附件10.4
注册 权利协议
本《注册权协议》(以下简称《协议》)于2024年4月1日(“生效日期”)由佛罗里达州的格罗姆社会企业公司(下称“本公司”)和圣基茨和尼维斯的Generating Alpha有限公司(下称“买方”)签订。在本协议中,公司和买方可单独称为“一方”,统称为“双方”。
鉴于双方是该特定证券购买协议(“购买协议”)的 当事方,因此,作为参与购买协议所述交易的诱因,公司同意登记购买协议所购买的证券所对应的普通股股份;以及
此外,双方希望 签署本协议,以授予买方在本协议中规定的某些注册权;
因此,现在,考虑到以下所列相互契约和协议,并出于其他良好和有价值的对价,在此确认已收到和充分 ,双方同意如下:
第1款. 定义。此处使用的大写术语和未另行定义的术语应具有采购协议中给出的含义 。在本协议中,下列术语具有以下含义:
(a) | “建议”应具有第6(c)条所述的含义。 |
(b) | “生效日期”是指,就本协议要求提交的初始注册说明书而言,不迟于第六十(60)日这是然而,如果美国证券交易委员会通知本公司将不再审核或不再接受进一步审核和意见,则该注册声明的生效日期应为通知本公司之日之后的第五(5)个交易日,如果该日期早于上述其他要求的日期,则该注册声明的生效日期应为下一个交易日;此外,如果该生效日期 落在非交易日,则该生效日期应为下一个交易日。 |
(c) | “有效期”应具有第2款(A)项中规定的含义。 |
(d) | “事件”应具有第2条(e)款所述的含义。 |
(e) | “事件日期”应具有第2(e)节所述的含义。 |
(f) | “提交日期”是指,就本协议所要求的初始注册声明而言, 不迟于第三十(30)日的日期这是)自本合同之日起的日历日。 |
(g) | “受补偿方”应具有第5(C)节中给出的含义。 |
(h) | “赔偿方”应具有第5(C)节中给出的含义。 |
(i) | “初始注册表”是指根据本协议提交的S-1表格 中的初始注册表。 |
(j) | “损失”应具有第5(A)节规定的含义。 |
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(k) | “招股说明书”是指收录于注册说明书(包括但不限于招股说明书,该招股说明书包括以前根据证券法美国证券交易委员会根据证券法颁布的第430A条提交的招股说明书中遗漏的任何信息)、经任何招股说明书补编修订或补充的招股说明书、招股说明书所涵盖的任何部分的发售条款、招股说明书的所有其他修订和补充,包括生效后修订和补充的招股说明书,以及以参考方式并入或被视为以参考方式并入该招股章程的所有材料。 |
(l) | “可登记证券”指,截至任何决定日期,(A)当时已发行并可于票据转换时发行的所有票据股份(假设票据于该日期全数转换而不受任何转换 限制),(B)当时已发行及可在行使认股权证时发行的所有认股权证股份(假设在该日期认股权证已全部行使而不受任何行使限制),(C)当时已发行及可发行的所有普通股股份 与票据及认股权证中的任何反摊薄或任何补救条款有关(在每种情况下均不实施其中对转换或行使(视属何情况而定)的任何限制),及(D)任何已发行或随后可发行的普通股股份,因任何股份拆分、股息或其他分配、资本重组或与普通股有关的类似事件;然而,只要(A)美国证券交易委员会根据证券法宣布该等须登记证券的销售登记声明有效,且该等须登记证券已由买方根据该有效登记声明处置,(B)该等须登记证券已由买方根据该有效登记声明处置,(B)该等须登记证券先前已根据第144条在 中出售,则任何该等须登记证券将不再是应登记证券(且本公司无须维持任何登记声明的效力或提交另一份登记声明),或(C)该等证券符合资格转售而不受成交量或销售方式限制,亦无 书面意见书所载根据规则第144条的现行公开资料,而买方(假设 该等证券及任何可于行使、转换或交换时发行或作为股息发行的证券,或该等证券的发行或可发行股息在任何时间均非由本公司的任何联属公司持有),由本公司根据向本公司提供的法律顾问意见而合理厘定。 |
(m) | “注册说明书”是指根据第2(A)节要求提交的任何注册说明书和根据第2条或第3(C)款预期的任何额外注册说明书,包括(在每种情况下)招股说明书、对任何该等注册说明书或招股说明书的修订和补充(包括生效前和生效后的修订)、其所有证物 ,以及以引用方式并入或被视为以引用方式并入任何此类注册说明书的所有材料。 |
(n) | “第415条规则”是指美国证券交易委员会根据证券法颁布的第415条规则,该规则 可以不时修改或解释,或者美国证券交易委员会此后通过的与该规则目的和效力基本相同的任何类似规则或条例。 |
(o) | “第424条规则”是指美国证券交易委员会根据证券法颁布的第424条规则,该规则可以不时修改或解释,或者美国证券交易委员会此后通过的与该规则目的和效力基本相同的任何类似的规则或条例。 |
(p) | “出售股东问卷”应具有第3(A)节规定的含义。 |
(q) | “美国证券交易委员会指引”是指(I)美国证券交易委员会工作人员的任何公开的书面或口头指导, 或美国证券交易委员会工作人员的任何评论、要求或要求,以及(Ii)证券法。 |
(r) | “交易日”是指普通股股票在任何交易市场上市交易或报价的任何日子。 |
(s) | “交易市场”是指普通股 在有关日期上市或报价交易的下列任何市场或交易所:纽约证券交易所美国市场、纳斯达克资本市场、纳斯达克全球市场、纳斯达克全球精选市场或纽约证券交易所(或上述任何市场的任何继承者)。 |
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第2款. 注册。
(a) | 不迟于申请日,公司应向美国证券交易委员会提交初始注册说明书 格式的注册说明书草稿,其中应包括所有须注册的证券。在符合本协议条款的前提下,公司应尽其商业上合理的努力,使根据本协议(包括但不限于第3(C)节)提交的注册声明在提交后六十(60)天内根据证券法宣布生效,但无论如何不迟于适用的生效日期,并应尽其商业上合理的 努力使该注册声明根据证券法持续有效,直到 该注册声明(I)所涵盖的所有可注册证券已根据或依照第144条出售。或(Ii)可根据规则144在没有数量或销售方式限制的情况下出售,且不需要本公司遵守规则第144条下的当前公开信息要求 ,该要求由本公司的律师根据致本公司的书面意见书确定,并注明意见书的地址为 ,且买方可接受(“有效期”)。公司应通过电话要求注册声明自下午5:00起生效。东部时间交易日。公司应在公司与美国证券交易委员会电话确认生效的同一交易日,以电子邮件形式立即通知买方注册声明的生效日期,该日期应为该注册声明的生效请求日期。公司应在上午9:30之前按照规则424的要求,在该注册声明生效日期之后的交易日的东部时间,向美国证券交易委员会提交最终招股说明书。未能在一(1)个交易日内将生效通知通知买方或未能如上所述提交最终招股说明书,应被视为第2(E)节规定的事件。 |
(b) | 尽管有第2(a)条中规定的登记义务,但如果SEC通知公司 ,由于第415条的应用,所有可登记证券都不能在一份登记声明中登记为二次发售 ,公司同意立即通知买方,并尽其商业上合理的努力 根据SEC的要求,提交对初始注册声明的修订,涵盖SEC允许注册的可注册证券 的最大数量,采用S—3表格或其他可用于将可注册证券作为 二次发行进行转售的表格,但须遵守第2(e)节的规定;关于以表格S—3或其他适当表格提交,且 受第2(f)节中关于支付违约赔偿金的规定的约束,但在提交此类修订之前, 公司应有义务尽最大努力向SEC主张根据SEC指南对所有可登记证券进行注册 ,包括但不限于遵守和披露解释612.09。 |
