer’s balance account shall terminate and such shares shall be cancelled, or (ii) promptly honor its obligation to so deliver to such Buyer a certificate or certificates or credit the balance account of such Buyer or such Buyer’s designee with DTC representing such number of Common Shares that would have been so delivered if the Company timely complied with its obligations hereunder and pay cash to such Buyer in an amount equal to the excess (if any) of the Buy-In Price over the product of (A) such number of shares of Conversion Shares or Warrant Shares (as the case may be) that the Company was required to deliver to such Buyer by the Required Delivery Date multiplied by (B) the lowest Closing Sale Price (as defined in the Warrants) of the Common Shares on any Trading Day during the period commencing on the date of the delivery by such Buyer to the Company of the applicable Conversion Shares or Warrant Shares (as the case may be) and ending on the date of such delivery and payment under this clause (ii). Nothing shall limit such Buyer’s right to pursue any other remedies available to it hereunder, at law or in equity, including, without limitation, a decree of specific performance and/or injunctive relief with respect to the Company’s failure to timely deliver certificates representing Common Shares (or to electronically deliver such Common Shares) as required pursuant to the terms hereof. Notwithstanding anything herein to the contrary, with respect to any given Notice Failure and/or Delivery Failure, this Section 5(e) shall not apply to the applicable Buyer the extent the Company has already paid such amounts in full to such Buyer with respect to such Notice Failure and/or Delivery Failure, as applicable, pursuant to the analogous sections of the Certificate of Designations or Warrant, as applicable, with respect to the Preferred Shares or Common Warrants, as applicable, then held by such Buyer.

(f)快速合规。 当任何普通认股权证尚未到期时，公司应保留一名参与FAST的转让代理人。

6. 公司出售义务的条件。

本公司 在交易结束时向每个买方发行和出售初始优先股、优先认股权证和普通认股权证的义务， 在交易结束日期或之前，须满足下列各项条件，前提是这些条件适用于公司的 本公司可随时自行决定，向每位买方发出事先书面通知，以放弃该等权利。

（a） 该买方应签署其作为一方的每一份其他交易文件，并将其交付给公司。

（b） 该买方和其他各买方应已向公司交付购买初始优先股、优先认股权证和普通认股权证的购买价格（如果是任何买方，则减去 根据第4（g）条扣留的金额）， 根据资金流量函通过电汇立即可用资金在交易结束时购买。

(c)买方的陈述和 保证自作出之日起和截止日期起在所有重要方面都应真实和正确，如同 最初是在当时作出的（除特定日期的陈述和保证外，自该特定日期起，这些陈述和保证应为真实和正确 ），且该买方应履行，在所有重大方面满足并遵守本协议要求该 买方在截止日期或之前履行、满足或遵守的契约、协议 和条件。

7. 每个买方购买义务的条件。

每个买方 在交易完成时购买其初始优先股、优先认股权证和普通认股权证的义务， 在交易完成日期或之前满足以下条件，条件是这些条件仅为每个买方的利益 ，且买方可随时自行酌情通过向公司提供事先书面通知予以放弃：

（a） 公司应已正式签署并向买方交付其作为一方的每份交易文件，且 公司应已正式签署并向买方交付（i）买方清单第（3）栏中 买方名称对面所列的优先股总数，（ii）优先认股权证，最初收购的认股权证优先股总数为买方附表第（4）栏相对买方名称所列，及（iii）普通认股权证 ，以初始收购最多为买方附表第（5）栏 中相对买方名称所列的认股权证普通股总数，在每种情况下，根据本协议由买方在成交时购买。

（b） 该买方应已收到公司的美国律师和公司的英属维尔京群岛律师的意见， 日期为截止日期，并采用买方可接受的形式。

（c） 公司应向买方交付一份不可撤销的转让代理人指示的副本，该指示应交付给公司的转让代理人并由其书面确认。

（d） 公司应在截止日期后十（10）天内向买方提交一份证明公司在该 实体成立管辖区成立和良好信誉的证书，该证书由该成立管辖区的国务大臣（或类似办事处）签发。

（e） 公司应在截止日期后十（10）天内向买方提交证明公司作为外国公司的资格 和良好信誉的证书，该证书由公司开展业务的每个司法管辖区的国务大臣（或类似的办公室）颁发 并被要求具备该资格。

