附件10.4
註冊 權利協議
本註冊權協議 （本“協議”）於 []，2023年（"生效日期"）， 格羅姆社會企業公司，一家佛羅裏達公司（"公司"）和Generating Alpha Ltd.，a聖基茨和****斯公司 （"買方"）。本協議中，公司和買方可單獨稱為"一方"，統稱 為"雙方"。
鑑於雙方是該特定證券購買協議(“購買協議”)的 當事方，因此，作為參與購買協議所述交易的誘因，公司同意登記購買協議所購買的證券所對應的普通股股份；以及
此外，雙方希望 簽署本協議，以授予買方在本協議中規定的某些註冊權；
因此，現在，考慮到以下所列相互契約和協議，並出於其他良好和有價值的對價，在此確認已收到和充分 ，雙方同意如下：
第1款. 定義。此處使用的大寫術語和未另行定義的術語應具有采購協議中給出的含義 。在本協議中，下列術語具有以下含義：
| (a) | “建議”應具有第6（c）條所述的含義。 |
| (b) | "生效日期"指，就 要求在本協議下提交的初始登記聲明而言，第六十（60）這是），但是，如果公司 接到SEC通知，註冊聲明將不會被審查或不再受到進一步審查和評論， 該註冊聲明的生效日期應為公司註冊之日後的第五個交易日 如果該日期早於上述另行規定的日期，則應通知，而且，如果該生效日期不是 交易日，則生效日期應為下一個交易日。 |
| (c) | “有效期”應具有第2款(A)項中規定的含義。 |
| (d) | “事件”應具有第2條（e）款所述的含義。 |
| (e) | “事件日期”應具有第2（e）節所述的含義。 |
| (f) | "備案日期"是指，就本協議要求的初始登記聲明而言， 在獲得股東批准之日後五（5）天內的日期，並且，就根據第2（c）條或第3（c）條可能要求的任何額外的 登記聲明而言，SEC指南允許公司 提交與可登記證券有關的額外登記聲明的最早實際日期。 |
| (g) | “受補償方”應具有第5(C)節中給出的含義。 |
| (h) | “賠償方”應具有第5(C)節中給出的含義。 |
| (i) | “初始註冊表”是指根據本協議提交的S-1表格 中的初始註冊表。 |
| (j) | “損失”應具有第5(A)節規定的含義。 |
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| (k) | “招股説明書”是指收錄於註冊説明書(包括但不限於招股説明書，該招股説明書包括以前根據證券法美國證券交易委員會根據證券法頒佈的第430A條提交的招股説明書中遺漏的任何信息)、經任何招股説明書補編修訂或補充的招股説明書、招股説明書所涵蓋的任何部分的發售條款、招股説明書的所有其他修訂和補充，包括生效後修訂和補充的招股説明書，以及以參考方式併入或被視為以參考方式併入該招股章程的所有材料。 |
| (l) | “Registrable Securities” means, as of any date of determination, (a) all Note Shares then issued and issuable upon conversion of the Notes (assuming on such date the Notes are converted in full without regard to any conversion limitations therein), (b) all Warrant Shares then issued and issuable upon exercise of the Warrants (assuming on such date the Warrants are exercised in full without regard to any exercise limitations therein), (c) all of the shares of Common Stock then issued and issuable in connection with any anti-dilution or any remedies provisions in the Notes and Warrants (in each case without giving effect to any limitations on conversion or exercise, as the case may be, therein), and (d) any shares of Common Stock issued or then issuable upon any stock split, dividend or other distribution, recapitalization or similar event with respect to the Common Stock; provided, however, that any such Registrable Securities shall cease to be Registrable Securities (and the Company shall not be required to maintain the effectiveness of any, or file another, Registration Statement hereunder with respect thereto) for so long as (a) a Registration Statement with respect to the sale of such Registrable Securities