附件10.1
SoundHound AI，Inc. 普通股股份
(par每股價值0.0001美元）
受控股權發行
銷售協議
2023年7月24日
康託·菲茨傑拉德公司
公園大道499號
紐約州紐約市，郵編：10022
D. a.戴維森公司
757第三大道，套房1902，
紐約州紐約市，郵編：10017
H.C.温賴特公司
430 Park Ave，
紐約州紐約市，郵編：10022
女士們、先生們：
SoundHound人工智能公司，特拉華州 公司（以下簡稱"公司"）確認其與Cantor Fitzgerald & Co.的協議（以下簡稱"協議"），D. a.戴維森公司，和H.C. Wainwright & Co.（統稱為"代理人"， 各自為"代理人"），具體如下：
| 1. | 發行及出售股份。公司同意，在本 協議有效期內，根據本協議規定的條款和條件，不時通過代理商發行和銷售公司普通股股票 （"配售股"），每股面值0.0001美元（"普通股"）； 提供, 然而，, that in no event shall the Company issue or sell through the Agents such number or dollar amount of Placement Shares that would (a) exceed the number or dollar amount of shares of Common Stock registered on the effective Registration Statement (defined below) pursuant to which the offering is being made, (b) exceed the number of authorized but unissued shares of Common Stock (less shares of Common Stock issuable upon exercise, conversion or exchange of any outstanding securities of the Company or otherwise reserved from the Company’s authorized capital stock), (c) exceed the number or dollar amount of shares of Common Stock permitted to be sold under Form S-3 (including General Instruction I.B.6 thereof, if applicable) or (d) exceed the number or dollar amount of shares of Common Stock for which the Company has filed a Prospectus Supplement (defined below) (the lesser of (a), (b), (c) and (d), the “Maximum Amount”). Notwithstanding anything to the contrary contained herein, the parties hereto agree that compliance with the limitations set forth in this Section 1 on the amount of Placement Shares issued and sold under this Agreement shall be the sole responsibility of the Company and that the Agents shall have no obligation in connection with such compliance. The offer and sale of Placement Shares through the Agents will be effected pursuant to the Registration Statement (as defined below) to be filed by the Company, and which will be declared effective by the Securities and Exchange Commission (the “Commission”), although nothing in this Agreement shall be construed as requiring the Company to use the Registration Statement to issue Common Stock. |
The Company will file, in accordance with the provisions of the Securities Act of 1933, as amended (the “Securities Act”) and the rules and regulations thereunder (the “Securities Act Regulations”), with the Commission a registration statement on Form S-3, including a base prospectus, relating to certain securities, including the Placement Shares to be issued from time to time by the Company, and which incorporates by reference documents that the Company has filed or will file in accordance with the provisions of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations thereunder. The Company has prepared a prospectus or a prospectus supplement to the base prospectus included as part of the registration statement, which prospectus or prospectus supplement relates to the Placement Shares to be issued from time to time by the Company (the “Prospectus Supplement”). The Company will furnish to the Agents, for use by the Agents, copies of the prospectus included as part of such registration statement, as supplemented, by the Prospectus Supplement, relating to the Placement Shares to be issued from time to time by the Company. The Company may file one or more additional registration statements from time to time that will contain a base prospectus and related prospectus or prospectus supplement, if applicable (which shall be a Prospectus Supplement), with respect to the Placement Shares. Except where the context otherwise requires, such registration statement(s), including all documents filed as part thereof or incorporated by reference therein, and including any information contained in a Prospectus (as defined below) subsequently filed with the Commission pursuant to Rule 424(b) under the Securities Act Regulations or deemed to be a part of such registration statement pursuant to Rule 430B of the Securities Act Regulations, is herein called the “Registration Statement.” The base prospectus or base prospectuses, including all documents incorporated therein by reference, included in the Registration Statement, as it may be supplemented, if necessary, by the Prospectus Supplement, in the form in which such prospectus or prospectuses and/or Prospectus Supplement have most recently been filed by the Company with the Commission pursuant to Rule 424(b) under the Securities Act Regulations, together with the then issued Issuer Free Writing Prospectus(es), if any, is herein called the “Prospectus.”