（f） 公司应在截止日期后十（10）天内向买方提交经英属维尔京 群岛国务大臣认证的公司章程的认证副本。

（g） 公司应向买方提交一份证书，该证书采用买方可接受的形式，由 公司秘书签署，日期为截止日期，证明（i）公司 董事会以买方可合理接受的形式通过的符合第3（b）条的决议，（ii）本公司的组织章程细则及（iii）本公司的组织章程大纲，各自在交易结束时有效。

（h） 公司的每一项陈述和保证，自作出之日和截止之日起均应真实无误 ，犹如最初在当时作出一样（在特定日期时声明和保证除外，在该特定日期时应是真实和正确的）且公司应在所有方面履行、满足和遵守契约， 公司在截止日期或之前必须履行、满足或遵守的协议和条件。该买方 应已收到一份由公司首席执行官正式签署的、日期为截止日期的证书，该证书具有上述效力 以及该买方可能合理要求的其他事项，其格式应为买方可接受。

（i） 公司应已向买方交付一份公司转让代理人的信函，该信函证明在紧接交割前的交割日已发行的普通股数量。

（j） 普通股（A）应指定报价或上市（如适用）在主要市场上进行交易，且（B）截至收盘日，美国证券交易委员会或主要市场未 暂停主要市场的交易，且美国证券交易委员会或主要市场在收盘日也未受到暂停威胁，（I）SEC或主要市场以书面形式 或（II）低于主要市场的最低维护要求。

（k） 公司应已获得出售证券所需的所有政府、监管机构或第三方同意和批准（如有），包括但不限于主要市场（如有）所要求的同意和批准。

(L) 任何具有司法管辖权的法院或政府实体不得颁布、订立、公布或认可任何法规、规则、法规、行政命令、法令、裁决或禁令，以禁止完成交易文件所预期的任何交易 。

(M) 自本协议签署之日起，不得发生任何事件或事件系列合理地造成或导致重大不利影响。

(N) 本公司应已取得主要市场的批准，以上市或指定(视乎情况而定)换股股份及认股权证普通股上市或指定上市。

(O) 该买方应已收到由本公司行政总裁正式签署的以本公司信笺抬头的函件，列明各买方的电汇金额及本公司的电汇指示(“资金流向函件”)。

(P) 本公司及其附属公司应已按买方或其律师的合理要求，向买方交付与本协议拟进行的交易有关的其他文件、文书或证书。

8. 终止。

如果买方在本协议签订之日起五(5)天内未完成交易，则该买方有权在该日期交易结束后的任何时间终止其在本协议项下的义务，而不对任何其他方承担责任；但是，(I)如果由于买方违反本协议而导致本协议预期的交易未能在该日期前完成，则该买方不能根据本第8条享有终止本协议的权利，并且(Ii)放弃出售和购买优先股、优先认股权证和普通认股权证应仅适用于提供此类书面通知的买方，此外，任何此类终止 均不影响本协议项下本公司向买方偿还上文第4(G)节所述费用的任何义务。第8条中包含的任何内容均不得被视为免除任何一方违反本协议或其他交易文件的条款和条款的任何责任，或损害任何一方强制任何其他方具体履行其在本协议或其他交易文件下的义务的权利。