(c) | 如果关于登记声明的主管承销商以书面形式通知公司和买方 ,根据其合理和善意的意见,建议纳入初始登记 声明的普通股股票数量,包括所有可登记证券和所有其他拟纳入初始登记的普通股股份 声明超过了在此类发行中可以出售的最大金额或最大股份数量,而不会对 在登记声明中登记的普通股的拟议发行价格、时间、分配方法或成功销售的概率产生不利影响,公司应在该登记中包括(i)第一,公司拟出售的普通股股份;(ii)第二,买方将包括的可登记证券。 |
公司证券 持有人不得在首次登记声明中包括公司证券。
(d) | 尽管本协议有任何其他规定,但必须遵守第2(F)节关于支付违约金的规定。如果 美国证券交易委员会或任何美国证券交易委员会指导对允许在特定注册说明书上注册为二次发行的可注册证券的数量设定了限制 (并且尽管本公司曾尽最大努力向美国证券交易委员会倡导(Br)注册全部或更大部分的可注册证券),除非买方另有书面指示,否则在该注册说明书上注册的可注册证券的数量将减少:(I)首先,通过减少本公司拟出售的普通股的股份;以及(Ii)第二,减少买方纳入的可登记证券 。如果根据第2(E)款进行削减,公司应至少提前五(5)个交易日 向买方发出书面通知,并计算买方的分配额。 如果公司根据上述规定修改初始注册声明,本公司将尽其商业上合理的努力,在委员会或美国证券交易委员会向本公司或一般证券注册人提供的指导允许的情况下,迅速向美国证券交易委员会提交文件。 一份或多份S-3表格或其他表格 的登记声明,可用于登记经修订的初始登记声明上未登记转售的应登记证券。 |
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(e) | If, for any reason within the reasonable control of the Company (i) the Initial Registration Statement is not filed on or prior to the Filing Date, and if the Company files the Initial Registration Statement without providing the Buyer the opportunity to review and comment on the same as required by Section 3(a), the Company shall be deemed to have not satisfied this clause (i); (ii) the Company fails to file with the SEC a request for acceleration of a Registration Statement in accordance with Rule 461 promulgated by the SEC pursuant to the Securities Act, within five (5) Trading Days of the date that the Company is notified (orally or in writing, whichever is earlier) by the SEC that such Registration Statement will not be “reviewed” or will not be subject to further review; (iii) prior to the effective date of a Registration Statement, the Company fails to file a pre-effective amendment and otherwise respond in writing to comments made by the SEC in respect of such Registration Statement within ten (10) calendar days after the receipt of comments by or notice from the SEC that such amendment is required in order for such Registration Statement to be declared effective; (iv) a Registration Statement registering for resale all of the Registrable Securities is not declared effective by the SEC by the Effectiveness Date of the Initial Registration Statement; or (v) after the effective date of a Registration Statement, such Registration Statement ceases for any reason to remain continuously effective as to all Registrable Securities included in such Registration Statement, or the Buyer is otherwise not permitted to utilize the Prospectus therein to resell such Registrable Securities, for more than ten (10) consecutive Trading Days or more than an aggregate of fifteen (15) Trading Days (which need not be consecutive Trading Days) during any 12-month period (any such failure or breach being referred to as an “Event”, and for purposes of clause (i) thirty (30) calendar days after the date on which such Event occurs, and for purpose of clause (ii), the date on which such five (5) Trading Day period is exceeded, and for purpose of clause (iii) the date which such fifteen (15) calendar day period is exceeded and for purpose of clause (v) the date on which such ten (10) or fifteen (15) Trading Days period, as applicable, is exceeded being referred to as “Event Date”), then, in addition to any other rights the Buyer may have hereunder or under applicable law, on each such Event Date and on each monthly anniversary of each such Event Date thereafter (if the applicable Event shall not have been cured by such date) or any pro rata portion thereof, until the applicable Event is cured or sixty (60) calendar days after