is declared effective by the SEC under the Securities Act and such Registrable Securities have been disposed of by the Buyer in accordance with such effective Registration Statement, (b) such Registrable Securities have been previously sold in accordance with Rule 144, or (c) such securities become eligible for resale without volume or manner-of-sale restrictions and without current public information pursuant to Rule 144 as set forth in a written opinion letter to such effect, and the Buyer (assuming that such securities and any securities issuable upon exercise, conversion or exchange of which, or as a dividend upon which, such securities were issued or are issuable, were at no time held by any Affiliate of the Company), as reasonably determined by the Company, upon the advice of counsel to the Company. |
| (m) | “註冊説明書”是指根據第2(A)節要求提交的任何註冊説明書和根據第2條或第3(C)款預期的任何額外註冊説明書，包括(在每種情況下)招股説明書、對任何該等註冊説明書或招股説明書的修訂和補充(包括生效前和生效後的修訂)、其所有證物 ，以及以引用方式併入或被視為以引用方式併入任何此類註冊説明書的所有材料。 |
| (n) | “第415條規則”是指美國證券交易委員會根據證券法頒佈的第415條規則，該規則 可以不時修改或解釋，或者美國證券交易委員會此後通過的與該規則目的和效力基本相同的任何類似規則或條例。 |
| (o) | “第424條規則”是指美國證券交易委員會根據證券法頒佈的第424條規則，該規則可以不時修改或解釋，或者美國證券交易委員會此後通過的與該規則目的和效力基本相同的任何類似的規則或條例。 |
| (p) | “出售股東問卷”應具有第3(A)節規定的含義。 |
| (q) | “美國證券交易委員會指引”是指(I)美國證券交易委員會工作人員的任何公開的書面或口頭指導， 或美國證券交易委員會工作人員的任何評論、要求或要求，以及(Ii)證券法。 |
| (r) | “交易日”是指普通股股票在任何交易市場上市交易或報價的任何日子。 |
| (s) | “交易市場”是指普通股 在有關日期上市或報價交易的下列任何市場或交易所：紐約證券交易所美國市場、納斯達克資本市場、納斯達克全球市場、納斯達克全球精選市場或紐約證券交易所(或上述任何市場的任何繼承者)。 |
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第2款. 註冊。
| (a) | No later than the Filing Date, the Company shall submit to the SEC a draft registration statement of the form of the Initial Registration Statement, which shall include for registration all of the Registrable Securities. Subject to the terms of this Agreement, the Company shall use its commercially reasonable efforts to cause a Registration Statement filed under this Agreement (including, without limitation, under Section 3(c)) to be declared effective under the Securities Act within sixty (60) days after the filing thereof, but in any event no later than the applicable Effectiveness Date, and shall use its commercially reasonable efforts to keep such Registration Statement continuously effective under the Securities Act until all Registrable Securities covered by such Registration Statement (i) have been sold, thereunder or pursuant to Rule 144, or (ii) may be sold without