9. 其他。

(A)适用法律；管辖权；陪审团审判。有关本协议的解释、有效性、执行和解释的所有问题应由纽约州的国内法律管辖，不适用于任何法律选择或法律冲突的规定或规则(无论是纽约州还是任何其他司法管辖区)，这些条款或规则将导致适用纽约州以外的任何 司法管辖区的法律。公司在此不可撤销地接受位于曼哈顿区纽约市的州法院和联邦法院的专属管辖权，以裁决本协议项下或与本协议或任何其他交易文件相关的任何争议，或根据本协议或因此而拟进行的任何交易，并且 在此不可撤销地放弃、并同意不在任何诉讼、诉讼或程序中主张其本人不受任何此类法院的管辖权管辖、该等诉讼、诉讼或程序是在不方便的法院提起或 该诉讼、诉讼或程序的地点不合适。每一方特此不可撤销地放弃以面交方式送达法律程序文件，并同意在任何此类诉讼、诉讼或法律程序中送达法律程序文件，方法是将其副本邮寄至根据本协议向其送达该等通知的地址，并同意此类送达应构成充分有效的法律程序文件及其通知的送达。 公司现指定附表9(A)所列人员为其在纽约的法律程序文件送达代理人。此处包含的任何内容均不得视为以任何方式限制以法律允许的任何方式送达过程的任何权利。本协议中包含的任何内容均不得被视为或阻止任何买方在任何其他司法管辖区对本公司提起诉讼或采取其他法律行动，以追讨本公司对该买方的义务，或执行对该买方有利的判决或其他法院裁决。每一方在此不可撤销地放弃其可能拥有的任何权利，并同意不要求对本协议、任何其他交易文件或本协议、任何其他交易文件或本协议、任何其他交易文件或本协议、任何其他交易文件或由此预期的任何交易引起的任何争议进行陪审团审判。选择纽约州的法律作为本协定的管辖法律是一种有效的法律选择，将在英属维尔京群岛有管辖权的法院提起的任何诉讼中得到承认并生效，但下列法律除外：(1)该法院认为具有程序性的法律，(2)税收或刑法，或(3)其适用与公共政策不一致的法律，因为该术语是根据英属维尔京群岛的法律解释的。选择纽约州的法律作为本协议的管辖法律将得到印度主管法院的认可，但须遵守印度的相关民事诉讼程序要求。根据英属维尔京群岛、印度或纽约州的法律，公司或其各自的任何财产、资产或收入不享有任何豁免权，不享有任何法律诉讼、诉讼或法律程序的豁免权，不享有在任何英属维尔京群岛和印度、纽约或美国联邦法院的管辖范围内给予任何法律诉讼、诉讼或法律程序的济助的豁免权，不享有在判决之时或判决之前送达法律程序文件、扣押财产或协助执行判决的豁免权。或其他法律程序或程序，以便在任何此类法院就其在本协议项下或引起的或与本协议有关的义务、责任或任何其他事项给予任何救济或执行判决；此外，在公司或其任何财产、资产或收入可能已经或此后可能有权在任何此类法院享有任何此类豁免权的情况下，公司特此在法律允许的范围内放弃此类权利，并同意按照本协议和其他交易文件的规定进行救济和强制执行。

(B)副本。 本协议可签署两份或两份以上相同的副本，所有副本应被视为同一份协议，并在双方签署副本并交付给另一方后生效。如果任何签名 是通过传真或包含已执行签名 页的可移植文档格式(.pdf)文件的电子邮件交付的，则该签名页应为签字方(或其代表签署此类签名) 产生有效且具有约束力的义务，其效力和效果与该签名页为其正本一样。

(c)标题；性别。 本协议的标题仅为方便参考，不构成本协议的一部分，也不影响本协议的解释。 除非上下文另有明确说明，否则此处的每个代词应被视为包括阳性、阴性、中性、单数 及其复数形式。术语“包括”、“包括”、“包括”和类似含义的词语应广泛解释，就好像后面跟着“不限于”。术语“在此”、“在此”、“在此”和类似含义的词语指的是整个协议，而不仅仅是其中的条款。