the applicable Event Date, whichever occurs first, the Company shall pay to the Buyer an amount in cash, as partial liquidated damages and not as a penalty, equal to the product of two and a half percent (2.5%) multiplied by the Purchase Price pursuant to the Purchase Agreement; provided, that the maximum amount payable thereunder shall not exceed 10% of such Purchase Price. If the Company fails to pay any partial liquidated damages pursuant to this Section 2(f) in full within seven (7) days after the date payable, the Company will pay interest thereon at a rate of fourteen percent (14%) per annum (or such lesser maximum amount that is permitted to be paid by applicable law) to the Buyer, accruing daily from the date such partial liquidated damages are due until such amounts, plus all such interest thereon, are paid in full. If the Company fails to pay the above liquidated damages and interest to the Buyer, such amounts will be added to the principal of the Note that the Buyer has with the Company. |
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(f) | 尽管本协议中有任何相反的规定,但根据SEC的意见,在任何情况下, 未经买方事先书面同意,公司不得指定买方或买方的任何关联公司为承销商。 |
第3款. 注册程序。关于本公司在本协议项下的登记义务,本公司应 以下义务:
(a) | Not less than three (3) Trading Days prior to the filing of each Registration Statement and not less than one (1) Trading Day prior to the filing of any related Prospectus or any amendment or supplement thereto (including any document that would be incorporated or deemed to be incorporated therein by reference), the Company shall (i) furnish to the Buyer copies of all such documents proposed to be filed, which documents (other than those incorporated or deemed to be incorporated by reference) will be subject to the review of the Buyer, and (ii) cause its officers and directors, counsel and independent registered public accountants to respond to such inquiries as shall be necessary, in the reasonable opinion of respective counsel to the Buyer, to conduct a reasonable investigation within the meaning of the Securities Act. Notwithstanding the above, the Company shall not be obligated to provide the Buyer advance copies of any universal registration statement registering securities in addition to those required hereunder, or any Prospectus prepared thereto. The Company shall not file a Registration Statement or any such Prospectus or any amendments or supplements thereto to which the Buyer shall reasonably object in good faith, provided, that, the Company is notified of such objection in writing no later than three (3) Trading Days after the Buyer has been so furnished copies of a Registration Statement or one (1) Trading Day after the Buyer has been furnished copies of any related Prospectus or amendments or supplements thereto. |
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(b) | (I)公司应编制并向美国证券交易委员会提交必要的修订,包括对注册说明书及与此相关使用的招股说明书的生效后修订,以使注册说明书在有效期内就适用的须注册证券持续有效,并应编制及向美国证券交易委员会提交此等额外注册 声明以根据证券法登记所有须注册证券以供转售,(Ii)使相关招股说明书 经任何必要的招股说明书补充(受本协议条款规限)修订或补充,以及经如此补充 或经修订后,根据规则424提交,(Iii)在合理可行的情况下,迅速回复从美国证券交易委员会收到的关于登记声明或其任何修订的任何意见,并在合理可行的情况下,尽快向买方提供来自美国证券交易委员会和与美国证券交易委员会有关的所有与登记声明有关的信件的真实和完整的副本(前提是,公司应删除其中包含的构成有关公司或其任何子公司的重大非公开信息的任何信息), 和(Iv)在适用期间内(在符合本协议的 条款的前提下)在适用期间内处置登记声明所涵盖的所有应注册证券方面,遵守证券法和交易法的适用条款,符合经修订的登记声明或经如此补充的招股说明书中规定的买方预期的处置方法。 |
(c) | 如果在有效期内,可登记证券的数量在任何时候超过当时登记在登记说明书中的普通股数量的100%,则本公司应在合理可行的情况下尽快提交一份额外的登记说明书, 但无论如何,在适用的提交日期之前,额外的登记说明书涵盖买方转售的不少于该等应登记证券数量的 。 |