本文中對註冊説明書、招股説明書附錄、招股説明書或任何發行者免費編寫的招股説明書(定義見下文)的任何提及，應視為 指幷包括以引用方式併入其中的文件(如有)， 除文意另有所指外，包括作為證物提交給該等公司文件的文件(如有)。本文中有關注冊説明書、招股章程副刊、招股章程或任何發行者免費撰寫招股章程的“修訂”、“修訂”或“補充”一詞的任何提法，應視為指於註冊聲明或招股説明書、招股章程或該等發行者免費撰寫招股章程(視屬何情況而定)的最近生效日期或之後根據交易所法令提交的任何文件，並以參考方式併入其中。就本協議而言，所有提及註冊聲明、招股説明書或其任何修訂或補充的內容，應被視為包括根據其電子數據收集分析和檢索系統提交給委員會的最新副本，或在適用的情況下，包括委員會使用的交互數據電子應用系統(統稱為“EDGAR”)。
| 2. | Placements. Each time that the Company wishes, in its sole discretion, to issue and sell Placement Shares hereunder (each, a “Placement”), it will notify Cantor Fitzgerald & Co. (the “Designated Agent”) by email notice (if receipt of such correspondence is actually acknowledged by any of the individuals to whom the notice is sent, other than via auto reply, or by other method mutually agreed to in writing by the parties) of the number of Placement Shares to be issued, the time period during which sales are requested to be made, any limitation on the number of Placement Shares that may be sold in any one day and any minimum price below which sales may not be made (a “Placement Notice”), the form of which is attached hereto as Schedule 1. The Placement Notice shall originate from any of the individuals from the Company set forth on Schedule 3 (with a copy to each of the other individuals from the Company listed on such schedule), and shall be addressed to each of the individuals from the Designated Agent set forth on Schedule 3, as such Schedule 3 may be amended from time to time. The Placement Notice shall be effective immediately upon receipt by the Agents unless and until (i) the Designated Agent declines to accept the terms contained therein for any reason, in its sole discretion, (ii) the entire amount of the Placement Shares, either the Maximum Amount under this Agreement, under the relevant Prospectus Supplement or pursuant to a Placement Notice thereunder have been sold, (iii) the Company suspends or terminates the Placement Notice, which suspension or termination rights may be exercised by the Company in its sole discretion, or (iv) this Agreement has been terminated under the provisions of Section 12. The amount of any discount, commission or other compensation to be paid by the Company to the Designated Agent in connection with the sale of the Placement Shares shall be calculated in accordance with the terms set forth in Schedule 2. It is expressly acknowledged and agreed that neither the Company nor the Designated Agent will have any obligation whatsoever with respect to a Placement or any Placement Shares unless and until the Company delivers a Placement Notice to the Designated Agent and the Designated Agent does not decline such Placement Notice pursuant to the terms set forth above, and then only upon the terms specified therein and herein. In the event of a conflict between the terms of this Agreement and the terms of a Placement Notice, the terms of the Placement Notice will control. |
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| 3. | Sale of Placement Shares by the Designated Agent. Subject to the provisions of Section 5(a), the Designated Agent, for the period specified in the Placement Notice, will use its commercially reasonable efforts consistent with its normal trading and sales practices and applicable state and federal laws, rules and regulations and the rules of The Nasdaq Stock Market LLC (the “Exchange”), to sell the Placement Shares up to the amount specified in, and otherwise in accordance with the terms of, such Placement Notice. The Designated Agent will provide written confirmation to the Company no later than the opening of the Trading Day (as defined below) immediately following the Trading Day on which it has made sales of Placement Shares hereunder setting forth the number of Placement Shares sold on such day, the compensation payable by the Company to the Designated Agent pursuant to Section 2 with respect to such sales, and the Net Proceeds (as defined below) payable to the Company, with an itemization of the deductions made by the Designated Agent (as set forth in Section 5(b)) from the gross proceeds that it receives from such sales. Subject to the terms of the Placement Notice, the Designated Agent may sell Placement Shares by any method permitted by law deemed to be an “at the market offering” as defined in Rule 415(a)(4) of the Securities Act Regulations, including sales made directly on or through the Exchange or any other existing trading market for the Common Stock, in negotiated transactions at market prices prevailing at the time of sale or at prices related to such prevailing market prices and/or any other method permitted by law. Notwithstanding the foregoing, to the Designated Agent reserves all rights to engage in bona fide transactions executed by the Agents on behalf and at the direction of any of their third party customer accounts. In the event the Company engages the Agents for a sale of Common Stock in a Placement that would constitute a “distribution,” within the meaning of Rule 100 of Regulation M under the Exchange Act or a “block” within the meaning of Rule 10b-18(a)(5) under the Exchange Act, the Company will provide the Agents, at the Agent’s reasonable request and upon reasonable advance notice to the Company, on or prior to the Settlement Date (as defined below) the opinions of counsel, accountants’ letters and officers’ certificates pursuant to Section 7 hereof, each dated the Settlement Date, and such other documents and information as the Agents shall reasonably request, and the Company and the Agents will agree to compensation that is customary for the Agents with respect to such transaction. “Trading Day” means any day on which Common Stock is traded on the Exchange. |