volume or manner-of-sale restrictions pursuant to Rule 144 and without the requirement for the Company to be in compliance with the current public information requirement under Rule 144, as determined by the counsel to the Company pursuant to a written opinion letter to such effect, addressed and acceptable to the Buyer (the “Effectiveness Period”). The Company shall telephonically request effectiveness of a Registration Statement as of 5:00 p.m. Eastern Time on a Trading Day. The Company shall immediately notify the Buyer by e-mail of the effectiveness of a Registration Statement on the same Trading Day that the Company telephonically confirms effectiveness with the SEC, which shall be the date requested for effectiveness of such Registration Statement. The Company shall, by 9:30 a.m. Eastern Time on the Trading Day after the effective date of such Registration Statement, file a final Prospectus with the SEC as required by Rule 424. Failure to so notify the Buyer within one (1) Trading Day of such notification of effectiveness or failure to file a final Prospectus as foresaid shall be deemed an Event under Section 2(e). |
| (b) | 儘管有第2（a）條中規定的登記義務，但如果SEC通知公司 ，由於第415條的應用，所有可登記證券都不能在一份登記聲明中登記為二次發售 ，公司同意立即通知買方，並盡其商業上合理的努力 根據SEC的要求，提交對初始註冊聲明的修訂，涵蓋SEC允許註冊的可註冊證券 的最大數量，採用S—3表格或其他可用於將可註冊證券作為 二次發行進行轉售的表格，但須遵守第2（e）節的規定；關於以表格S—3或其他適當表格提交，且 受第2（f）節中關於支付違約賠償金的規定的約束，但在提交此類修訂之前， 公司應有義務盡最大努力向SEC主張根據SEC指南對所有可登記證券進行註冊 ，包括但不限於遵守和披露解釋612.09。 |
| (c) | 如果關於登記聲明的主管承銷商以書面形式通知公司和買方 ，根據其合理和善意的意見，建議納入初始登記 聲明的普通股股票數量，包括所有可登記證券和所有其他擬納入初始登記的普通股股份 聲明超過了在此類發行中可以出售的最大金額或最大股份數量，而不會對 在登記聲明中登記的普通股的擬議發行價格、時間、分配方法或成功銷售的概率產生不利影響，公司應在該登記中包括（i）第一，公司擬出售的普通股股份；（ii）第二，買方將包括的可登記證券。 |
公司證券 持有人不得在首次登記聲明中包括公司證券。
| (d) | Notwithstanding any other provision of this Agreement, and subject to the provisions of Section 2(f) with respect to the payment of liquidated damages, if the SEC or any SEC Guidance sets forth a limitation on the number of Registrable Securities permitted to be registered on a particular Registration Statement as a secondary offering (and notwithstanding that the Company used diligent efforts to advocate with the SEC for the registration of all or a greater portion of Registrable Securities), unless otherwise directed in writing by the Buyer, the number of Registrable Securities to be registered on such Registration Statement will be reduced (i) first, by reducing the shares of Common Stock that the Company