(d) | 公司应尽快通知买方(根据本协议第(Br)(Iii)至(Vi)条的规定,通知应附有暂停使用招股说明书的指示,直至作出必要的更改为止)(就以下第(I)(A)项而言,不少于提交申请前一(1)个交易日)和 (如果任何此等人士提出要求)在不迟于下一(1)个交易日确认书面通知:(I)(A)当招股说明书或任何招股说明书补编或对注册说明书的生效后修正案建议提交时,(B)当美国证券交易委员会通知 公司是否将对该注册说明书进行“审查”时,以及每当美国证券交易委员会对该注册说明书提出书面意见时,以及(C)对于注册声明或任何生效后的修正案, (Ii)美国证券交易委员会或任何其他联邦或州政府机构对注册声明或招股说明书的修改或补充或额外信息的任何请求,(Iii)美国证券交易委员会或任何其他联邦或州政府机构发布的停止令,暂停涵盖任何或所有可注册证券的注册声明的有效性,或为此目的启动任何诉讼程序,(Iv)本公司收到任何关于在任何司法管辖区内暂停任何可注册证券的出售资格或豁免资格的通知,或为此目的而发起或威胁提起任何法律程序的通知,。(V)发生任何事件或时间,使 登记报表所载的财务报表不符合纳入资格,或登记报表或招股章程或以引用方式并入或视为纳入其中的任何文件所作的任何陈述,在任何重要方面并不真实,或需要对登记报表作出任何修订。招股说明书或其他文件,如属注册说明书或招股说明书(视属何情况而定),则该说明书或招股说明书将不会 包含任何有关重大事实的不真实陈述,或遗漏任何须在其内陈述或作出陈述所需的重大事实,以顾及作出该等陈述的情况,且(Br)无误导性,及(Vi)本公司认为有关本公司的任何待决公司发展的发生或存在,而本公司认为该等发展可能是重大的,且在本公司的厘定中,使允许继续提供注册说明书或招股说明书不符合公司的最佳利益;但在任何情况下,任何该等通知均不得包含任何将构成有关本公司或其任何附属公司的重大、非公开资料的资料,而本公司同意买方对 公司或其任何附属公司并无任何保密责任,亦无对本公司或其任何附属公司负任何责任不以该等资料为基础进行交易。 |
(e) | 本公司应尽其商业上合理的努力,在实际可行的最早时间,避免发出或(如果发出)撤回(I)任何停止或暂停注册声明的效力的命令,或(Ii)暂停任何在任何司法管辖区出售的可注册证券的资格 (或豁免资格)。 |
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(f) | 公司应免费向买方提供每份注册 声明及其每份修订案(包括财务报表和附表)的至少一份一致的副本,在买方要求的范围内引用或视为纳入其中的所有文件,以及该人要求的所有证物(包括 先前提供或以引用方式并入的文件)在向SEC提交此类文件后立即提交;条件是EDGAR系统(或其后续系统)上可用的任何此类项目 不需要以实物形式提供。 |
(g) | 根据本协议的条款,本公司特此同意买方使用该招股说明书及其每项修订或补充,与该招股说明书及其任何修订或补充所涵盖的可登记证券的发售和销售有关,但根据第3(d)节发出任何通知后除外。 |
(h) | 在买方转售可登记证券之前,公司应尽其商业上合理的 努力注册或获得资格,或就注册或获得资格与买方合作(或豁免 注册或资格)此类可登记证券,供买方根据此类 的证券或蓝天法律转售根据买方合理书面要求,保留每一个注册或资格(或豁免 )在有效期内生效,并采取任何和所有其他合理必要的行动或事情,以实现处置 在每份登记声明所涵盖的可登记证券的该等司法管辖区;条件是,公司不需要 一般有资格在任何司法管辖区开展业务,而当时它不具备这样的资格,使公司缴纳 中的任何物质税任何该等司法管辖区(如果当时不受此约束),或提交一般同意在任何该等司法管辖区送达法律程序文件。 |
(i) | 如果买方要求,公司应与买方合作,以便于及时准备 并交付代表根据登记声明交付给受让人的可登记证券的证书, 在购买协议允许的范围内,这些证书应不含所有限制性图例,并使该等可登记 证券以买方可能要求的面额和名称登记。 |
(j) | 在发生第3(D)节所述的任何事件时,在考虑到公司对公司及其股东过早披露该事件的不利后果的善意评估后,应在合理情况下尽快准备补充或修订, 包括注册声明或相关招股说明书的附录的生效后修正案,或通过引用方式并入或被视为并入其中的任何文件, 并提交任何其他所需文件,以便在此后交付时,注册 声明和招股说明书都不会包含对重大事实的不真实陈述,也不会遗漏 陈述必须在其中陈述的重大事实或根据作出陈述的情况而必须陈述的重大事实。如果公司根据第(Br)3(D)节第(Iii)至(Vi)款通知买方暂停使用任何招股说明书,直至对该招股说明书进行必要的更改。则买方应暂停使用此类招股说明书。本公司将尽其商业上合理的努力,以确保招股章程可在实际可行的情况下尽快恢复使用。公司有权根据第3(K)款行使其权利,暂停提供注册声明和招股说明书。按照第2(E)款的规定支付部分违约金,在任何12个月内不得超过六十(60)个日历 天(不必是连续的几天)。 |
(k) | 公司应尽商业上合理的努力遵守SEC的所有适用规则和法规 。 |
(l) | 本公司应尽其商业上合理的努力,维持使用S-3表格(或其任何后续表格)登记可登记证券转售的资格。 |
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Section 4. Registration Expenses. All fees and expenses incident to the performance of or compliance with, this Agreement by the Company shall be borne by the Company whether or not any Registrable Securities are sold pursuant to a Registration Statement. The fees and expenses referred to in the foregoing sentence shall include, without limitation, (i) all registration and filing fees (including, without limitation, fees and expenses of the Company’s counsel and independent registered public accountants) (A) with respect to filings made with the SEC, (B) with respect to filings required to be made with any Trading Market on which the Common Stock is then listed for trading, (C) in compliance with applicable state securities or Blue Sky laws reasonably agreed to by the Company in writing (including, without limitation, fees and disbursements of counsel for the Company in connection with Blue Sky qualifications or exemptions of the Registrable Securities), (ii) printing expenses (including, without limitation, expenses of printing certificates for Registrable