(d) Severability; Maximum Payment Amounts. If any provision of this Agreement is prohibited by law or otherwise determined to be invalid or unenforceable by a court of competent jurisdiction, the provision that would otherwise be prohibited, invalid or unenforceable shall be deemed amended to apply to the broadest extent that it would be valid and enforceable, and the invalidity or unenforceability of such provision shall not affect the validity of the remaining provisions of this Agreement so long as this Agreement as so modified continues to express, without material change, the original intentions of the parties as to the subject matter hereof and the prohibited nature, invalidity or unenforceability of the provision(s) in question does not substantially impair the respective expectations or reciprocal obligations of the parties or the practical realization of the benefits that would otherwise be conferred upon the parties. The parties will endeavor in good faith negotiations to replace the prohibited, invalid or unenforceable provision(s) with a valid provision(s), the effect of which comes as close as possible to that of the prohibited, invalid or unenforceable provision(s). Notwithstanding anything to the contrary contained in this Agreement or any other Transaction Document (and without implication that the following is required or applicable), it is the intention of the parties that in no event shall amounts and value paid by the Company and/or any of its Subsidiaries (as the case may be), or payable to or received by any of the Buyers, under the Transaction Documents (including without limitation, any amounts that would be characterized as “interest” under applicable law) exceed amounts permitted under any applicable law. Accordingly, if any obligation to pay, payment made to any Buyer, or collection by any Buyer pursuant the Transaction Documents is finally judicially determined to be contrary to any such applicable law, such obligation to pay, payment or collection shall be deemed to have been made by mutual mistake of such Buyer, the Company and its Subsidiaries and such amount shall be deemed to have been adjusted with retroactive effect to the maximum amount or rate of interest, as the case may be, as would not be so prohibited by the applicable law. Such adjustment shall be effected, to the extent necessary, by reducing or refunding, at the option of such Buyer, the amount of interest or any other amounts which would constitute unlawful amounts required to be paid or actually paid to such Buyer under the Transaction Documents. For greater certainty, to the extent that any interest, charges, fees, expenses or other amounts required to be paid to or received by such Buyer under any of the Transaction Documents or related thereto are held to be within the meaning of “interest” or another applicable term to otherwise be violative of applicable law, such amounts shall be pro-rated over the period of time to which they relate.

(E)整个协议； 修正案。本协议、本协议及其附件所附的其他交易文件和附表及附件，以及本协议和本协议中提及的文书，取代买方、本公司、其子公司、其关联公司和代表其行事的人之间之前达成的所有其他口头或书面协议，包括但不限于任何买方与 就普通股或证券进行的任何交易，以及本协议和本协议中包含的其他事项，以及其他 交易文件。本协议所附的附表和证物以及本协议和本协议中引用的文书 仅包含双方对本协议和协议中所涉事项的完整理解；但是， 本协议或任何其他交易文件中包含的任何内容不应(或应被视为)(I)对任何买方在本协议日期之前与公司或其任何子公司就其先前在本公司进行的任何投资订立的任何 协议或从该公司或其任何子公司收到的任何文书 产生任何影响，或(Ii)放弃、更改、修改或 在任何方面修订本公司或其任何子公司的任何义务、或任何买方或任何其他人的任何权利或利益。本公司及/或其任何附属公司与任何买方在本协议日期前订立的任何协议，或本公司及/或其任何附属公司于本协议日期前从本公司及/或其任何附属公司收到的任何文书，而所有 该等协议及文书将继续完全有效。除本协议或本协议另有规定外，本公司或任何买方均不就该等事宜作出任何陈述、保证、契诺或承诺。 No provision of this Agreement may be amended other than by an instrument in writing signed by the Company and the Required Holders (as defined below), and any amendment to any provision of this Agreement made in conformity with the provisions of this Section 9(e) shall be binding on all Buyers and holders of Securities, as applicable; provided that no such amendment shall be effective to the extent that it (A) applies to less than all of the holders of the Securities then outstanding or (B) imposes any obligation or liability on any Buyer without such Buyer’s prior written consent (which may be granted or withheld in such Buyer’s sole discretion). No waiver shall be effective unless it is in writing and signed by an authorized representative of the waiving party, provided that the Required Holders may waive any provision of this Agreement, and any waiver of any provision of this Agreement made in conformity with the provisions of this Section 9(e) shall be binding on all Buyers and holders of Securities, as applicable, provided that no such waiver shall be effective to the extent that it (1) applies to less than all of the holders of the Securities then outstanding (unless a party gives a waiver as to itself only) or (2) imposes any obligation or liability on any Buyer without such Buyer’s prior written consent (which may be granted or withheld in such Buyer’s sole discretion). No consideration (other than reimbursement of legal fees) shall be offered or paid to any Person to amend or consent to a waiver or modification of any provision of any of the Transaction Documents unless the same consideration also is offered to all of the parties to the Transaction Documents, all holders of the Preferred Shares, all holders of Preferred Warrants or all holders of the Common Warrants (as the case may be). The Company has not, directly or indirectly, made any agreements with any Buyers relating to the terms or conditions of the transactions contemplated by the Transaction Documents except as set forth in the Transaction Documents. Without limiting the foregoing, the Company confirms that, except as set forth in this Agreement, no Buyer has made any commitment or promise or has any other obligation to provide any financing to the Company, any Subsidiary or otherwise. As a material inducement for each Buyer to enter into this Agreement, the Company expressly acknowledges and agrees that (x) no due diligence or other investigation or inquiry conducted by a Buyer, any of its advisors or any of its representatives shall affect such Buyer’s right to rely on, or shall modify or qualify in any manner or be an exception to any of, the Company’s representations and warranties contained in this Agreement or any other Transaction Document and (y) unless a provision of this Agreement or any other Transaction Document is expressly preceded by the phrase “except as disclosed in the SEC Documents,” nothing contained in any of the SEC Documents shall affect such Buyer’s right to rely on, or shall modify or qualify in any manner or be an exception to any of, the Company’s representations and warranties contained in this Agreement or any other Transaction Document.