proposes to sell; and (ii) second, by reducing the Registrable Securities to be included therein by the Buyer. In the event of a cutback pursuant to this Section 2(e), the Company shall give the Buyer at least five (5) Trading Days prior written notice along with the calculations as to the Buyer’s allotment. In the event the Company amends the Initial Registration Statement in accordance with the foregoing, the Company will use its commercially reasonable efforts to file with the SEC, as promptly as allowed by Commission or SEC Guidance provided to the Company or to registrants of securities in general, one or more registration statements on Form S-3 or such other form available to register for resale those Registrable Securities that were not registered for resale on the Initial Registration Statement, as amended. |
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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. |
[已保留]
| (f) | 儘管本協議中有任何相反的規定，但根據SEC的意見，在任何情況下， 未經買方事先書面同意，公司不得指定買方或買方的任何關聯公司為承銷商。 |
第3款. 註冊程序。關於本公司在本協議項下的登記義務，本公司應 以下義務：
| (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)公司應編制並向美國證券交易委員會提交必要的修訂，包括對註冊説明書及與此相關使用的招股説明書的生效後修訂，以使註冊説明書在有效期內就適用的須註冊證券持續有效，並應編制及向美國證券交易委員會提交此等額外註冊 聲明以根據證券法登記所有須註冊證券以供轉售，(Ii)使相關招股説明書 經任何必要的招股説明書補充(受本協議條款規限)修訂或補充，以及經如此補充 或經修訂後，根據規則424提交，(Iii)在合理可行的情況下，迅速回復從美國證券交易委員會收到的關於登記聲明或其任何修訂的任何意見，並在合理可行的情況下，儘快向買方提供來自美國證券交易委員會和與美國證券交易委員會有關的所有與登記聲明有關的信件的真實和完整的副本(前提是，公司應刪除其中包含的構成有關公司或其任何子公司的重大非公開信息的任何信息)， 和(Iv)在適用期間內(在符合本協議的 條款的前提下)在適用期間內處置登記聲明所涵蓋的所有應註冊證券方面，遵守證券法和交易法的適用條款，符合經修訂的登記聲明或經如此補充的招股説明書中規定的買方預期的處置方法。 |
| (c) | 如果在有效期內，可登記證券的數量在任何時候超過當時登記在登記説明書中的普通股數量的100%，則本公司應在合理可行的情況下儘快提交一份額外的登記説明書， 但無論如何，在適用的提交日期之前，額外的登記説明書涵蓋買方轉售的不少於該等應登記證券數量的 。 |
| (d) | 公司應儘快通知買方(根據本協議第(Br)(Iii)至(Vi)條的規定，通知應附有暫停使用招股説明書的指示，直至作出必要的更改為止)(就以下第(I)(A)項而言，不少於提交申請前一(1)個交易日)和 (如果任何此等人士提出要求)在不遲於下一(1)個交易日確認書面通知：(I)(A)當招股説明書或任何招股説明書補編或對註冊説明書的生效後修正案建議提交時，(B)當美國證券交易委員會通知 公司是否將對該註冊説明書進行“審查”時，以及每當美國證券交易委員會對該註冊説明書提出書面意見時，以及(C)對於註冊聲明或任何生效後的修正案， (Ii)美國證券交易委員會或任何其他聯邦或州政府機構對註冊聲明或招股説明書的修改或補充或額外信息的任何請求，(Iii)美國證券交易委員會或任何其他聯邦或州政府機構發佈的停止令，暫停涵蓋任何或所有可註冊證券的註冊聲明的有效性，或為此目的啟動任何訴訟程序，(Iv)本公司收到任何關於在任何司法管轄區內暫停任何可註冊證券的出售資格或豁免資格的通知，或為此目的而發起或威脅提起任何法律程序的通知，。(V)發生任何事件或時間，使 登記報表所載的財務報表不符合納入資格，或登記報表或招股章程或以引用方式併入或視為納入其中的任何文件所作的任何陳述，在任何重要方面並不真實，或需要對登記報表作出任何修訂。招股説明書或其他文件，如屬註冊説明書或招股説明書(視屬何情況而定)，則該説明書或招股説明書將不會 包含任何有關重大事實的不真實陳述，或遺漏任何須在其內陳述或作出陳述所需的重大事實，以顧及作出該等陳述的情況，且(Br)無誤導性，及(Vi)本公司認為有關本公司的任何待決公司發展的發生或存在，而本公司認為該等發展可能是重大的，且在本公司的釐定中，使允許繼續提供註冊説明書或招股説明書不符合公司的最佳利益；但在任何情況下，任何該等通知均不得包含任何將構成有關本公司或其任何附屬公司的重大、非公開資料的資料，而本公司同意買方對 公司或其任何附屬公司並無任何保密責任，亦無對本公司或其任何附屬公司負任何責任不以該等資料為基礎進行交易。 |