Securities), (iii) messenger, telephone and delivery expenses, (iv) fees and disbursements of counsel for the Company, (v) Securities Act liability insurance, if the Company so desires such insurance, and (vi) fees and expenses of all other Persons retained by the Company in connection with the consummation of the transactions contemplated by this Agreement. In addition, the Company shall be responsible for all of its internal expenses incurred in connection with the consummation of the transactions contemplated by this Agreement (including, without limitation, all salaries and expenses of its officers and employees performing legal or accounting duties), the expense of any annual audit and the fees and expenses incurred in connection with the listing of the Registrable Securities on any securities exchange as required hereunder. In no event shall the Company be responsible for any broker or similar commissions of Buyer or, except to the extent provided for in the Transaction Documents, any legal fees or other costs of the Buyer.
第5款. 赔偿。
(a) | Indemnification. The Company shall, notwithstanding any termination of this Agreement, in addition to and not in substitution for, any other indemnification provision by the Company, indemnify and hold harmless the Buyer, the officers, directors, managers, managing members, members, partners, advisors, agents, brokers (including brokers who offer and sell Registrable Securities as principal as a result of a pledge or any failure to perform under a margin call of Common Stock), employees, investment advisors and (and any other Persons with a functionally equivalent role of a Person holding such titles, notwithstanding a lack of such title or any other title) of each of them, each Person who controls any the Buyer (within the meaning of Section 15 of the Securities Act or Section 20 of the Exchange Act) and the officers, directors, managers, managing members, members, stockholders, employees, partners, advisors, agents (and any other Persons with a functionally equivalent role of a Person holding such titles, notwithstanding a lack of such title or any other title) of each such controlling Person, to the fullest extent permitted by applicable law, from and against any and all losses, claims, damages, liabilities, costs (including, without limitation, reasonable attorneys’ fees) and expenses (collectively, “Losses”), as incurred, arising out of or relating to (1) any untrue or alleged untrue statement of a material fact contained in a Registration Statement, any Prospectus or any form of prospectus or in any amendment or supplement thereto or in any preliminary prospectus, or arising out of or relating to any omission or alleged omission of a material fact required to be stated therein or necessary to make the statements therein (in the case of any Prospectus or supplement thereto, in light of the circumstances under which they were made) not misleading or (2) any violation or alleged violation by the Company of the Securities Act, the Exchange Act or any state securities law, or any rule or regulation thereunder, in connection with the performance of its obligations under this Agreement, except to the extent, but only to the extent, that (i) such untrue statements or omissions are based solely upon information regarding the Buyer furnished in writing to the Company by the Buyer expressly