(F)通知。根据本协议条款要求或允许发出的任何通知、同意、豁免或其他通信必须以书面形式发出，并且 将被视为已送达：(I)在收到时，当面送达；(Ii)在收到时，通过电子邮件发送(前提是该已发送的电子邮件由发送方存档(无论是电子邮件还是其他形式)，并且发送方没有从收件人的电子邮件服务器收到无法将该电子邮件递送给该收件人的自动生成的消息)； 或(Iii)存款后一(1)个工作日提供隔夜快递服务，并在每种情况下指定正确的 收件人。此类通信的邮寄地址和电子邮件地址应为：

如果是对公司：

Lytus Technologies Holdings PTV。珠穆朗玛峰A翼601号有限公司
安得赫里Mahakali石窟路(东)

印度孟买400 093
电话：(284)494-2810
注意：首席执行官
电子邮件：darmesh@lytuscorp.com

将副本(仅供参考)发送至：

普华永道现金管理有限公司
7时代广场
纽约，NY 10036
电话：(212)326-0820
注意：M.Ali潘杰瓦尼，Esq.
电子邮件：ali.panjwani@pryorcashman.com

如果发送给传输代理：

VStock Transfer，LLC
老佛爷广场18号
伍德米尔，纽约11598
电话：(212)828-8436
注意：劳伦斯·莱特
电子邮件：lawrence@vstock fer.com

如果发给买方，其邮寄地址和电子邮件地址载于买方时间表，并将复印件送交买方时间表上规定的买方代表，

将副本(仅供参考)发送至：

Kelley Drye&Warren LLP
3世贸中心
格林威治街175号
纽约，NY 10007
电话：(212)808-7540
注意：迈克尔·A·阿德尔斯坦，Esq.
电子邮件：madelstein@kelley drye.com

或其他邮寄地址和/或电子邮件地址，和/或接收方在变更生效前五(5)天向对方发出书面通知所指定的其他人的注意，但仅应向Kelley Drye&Warren LLP提供发送给牵头买方的通知的副本。根据上文第(I)、(Ii)或(Iii)款的规定，收件人对上述通知、同意、豁免或其他通信作出的书面确认(A)、发送者包含时间、日期和收件人的电子邮件以机械或电子方式生成的(B)或(C) 隔夜快递服务提供的(C) 收据，应分别作为当面送达、电子邮件收据或通宵快递服务收据的可推翻证据。