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| (e) | 本公司應盡其商業上合理的努力，在實際可行的最早時間，避免發出或(如果發出)撤回(I)任何停止或暫停註冊聲明的效力的命令，或(Ii)暫停任何在任何司法管轄區出售的可註冊證券的資格 (或豁免資格)。 |
| (f) | 公司應免費向買方提供每份註冊 聲明及其每份修訂案（包括財務報表和附表）的至少一份一致的副本，在買方要求的範圍內引用或視為納入其中的所有文件，以及該人要求的所有證物（包括 先前提供或以引用方式併入的文件）在向SEC提交此類文件後立即提交；條件是EDGAR系統（或其後續系統）上可用的任何此類項目 不需要以實物形式提供。 |
| (g) | 根據本協議的條款，本公司特此同意買方使用該招股説明書及其每項修訂或補充，與該招股説明書及其任何修訂或補充所涵蓋的可登記證券的發售和銷售有關，但根據第3（d）節發出任何通知後除外。 |
| (h) | 在買方轉售可登記證券之前，公司應盡其商業上合理的 努力註冊或獲得資格，或就註冊或獲得資格與買方合作（或豁免 註冊或資格）此類可登記證券，供買方根據此類 的證券或藍天法律轉售根據買方合理書面要求，保留每一個註冊或資格（或豁免 ）在有效期內生效，並採取任何和所有其他合理必要的行動或事情，以實現處置 在每份登記聲明所涵蓋的可登記證券的該等司法管轄區；條件是，公司不需要 一般有資格在任何司法管轄區開展業務，而當時它不具備這樣的資格，使公司繳納 中的任何物質税任何該等司法管轄區（如果當時不受此約束），或提交一般同意在任何該等司法管轄區送達法律程序文件。 |
| (i) | 如果買方要求，公司應與買方合作，以便於及時準備 並交付代表根據登記聲明交付給受讓人的可登記證券的證書， 在購買協議允許的範圍內，這些證書應不含所有限制性圖例，並使該等可登記 證券以買方可能要求的面額和名稱登記。 |
| (j) | Upon the occurrence of any event contemplated by Section 3(d), as promptly as reasonably possible under the circumstances taking into account the Company’s good faith assessment of any adverse consequences to the Company and its stockholders of the premature disclosure of such event, prepare a supplement or amendment, including a post-effective amendment, to a Registration Statement or a supplement to the related Prospectus or any document incorporated or deemed to be incorporated therein by reference, and file any other required document so that, as thereafter delivered, neither a Registration Statement nor such Prospectus will contain an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. If the Company notifies the Buyer in accordance with clauses (iii) through (vi) of Section 3(d) to suspend the use of any Prospectus until the requisite changes to such Prospectus have been made, then the Buyer shall suspend use of such Prospectus. The Company will use its commercially reasonable efforts to ensure that the use of the Prospectus may be resumed as promptly as is practicable. The Company shall be entitled to exercise its right under this Section 3(k) to suspend the availability of a Registration Statement and Prospectus, subject to any payment of partial liquidated damages otherwise required pursuant to Section 2(e) for a period not to exceed sixty (60) calendar days (which need not be consecutive days) in any 12-month period. |