for use therein, or to the extent that such information relates to the Buyer or the Buyer’s proposed method of distribution of Registrable Securities and was reviewed and expressly approved in writing by the Buyer expressly for use in a Registration Statement, such Prospectus or in any amendment or supplement thereto or (ii) in the case of an occurrence of an event of the type specified in Section 3(d) (iii)-(vi), the use by the Buyer of an outdated, defective or otherwise unavailable Prospectus after the Company has notified the Buyer in writing that the Prospectus is outdated, defective or otherwise unavailable for use by the Buyer and prior to the receipt by the Buyer of the Advice contemplated in Section 6(c). The Company shall notify the Buyer promptly of the institution, threat or assertion of any Proceeding arising from or in connection with the transactions contemplated by this Agreement of which the Company is aware. Such indemnity shall remain in full force and effect regardless of any investigation made by or on behalf of such indemnified person and shall survive the transfer of any Registrable Securities by any of the Buyer in accordance with Section 7(p). |
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(b) | Indemnification by Buyer. Buyer shall indemnify and hold harmless the Company, its directors, officers, agents, employees and advisors, each Person who controls the Company (within the meaning of Section 15 of the Securities Act and Section 20 of the Exchange Act), and the directors, officers, agents or employees of such controlling Persons, to the fullest extent permitted by applicable law, from and against all Losses, as incurred, to the extent arising out of or based solely upon: any untrue or alleged untrue statement of a material fact contained in any Registration Statement, any Prospectus, or in any amendment or supplement thereto or in any preliminary prospectus, or arising out of or relating to any omission or alleged omission of a material fact required to be stated therein or necessary to make the statements therein (in the case of any Prospectus or supplement thereto, in light of the circumstances under which they were made) not misleading (i) to the extent, but only to the extent, that such untrue statement or omission is contained in any information so furnished in writing by Buyer to the Company expressly for inclusion in such Registration Statement or such Prospectus the proposed method of distribution of Registrable Securities and was reviewed and expressly approved in writing by Buyer expressly for use in a Registration Statement, such Prospectus or in any amendment or supplement thereto. In no event shall the liability of a selling Buyer be greater in amount than the half the dollar amount of the profit they generated on the sale of the stock from the conversion of the Note (net of all expenses paid by Buyer in connection with any claim relating to this Section 5 and the amount of any damages Buyer has otherwise been required to pay by reason of such untrue statement of material fact) received by Buyer upon the sale of the Registrable Securities included in the Registration Statement giving rise to such indemnification obligation. |
(c) | 进行弥偿法律程序。 |
(i) | 如果对根据本协议有权获得赔偿的任何人(“受赔偿方”)提起诉讼或提出诉讼,该受赔偿方应立即以书面形式通知被要求赔偿的人(“受偿方”),而受赔偿方有权承担辩护,包括聘请受赔偿方合理满意的律师,并支付与辩护相关的所有费用和开支;如果任何受补偿方未能发出此类通知,则不应解除其根据本协议承担的义务或责任,除非(且仅限于)有管辖权的法院应最终裁定(该裁定不得上诉或进一步复审)该未发出通知的行为将对受赔偿方造成重大不利影响。 |