(G)继承人和受让人。本协议对双方及其各自的继承人和受让人(包括任何优先股、优先认股权证和普通权证的任何购买者)的利益具有约束力并符合其利益。未经所需持有人的事先书面同意，公司不得转让本协议或本协议项下的任何权利或义务，包括但不限于以基础交易(如优先认股权证中的定义)的方式转让(除非公司遵守优先认股权证中规定的基础交易的适用条款)，基本交易(如普通权证所界定)(除非本公司遵守普通权证所载有关基本交易的适用规定)或基本交易(如指定证书所界定的)(除非本公司遵守有关指定证书所载有关基本交易的适用规定)。买方可在未经公司同意的情况下转让其在本协议项下的部分或全部与其任何证券的转让相关的权利，在这种情况下，该受让人应被视为本协议项下的买方。

(h)没有第三方受益人。 本协议旨在为本协议各方及其各自的允许继承人和受让人的利益而订立，不为 任何其他人的利益，本协议的任何条款不得由第9（k）条所述的受偿人以外的任何其他人执行。

(I)生存。 陈述、保证、协议和契诺在关闭后继续有效。每一买方仅对其在本合同项下的陈述、保证、协议和契诺负责。

(j)进一步的ASIAN。 每一方均应实施并执行或促使实施并执行所有此类进一步行动和事项，并应签署和交付所有其他协议、证书、文书和文件，如任何其他一方可能合理要求，以实现本协议的意图 和实现本协议的目的，并完成本协议预期的交易。

(K)赔偿。 作为每个买方签署和交付交易文件并获得交易文件项下证券的代价，除了本公司在交易文件下的所有其他义务外，公司应保护、保护、赔偿任何证券的每一位买家和每位持有人及其所有股东、合伙人、成员、高级管理人员、董事、员工和直接或间接投资者以及任何前述人士的代理人或其他代表(包括但不限于与本协议预期进行的交易有关的人员)(统称为， “赔偿对象“)因任何和所有诉讼、诉讼理由、诉讼、索赔、损失、费用、罚款、费用、法律责任和损害赔偿以及与此相关的费用(不论任何此类赔偿对象是否为本合同项下寻求赔偿的诉讼的 一方)，以及因公司或任何子公司在任何交易文件中作出的任何失实陈述或违反任何陈述或保证而招致的合理律师费和支出 (”赔偿责任“) 。(Ii)违反任何交易文件所载本公司或任何附属公司的任何契诺、协议或义务，或(Iii)第三方对该受偿人提出或提出的任何诉因、诉讼、法律程序或索赔(为此包括代表本公司或任何附属公司提起的衍生诉讼)，或涉及因下列原因而引起或导致的 受偿人：(A)任何交易文件的签立、交付、履行或强制执行，(B)任何直接或间接资助或全部或部分融资的交易，(C)该买方根据第4(I)条作出的任何适当披露，或(D)该买方或证券持有人根据交易文件拟进行的交易而作为本公司的投资者或作为本协议的一方(包括但不限于，作为强制令或其他衡平法救济的任何 诉讼或诉讼中的利害关系方)的地位。在本公司的上述承诺可能因任何原因而无法强制执行的范围内，本公司应尽最大努力支付和履行适用法律允许的每项 赔偿责任。除本文另有规定外，与第9(K)条规定的权利和义务有关的机制和程序应与《注册权协议》第6条规定的相同。

(L)施工。 本协议中使用的语言将被视为双方选择的表达相互意图的语言，不对任何一方适用 严格的施工规则。任何特定的陈述或保证都不应限制更一般的陈述或保证的一般性或适用性。凡提及本协议中与普通股有关的股价、普通股和任何其他 数字时，应根据本协议日期后发生的与普通股有关的任何股份拆分、股份分红、股份合并、资本重组或其他类似交易自动进行调整。尽管本协议中有任何相反规定，为免生疑问，本协议中包含的任何内容均不构成针对借入本公司证券的 安排的任何陈述或担保或禁止采取任何行动，以便于该买方 (或其经纪人或其他财务代表)在未来进行卖空或类似交易。