| (k) | 公司應盡商業上合理的努力遵守SEC的所有適用規則和法規 。 |
| (l) | 本公司應盡其商業上合理的努力，維持使用S-3表格(或其任何後續表格)登記可登記證券轉售的資格。 |
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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. 賠償。
| (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) | 進行彌償法律程序。 |
| (i) | 如果對根據本協議有權獲得賠償的任何人(“受賠償方”)提起訴訟或提出訴訟，該受賠償方應立即以書面形式通知被要求賠償的人(“受償方”)，而受賠償方有權承擔辯護，包括聘請受賠償方合理滿意的律師，並支付與辯護相關的所有費用和開支；如果任何受補償方未能發出此類通知，則不應解除其根據本協議承擔的義務或責任，除非(且僅限於)有管轄權的法院應最終裁定(該裁定不得上訴或進一步複審)該未發出通知的行為將對受賠償方造成重大不利影響。 |
| (Ii) | 受補償方有權在任何此類訴訟中聘請單獨的律師並參與辯護，但此類律師的費用和開支應由受補償方承擔，除非： (1)補償方已書面同意支付此類費用和開支；(2)補償方未能迅速 在任何此類訴訟中進行辯護，並在合理情況下聘請令受補償方滿意的律師； 或(3)任何此類訴訟的被指名方(包括任何牽涉的一方)包括被補償方和被補償方，被補償方的律師應合理地相信，如果由同一律師代表被補償方和被補償方，則可能存在重大利益衝突(在這種情況下，如果被補償方以書面形式通知被補償方，它選擇聘請單獨的律師，費用由被補償方承擔)。賠償方無權承擔辯護的權利，不超過一名獨立律師的合理費用和開支應由賠償方承擔。賠償一方對未經其書面同意而進行的任何此類訴訟的任何和解不負責任，該書面同意不得被無理拒絕或拖延。未經受補償方事先書面同意，任何補償方不得就任何受補償方為其中一方的任何未決訴訟達成任何和解， 除非該和解包括無條件免除該受補償方對屬於該訴訟標的的索賠的所有責任。 |
| (Iii) | 根據本協議的條款，賠償方的所有合理費用和開支（包括 以不違反本第5（c）條的方式調查或準備辯護該訴訟程序而產生的合理費用和開支）應在向賠償方發出書面通知後的十（10）個交易日內支付給賠償方；條件是，賠償方應立即向賠償方償還適用於此類行動的 費用和開支，而該賠償方最終被管轄 管轄權的法院（該判決不得上訴或進一步審查）裁定為無權獲得本協議項下的賠償。 |
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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. 其他契約和協議。
| (a) | 合規買方承諾並同意，其將遵守適用於其的《證券法》的招股説明書交付要求 （除非可獲得豁免），根據登記聲明銷售可登記證券 。 |
| (b) | 中止處置。通過收購可登記證券，買方同意， 在收到公司關於發生第3（d）（iii）至（vi）節所述類型事件的通知後， 買方應立即停止根據登記聲明處置此類可登記證券，直至收到書面通知 （以下簡稱“建議”），即可以恢復使用適用的招股説明書（可能已被補充或修訂）。本公司將盡其商業上的合理努力，確保招股説明書的使用可以在實際可行的情況下儘快恢復。本公司同意並承認，買方被要求停止處置本協議項下的可登記證券的任何期間均應遵守第2（e）節的規定。 |
| (c) | 揹負式註冊。 |
| (i) | 如果在有效期內的任何時候，沒有涵蓋所有可註冊證券的有效登記聲明，公司應決定編制並向美國證券交易委員會提交與根據證券法為其自己或他人的賬户發售其任何股權證券有關的登記聲明。除採用《證券法》頒佈的S-4表格或S-8表格或與收購任何實體或企業或可發行的與公司股票期權或其他員工福利計劃相關的股本證券有關的當時等價物的表格 以外，本公司應向買方發送關於該決定的書面通知，如果在該通知交付之日起十五(15)天內，買方應提出書面要求。公司應在該註冊聲明中包括買方要求註冊的該等可註冊證券的全部或任何部分(每個註冊聲明均為“Piggyback註冊”)；但條件是，對於根據證券法《美國證券交易委員會》頒佈的第144條(沒有成交量限制或當前的公開信息要求)有資格轉售的、或當時生效的《註冊聲明》的標的，根據第6(D)節的規定，本公司不需對其進行登記。 |
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| (Ii) | 如果買方選擇 ，公司應將該等應登記證券納入回扣證券登記，並應安排擬承銷發行的主承銷商按與本公司任何類似證券相同的條款和條件，允許將該證券納入回扣證券登記，並允許按照預定的分銷方法(S)出售或以其他方式處置該等應登記證券。 如果買方提議通過涉及一名或多名承銷商的回購登記來分銷其應登記證券， 然後，買方應以慣例的形式與一家或多家承銷商簽訂承銷協議，並在本公司和/或承銷商(S)提出要求時簽署並交付慣例鎖定協議，根據該協議，買方同意在180日內對本公司證券的轉售實行慣例限制。 |