(Ii) | 受补偿方有权在任何此类诉讼中聘请单独的律师并参与辩护,但此类律师的费用和开支应由受补偿方承担,除非: (1)补偿方已书面同意支付此类费用和开支;(2)补偿方未能迅速 在任何此类诉讼中进行辩护,并在合理情况下聘请令受补偿方满意的律师; 或(3)任何此类诉讼的被指名方(包括任何牵涉的一方)包括被补偿方和被补偿方,被补偿方的律师应合理地相信,如果由同一律师代表被补偿方和被补偿方,则可能存在重大利益冲突(在这种情况下,如果被补偿方以书面形式通知被补偿方,它选择聘请单独的律师,费用由被补偿方承担)。赔偿方无权承担辩护的权利,不超过一名独立律师的合理费用和开支应由赔偿方承担。赔偿一方对未经其书面同意而进行的任何此类诉讼的任何和解不负责任,该书面同意不得被无理拒绝或拖延。未经受补偿方事先书面同意,任何补偿方不得就任何受补偿方为其中一方的任何未决诉讼达成任何和解, 除非该和解包括无条件免除该受补偿方对属于该诉讼标的的索赔的所有责任。 |
(Iii) | 根据本协议的条款,赔偿方的所有合理费用和开支(包括 以不违反本第5(c)条的方式调查或准备辩护该诉讼程序而产生的合理费用和开支)应在向赔偿方发出书面通知后的十(10)个交易日内支付给赔偿方;条件是,赔偿方应立即向赔偿方偿还适用于此类行动的 费用和开支,而该赔偿方最终被管辖 管辖权的法院(该判决不得上诉或进一步审查)裁定为无权获得本协议项下的赔偿。 |
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(d) | Contribution. If the indemnification under Section 5(a) or Section 5(b) is unavailable to an Indemnified Party or insufficient to hold an Indemnified Party harmless for any Losses, then each Indemnifying Party shall contribute to the amount paid or payable by such Indemnified Party, in such proportion as is appropriate to reflect the relative fault of the Indemnifying Party and Indemnified Party in connection with the actions, statements or omissions that resulted in such Losses as well as any other relevant equitable considerations. The relative fault of such Indemnifying Party and Indemnified Party shall be determined by reference to, among other things, whether any action in question, including any untrue or alleged untrue statement of a material fact or omission or alleged omission of a material fact, has been taken or made by, or relates to information supplied by, such Indemnifying Party or Indemnified Party, and the Parties’ relative intent, knowledge, access to information and opportunity to correct or prevent such action, statement or omission. The amount paid or payable by a Party as a result of any Losses shall be deemed to include, subject to the limitations set forth in this Agreement, any reasonable attorneys’ or other fees or expenses incurred by such Party in connection with any Proceeding to the extent such Party would have been indemnified for such fees or expenses if the indemnification provided for in this Section 5(d) was available to such Party in accordance with its terms. The Parties agree that it would not be just and equitable if contribution pursuant to this Section 5(d) were determined by pro rata allocation or by any other method of allocation that does not take into account the equitable considerations referred to in the immediately preceding paragraph. Notwithstanding the provisions of this Section 5(d), Buyer shall not be required to contribute pursuant to this Section 5(d), in the aggregate, any amount in excess of the amount by which the net proceeds actually received by the Buyer from the sale of the Registrable Securities subject to the Proceeding exceeds the amount of any damages that the Buyer has otherwise been required to pay by reason of such untrue or alleged untrue statement or omission or alleged omission. The indemnity and contribution agreements contained in this Section 5(d) are in addition to any liability that the Indemnifying Parties may have to the Indemnified Parties. |
第6款. 其他契约和协议。
(a) | 合规买方承诺并同意,其将遵守适用于其的《证券法》的招股说明书交付要求 (除非可获得豁免),根据登记声明销售可登记证券 。 |