(M)补救措施。每名买方以及在买方转让其在本协议项下的权利和义务的情况下，每名证券持有人应享有交易文件中规定的所有权利和补救措施，以及这些持有人在任何时候根据任何其他协议或合同获得的所有权利和补救措施，以及这些持有人根据任何法律享有的所有权利。根据本协议任何条款 拥有任何权利的任何人应有权具体执行此类权利(无需张贴保证书或其他担保)、因违反本协议任何条款而追回损害赔偿 以及行使法律授予的所有其他权利。此外，本公司认识到，如果本公司或其任何附属公司未能履行、遵守或履行其或该附属公司在交易文件项下的任何或全部义务(视情况而定)，任何法律上的补救措施都不足以给予买方足够的救济。因此，公司 同意，在任何此类案件中，买方应有权从任何有管辖权的法院获得具体履约和/或临时、初步和永久禁令或 其他衡平法救济，而无需证明实际损害和 无需张贴保证金或其他担保。本协议和其他交易文件中提供的补救措施应是累积的 ，并且除了法律上或衡平法上根据本协议和其他交易文件提供的所有其他补救措施(包括特定履行法令和/或其他强制令救济)。

(n)退出权。 尽管有任何相反的规定，（且不限制交易文件的任何类似条款），当 任何买方行使交易文件项下的权利、选择、要求或选择权，且公司或任何子公司未在交易文件规定的期限内及时履行其相关义务时，该买方可撤销或撤回，在不影响其未来行动和权利的情况下， 不时在书面通知本公司或该附属公司（视情况而定）后，自行酌情决定 不时在不影响本公司或该附属公司的书面通知、要求或选择 。

(O)预留款项； 货币。如果本公司根据本协议或根据任何其他交易向任何买方支付一笔或多笔款项 文件或任何买方根据本协议或本协议执行或行使其权利，且该等付款或该等强制执行或行使的收益或其任何部分随后被宣布无效、被宣布为欺诈性或优惠性、被公司追回、由公司、受托人、接管人或任何其他人根据任何法律(包括但不限于任何破产法、外国、州或联邦法律)收回、返还或以其他方式恢复。除非另有明确说明，本协议和其他交易文件中提及的所有美元金额均以美元为单位，本协议和其他交易文件中提及的所有金额均以美元为单位。所有以其他货币计价的金额(如果有)应按照计算日期的汇率折算为等值美元金额 。“汇率”是指根据本协议将兑换成美元的任何金额的货币，是指在相关计算日期在《华尔街日报》上公布的美元汇率。

(p)判断货币

(I) 如果为了在任何司法管辖区的任何法院获得或执行与本协议或任何其他交易文件有关的对本公司不利的判决，有必要将本协议项下到期的美元金额兑换成任何其他货币(在本第9(P)节中称为“判断货币”)， 应按紧接前一个交易日的汇率进行兑换：

(1) 在纽约法院或任何其他司法管辖区法院进行的任何法律程序中，实际支付应付款项的日期 在该日期作出的上述转换：或

(2) 就任何其他司法管辖区法院的任何法律程序而言，外地法院裁定的日期(依据第9(P)(I)(2)条作出上述转换的日期，以下称为“判决转换日期”)。

(Ii)如果在上文第9(P)(I)(2)节所述的任何司法管辖区法院的任何诉讼中，判决转换日期与实际支付到期金额的日期之间的汇率发生变化，适用一方应支付必要的调整金额，以确保以判决货币支付的金额在按付款日期的汇率转换时，将以判决或司法命令中规定的判决货币金额按判决转换日期的汇率产生可购买的美元金额 。

(Iii)本条款项下本公司应付的任何 金额将作为单独债务到期，且不受就本协议或任何其他交易文件项下或就本协议或就本协议或任何其他交易文件而应支付的任何其他金额而获得的判决的影响。