| (Iii) | 如果Piggyback註冊是代表公司發起的主承銷發行，並且 主承銷商根據類似於本協議的協議(如果任何註冊證券持有人選擇將註冊證券包括在此類Piggyback註冊中)書面通知公司和買方以及其他投資者或持有任何其他普通股的持有者(如果任何註冊證券持有人已選擇將註冊證券包括在此類Piggyback註冊中)，則根據其合理和善意的意見，普通股的股票數量建議包括在此類註冊中，包括擬納入該包銷發行的所有可登記證券和所有其他普通股，超過可在該發行中出售的普通股數量和/或擬納入該等登記或註銷的普通股數量將對擬在該發行中出售的普通股每股價格產生不利影響的，公司應在該登記中包括 (I)本公司擬出售的普通股股份；(Ii)買方將包括在其中的可登記證券；及(Iii)該等其他持有人根據該等其他持有人所持有的可登記證券數目按比例計算。 |
| (Iv) | 第5節的規定適用於任何Piggyback註冊。 |
第7節。 其他。
| (a) | 通知。本合同項下要求或允許的任何通知或其他通信應以書面形式 ，並應按照《採購協議》的規定發出。 |
| (b) | 律師費。如果任何一方提起任何訴訟或訴訟以強制執行本協議，或確保免除本協議項下的任何違約或違反本協議，勝訴方應向敗訴方償還與此相關的所有費用，包括合理的律師費，以及執行或收集其中作出的任何判決的費用。 |
| (c) | 修正案；沒有豁免。 |
| (i) | 除本協議明確規定外，本協議可被修改、修改、取代、終止或取消，且本協議的任何條款、契諾、陳述、保證或條件只能通過雙方簽署的書面文件 予以放棄。 |
| (Ii) | 本協議規定的每項權利和補救措施應與本協議授予的所有其他權利和補救措施相累積，無論是在法律上還是在衡平法上，並可在此同時強制執行，任何一方對另一方履行任何 義務的放棄不得解釋為放棄當時、之前或之後發生的或存在的相同或任何其他違約。 |
| (Iii) | 任何一方未能或延遲行使本協議項下的任何權利或救濟，或要求滿足本協議的任何條件或任何交易過程，均不構成放棄或阻止任何一方執行任何權利或補救 或要求滿足任何條件。向一方發出的通知或要求不放棄或以其他方式影響該方的任何義務，或損害發出通知或提出要求的一方的任何權利，包括在沒有通知或要求的情況下采取任何行動的權利。因違反本協議而行使任何權利或採取任何補救措施，均不妨礙因違反本協議而行使任何其他適當的權利或補救措施，或隨後就任何其他違反規定行使任何權利或補救措施。 |
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| (d) | 費用。除非本協議另有規定或規定，否則與本協議有關的所有成本和支出應由產生此類成本或支出的一方支付。 |
| (e) | 繼承人和受讓人；利益。本協議對雙方及其各自的繼承人和允許的受讓人具有約束力，並符合其利益。任何一方均無權全部或部分轉讓或轉讓本協議或其在本協議項下的任何權利或義務，包括但不限於根據本協議或本協議設想的交易提出任何損害賠償要求的任何權利，或就違反或違約本協議或因據稱轉讓或適當履行本協議項下的義務而產生的任何權利提出任何索賠。未經另一方事先書面同意，任何此類違反本協議規定的轉讓均為無效 ，沒有任何效力或效果。 |
| (f) | 第三方受益人。本合同嚴格由雙方簽訂，除本合同另有明確規定外，董事、高管、股東、員工、代理人、獨立承包人或任何其他人不得被視為本協議的第三方受益人。 |
| (g) | 治國理政。所有與本協議的解釋、有效性、執行和解釋有關的問題均應根據本協議的規定作出決定。 |
| (h) | 具體表現。雙方同意，如果本協議的任何條款沒有按照本協議的條款履行，將會發生不可彌補的損害，各方有權在法律或衡平法上尋求任何其他補救措施以外的具體履行本協議條款的權利。 |
| (i) | 整個協議。本協議和其他交易文件構成雙方之間關於本協議及其標的的完整協議，並取代雙方之前就本協議及其標的達成的所有口頭和書面協議和諒解。 |
| (j) | 沒有不一致的協議。截至 ，本公司或其任何附屬公司均未簽訂生效日期，本公司或其任何附屬公司也不得在本協議日期或之後就其證券訂立任何協議，而該協議會損害本協議授予買方的權利或 與本協議的規定相沖突。 |
| (k) | 累積補救。此處提供的補救措施是累積性的，並不排除法律規定的任何其他補救措施。 |
| (l) | 可分割性。如果本協議的任何條款、條款、契諾或限制被具有司法管轄權的法院裁定為無效、非法、無效或不可執行，則本協議的其餘條款、條款、契諾和限制應保持完全有效，不得以任何方式受到影響、損害或無效，雙方應 使用其商業上合理的努力尋找並採用替代方法，以達到與該條款、條款、契諾或限制所預期的相同或基本上相同的結果。特此規定並聲明，各方的意圖是，他們將執行剩餘的條款、條款、契諾和限制，但不包括以下任何可能被宣佈為無效、非法、無效或不可執行的條款、條款、契諾和限制。 |
| (m) | 標題。本協議中的標題僅為方便起見，不構成本協議的一部分，不得被視為限制或影響本協議的任何規定。 |
| (n) | 對應者。本協議可簽署多份副本，每份副本應視為正本，所有副本加在一起應僅為一份文書。副本可通過傳真、電子郵件(包括pdf或符合美國聯邦2000年ESIGN法案的任何電子簽名，例如www.docusign.com)或其他傳輸方式交付，任何如此交付的副本應被視為已妥為且有效地交付，並且對所有目的均有效 |
(簽名 顯示在以下頁面上)
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茲證明，雙方已促使本 協議自生效日期起正式生效。
| Grom Social Enterprises，Inc. | ||
| 發信人： | ||
| 姓名： | 達倫·馬克斯 | |
| 標題： | 首席執行官 | |
| 生成Alpha有限公司。 | ||
| 發信人： | ||
| 姓名： | 瑪麗亞·卡諾 | |
| 標題： | 董事 | |
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