(b) | 中止处置。通过收购可登记证券,买方同意, 在收到公司关于发生第3(d)(iii)至(vi)节所述类型事件的通知后, 买方应立即停止根据登记声明处置此类可登记证券,直至收到书面通知 (以下简称“建议”),即可以恢复使用适用的招股说明书(可能已被补充或修订)。本公司将尽其商业上的合理努力,确保招股说明书的使用可以在实际可行的情况下尽快恢复。本公司同意并承认,买方被要求停止处置本协议项下的可登记证券的任何期间均应遵守第2(e)节的规定。 |
(c) | 背负式注册。 |
(i) | 如果在有效期内的任何时候,没有涵盖所有可注册证券的有效登记声明,公司应决定编制并向美国证券交易委员会提交与根据证券法为其自己或他人的账户发售其任何股权证券有关的登记声明。除采用《证券法》颁布的S-4表格或S-8表格或与收购任何实体或企业或可发行的与公司股票期权或其他员工福利计划相关的股本证券有关的当时等价物的表格 以外,本公司应向买方发送关于该决定的书面通知,如果在该通知交付之日起十五(15)天内,买方应提出书面要求。公司应在该注册声明中包括买方要求注册的该等可注册证券的全部或任何部分(每个注册声明均为“Piggyback注册”);但条件是,对于根据证券法《美国证券交易委员会》颁布的第144条(没有成交量限制或当前的公开信息要求)有资格转售的、或当时生效的《注册声明》的标的,根据第6(D)节的规定,本公司不需对其进行登记。 |
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(Ii) | 如果买方选择 ,公司应将该等应登记证券纳入回扣证券登记,并应安排拟承销发行的主承销商按与本公司任何类似证券相同的条款和条件,允许将该证券纳入回扣证券登记,并允许按照预定的分销方法(S)出售或以其他方式处置该等应登记证券。 如果买方提议通过涉及一名或多名承销商的回购登记来分销其应登记证券, 然后,买方应以惯例的形式与一家或多家承销商签订承销协议,并在本公司和/或承销商(S)提出要求时签署并交付惯例锁定协议,根据该协议,买方同意在180日内对本公司证券的转售实行惯例限制。 |
(Iii) | 如果Piggyback注册是代表公司发起的主承销发行,并且 主承销商根据类似于本协议的协议(如果任何注册证券持有人选择将注册证券包括在此类Piggyback注册中)书面通知公司和买方以及其他投资者或持有任何其他普通股的持有者(如果任何注册证券持有人已选择将注册证券包括在此类Piggyback注册中),则根据其合理和善意的意见,普通股的股票数量建议包括在此类注册中,包括拟纳入该包销发行的所有可登记证券和所有其他普通股,超过可在该发行中出售的普通股数量和/或拟纳入该等登记或注销的普通股数量将对拟在该发行中出售的普通股每股价格产生不利影响的,公司应在该登记中包括 (I)本公司拟出售的普通股股份;(Ii)买方将包括在其中的可登记证券;及(Iii)该等其他持有人根据该等其他持有人所持有的可登记证券数目按比例计算。 |
(Iv) | 第5节的规定适用于任何Piggyback注册。 |
第7节。 其他。
(a) | 通知。本合同项下要求或允许的任何通知或其他通信应以书面形式 ,并应按照《采购协议》的规定发出。 |
(b) | 律师费。如果任何一方提起任何诉讼或诉讼以强制执行本协议,或确保免除本协议项下的任何违约或违反本协议,胜诉方应向败诉方偿还与此相关的所有费用,包括合理的律师费,以及执行或收集其中作出的任何判决的费用。 |
(c) | 修正案;没有豁免。 |
(i) | 除本协议明确规定外,本协议可被修改、修改、取代、终止或取消,且本协议的任何条款、契诺、陈述、保证或条件只能通过双方签署的书面文件 予以放弃。 |
(Ii) | 本协议规定的每项权利和补救措施应与本协议授予的所有其他权利和补救措施相累积,无论是在法律上还是在衡平法上,并可在此同时强制执行,任何一方对另一方履行任何 义务的放弃不得解释为放弃当时、之前或之后发生的或存在的相同或任何其他违约。 |
(Iii) | 任何一方未能或延迟行使本协议项下的任何权利或救济,或要求满足本协议的任何条件或任何交易过程,均不构成放弃或阻止任何一方执行任何权利或补救 或要求满足任何条件。向一方发出的通知或要求不放弃或以其他方式影响该方的任何义务,或损害发出通知或提出要求的一方的任何权利,包括在没有通知或要求的情况下采取任何行动的权利。因违反本协议而行使任何权利或采取任何补救措施,均不妨碍因违反本协议而行使任何其他适当的权利或补救措施,或随后就任何其他违反规定行使任何权利或补救措施。 |
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(d) | 费用。除非本协议另有规定或规定,否则与本协议有关的所有成本和支出应由产生此类成本或支出的一方支付。 |
(e) | 继承人和受让人;利益。本协议对双方及其各自的继承人和允许的受让人具有约束力,并符合其利益。任何一方均无权全部或部分转让或转让本协议或其在本协议项下的任何权利或义务,包括但不限于根据本协议或本协议设想的交易提出任何损害赔偿要求的任何权利,或就违反或违约本协议或因据称转让或适当履行本协议项下的义务而产生的任何权利提出任何索赔。未经另一方事先书面同意,任何此类违反本协议规定的转让均为无效 ,没有任何效力或效果。 |
(f) | 第三方受益人。本合同严格由双方签订,除本合同另有明确规定外,董事、高管、股东、员工、代理人、独立承包人或任何其他人不得被视为本协议的第三方受益人。 |
(g) | 治国理政。所有与本协议的解释、有效性、执行和解释有关的问题均应根据本协议的规定作出决定。 |
(h) | 具体表现。双方同意,如果本协议的任何条款没有按照本协议的条款履行,将会发生不可弥补的损害,各方有权在法律或衡平法上寻求任何其他补救措施以外的具体履行本协议条款的权利。 |
(i) | 整个协议。本协议和其他交易文件构成双方之间关于本协议及其标的的完整协议,并取代双方之前就本协议及其标的达成的所有口头和书面协议和谅解。 |
(j) | 没有不一致的协议。截至 ,本公司或其任何附属公司均未签订生效日期,本公司或其任何附属公司也不得在本协议日期或之后就其证券订立任何协议,而该协议会损害本协议授予买方的权利或 与本协议的规定相冲突。 |
(k) | 累积补救。此处提供的补救措施是累积性的,并不排除法律规定的任何其他补救措施。 |
(l) | 可分割性。如果本协议的任何条款、条款、契诺或限制被具有司法管辖权的法院裁定为无效、非法、无效或不可执行,则本协议的其余条款、条款、契诺和限制应保持完全有效,不得以任何方式受到影响、损害或无效,双方应 使用其商业上合理的努力寻找并采用替代方法,以达到与该条款、条款、契诺或限制所预期的相同或基本上相同的结果。特此规定并声明,各方的意图是,他们将执行剩余的条款、条款、契诺和限制,但不包括以下任何可能被宣布为无效、非法、无效或不可执行的条款、条款、契诺和限制。 |
(m) | 标题。本协议中的标题仅为方便起见,不构成本协议的一部分,不得被视为限制或影响本协议的任何规定。 |
(n) | 对应者。本协议可签署多份副本,每份副本应视为正本,所有副本加在一起应仅为一份文书。副本可通过传真、电子邮件(包括pdf或符合美国联邦2000年ESIGN法案的任何电子签名,例如www.docusign.com)或其他传输方式交付,任何如此交付的副本应被视为已妥为且有效地交付,并且对所有目的均有效 |
(签名 显示在以下页面上)
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兹证明,双方已促使本 协议自生效日期起正式生效。
格罗姆社会企业公司 | ||
发信人: | ||
名字 | 达伦 马克斯 | |
标题: | 首席执行官 | |
生成Alpha有限公司。 | ||
发信人: | ||
姓名: | 玛丽亚·卡诺 | |
标题: | 董事 |
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