(Q)买方义务和权利的独立性 。每个买方在交易文件下的义务是多个的，而不是与任何其他买方的义务连带的，任何买方都不以任何方式对履行任何交易文件下的任何其他买方的义务负责。此处或任何其他交易文件中包含的任何内容，以及任何买方根据本协议或该协议采取的任何行动，均不应被视为构成买方，本公司承认买方并未因此构成合伙企业、协会、合资企业或任何其他类型的集团或实体，或建立买方以任何方式一致或作为集团或实体的推定，公司不应就交易文件或任何事项预期的此类义务或交易提出任何此类索赔。本公司承认，买方并非一致或作为一个团体行事，本公司不应就该等义务或交易文件所预期的交易提出任何此类索赔。每个买方根据交易文件购买证券的决定是由该等买方独立于任何其他买方作出的。每一买方均承认，没有其他买方就该买方在本协议项下的投资 担任该买方的代理，也不会有任何其他买方在监督该买方在证券方面的投资或执行其在交易文件下的权利方面担任该买方的代理。本公司及每名买方确认 每名买方已独立参与本公司及其附属公司在征询本公司本身的法律顾问及顾问的意见下就拟进行的交易进行的谈判。每一买方均有权独立保护和执行其权利，包括但不限于本协议或任何其他交易文件所产生的权利，任何其他买方没有必要为此目的而作为额外的一方加入任何诉讼程序。使用单一协议完成本协议拟进行的证券买卖完全由本公司控制，而不是任何买方的行动或决定 ，这完全是为了方便本公司及其附属公司，而不是因为任何买方要求或要求这样做。双方明确理解并同意，本协议和其他交易文件中包含的各项规定仅在公司、各子公司和买方之间，而不是在公司、其子公司和买方之间，而不是在买方之间和买方之间。

(R)税项。

(I)在不限制本协议任何其他条款的情况下，公司在本协议项下的任何和所有付款均应免税和清偿，且不得扣除任何和所有现有或未来的税项、征费、附加费、附加费、扣除额、收费或扣缴，以及与此有关的所有负债(统称为“税项”)，除非公司根据任何适用法律被要求扣缴或扣减任何税项金额 。如果公司应就本合同项下向任何买方支付的任何款项扣除任何税款或 ，(I)应支付的金额应增加应支付金额 必须增加的金额(“全额”)，以确保在进行所有必要的 扣减(包括适用于全额的扣减)后，该买方将收到的金额等于如果没有进行此类扣减的情况下将收到的金额。(Ii)本公司应作出该等扣减，及(Iii)本公司应在规定时间内向有关政府当局支付扣缴或扣减的全部款项。应本公司的要求，该买方应向本公司提供法律规定的填妥并签署的表格或证书，作为 申请豁免或减免根据本协议支付的任何税款的依据。

(Ii) 此外，本公司同意根据适用法律向相关政府当局支付因根据本协议进行的任何付款或与本协议的执行、交付、登记或履行有关的或与本协议有关的任何当前或 未来的印花税或单据税或任何其他消费税或财产税、收费或类似费用(“其他 税”)。

(Iii)公司应在支付税金和其他税金或每个买方合理接受的其他付款证据后，立即向每一买方交付关于本协议项下应付的任何税项和其他税项的正式收据(如果有)。

(Iv) 如果公司未按照第9(R)条的规定支付任何金额，公司应在提出书面要求后十(Br)(10)个日历日内赔偿每位买方因此而向有关政府当局或其他有关政府当局支付的全部税款或其他税款，以及任何相关利息或罚款。

(V) 本第9(R)条规定的公司义务在本协议终止和支付本协议项下应支付的所有金额后继续有效。

[签名页面如下]

兹证明，自上文首次写明的日期起，各买方和本公司已使各自在本协议上的签字页正式签署。

兹证明，自上文首次写明的日期起，各买方和本公司已使各自在本协议上的签字页正式签署。

买家明细表