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| 4. | 暫停銷售。本公司或指定代理人在書面通知另一方後，（包括通過電子郵件與附件3所列另一方的每個個人通信，如果收到此類通信的 實際上得到了收到通知的任何個人的確認，通過自動回覆）或電話 （立即通過可核實的傳真傳輸或電子郵件通信確認給附件3所述另一方的每個個人 ），暫停任何配售股份的銷售（“暫停”）； 提供, 然而，， 該暫停不得影響或損害任何一方在收到該通知之前就本協議項下出售的任何配售股份的義務。在暫停生效期間，應放棄第7（l）、7（m）和7（n）節下關於向代理人交付證書、意見或安慰信的任何義務。各方同意 ，除非向本協議附表3中所列的個人發出 ，否則本第4條下的此類通知不對任何其他方有效，因為該附表可能不時修訂。 |
| 5. | 銷售和交付給指定代理人；結算。 |
| (a) | 出售配售股份. On the basis of the representations and warranties herein contained and subject to the terms and conditions herein set forth, upon the Designated Agent’s acceptance of the terms of a Placement Notice, and unless the sale of the Placement Shares described therein has been declined, suspended, or otherwise terminated in accordance with the terms of this Agreement, the Designated Agent, for the period specified in the Placement Notice, will use its commercially reasonable efforts consistent with its normal trading and sales practices and applicable law, regulations and the rules of the Exchange to sell such Placement Shares up to the amount specified in, and otherwise in accordance with the terms of, such Placement Notice. The Company acknowledges and agrees that (i) there can be no assurance that the Designated Agent will be successful in selling Placement Shares, (ii) the Designated Agent will incur no liability or obligation to the Company or any other person or entity if it does not sell Placement Shares for any reason other than a failure by the Designated Agent to use its commercially reasonable efforts consistent with its normal trading and sales practices and applicable law, regulations and the rules of the Exchange to sell such Placement Shares as required under this Agreement and (iii) the Designated Agent shall be under no obligation to purchase Placement Shares on a principal basis pursuant to this Agreement, except as otherwise agreed by the Designated Agent and the Company. |
| (b) | 配售股份的交收. 除非適用的配售通知中另有規定，配售股份的銷售結算將在配售股份出售日期後的第二個（第二個）交易日（或常規交易的行業慣例 較早日期）進行（每個"結算日"）。指定 代理人應不遲於其在本協議項下出售配售股份的交易日之後的交易日開盤前通知公司每次配售股份的出售。在結算日 收到配售股份後交付給公司的所得款項金額（“淨收益”）將等於指定代理收到的總銷售價格，扣除（i）指定代理商根據本協議第2條應付的此類銷售的佣金、折扣或其他補償 ，及（ii）任何政府當局 就該等銷售徵收的任何交易費用。 |
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| (c) | Delivery of Placement Shares. On or before each Settlement Date, the Company will, or will cause its transfer agent to, electronically transfer the Placement Shares being sold by crediting the Designated Agent’s or its designee’s account (provided the Designated Agent shall have given the Company written notice of such designee at least one Trading Day prior to the Settlement Date) at The Depository Trust Company through its Deposit and Withdrawal at Custodian System or by such other means of delivery as may be mutually agreed upon by the parties hereto which in all cases shall be freely tradable, transferable, registered shares in good deliverable form. On each Settlement Date, the Designated Agent will deliver the related Net Proceeds in same day funds to an account designated by the Company on, or prior to, the Settlement Date. The Company agrees that if the Company, or its transfer agent (if applicable), defaults in its obligation to deliver Placement Shares on a Settlement Date through no fault of the Agent, then the Company agrees that in addition to and in no way limiting the rights and obligations set forth in Section 10(a) hereto, it will (i) hold the Designated Agent harmless against any loss, claim, damage, or reasonable, documented expense (including reasonable and documented legal fees and expenses), as incurred, arising out of or in connection with such default by the Company or its transfer agent (if applicable) and (ii) pay to the Designated Agent (without duplication) any commission, discount, or other compensation to which it would otherwise have been entitled absent such default. |
| (d) | 面額；登記. 配售股份的證書(如有)須在結算日前至少兩個完整營業日(定義見 )前，以指定代理人以書面要求的面額及名稱登記。配售股份證書(如有)將由本公司於交收日前 營業日正午(紐約時間)前於紐約市由指定代理人提供以供審核及包裝。 |
| (e) | 對產品規模的限制. 在任何情況下，本公司不得安排或要求 任何配售股份的要約或出售，而在該等配售股份的銷售生效後，根據本協議出售的配售股份的銷售總收益 將超過(A)連同根據本協議出售的所有配售股份在內的最高金額及(B)本公司董事會、獲正式授權的委員會或獲正式授權的執行委員會不時授權並以書面通知代理人的發行及出售金額。在任何情況下，本公司均不得根據本協議安排或要求以低於本公司董事會、經正式授權的委員會或經正式授權的執行委員會不時批准的最低價格的價格要約或出售任何配售股份。此外，在任何情況下，本公司不得致使或允許 根據本協議出售的配售股份的總髮售金額超過最高金額。 |
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| 6. | 公司的陳述和保證。本公司聲明、保證並與每個代理商 約定，自本協議之日起和每個適用時間(定義如下)之日起，除非該聲明、保修或協議規定了不同的日期或時間： |
| (a) | Registration Statement and Prospectus. The Company and the transactions contemplated by this Agreement meet the requirements for and comply with the applicable conditions set forth in Form S-3 (including General Instructions I.A and I.B) under the Securities Act. The Registration Statement will be filed with the Commission and will be declared effective by the Commission under the Securities Act prior to the issuance of any Placement Notices by the Company. The Prospectus Supplement will name the Agents, each as the agent in the section entitled “Plan of Distribution.” The Company has not received, and has no notice of, any order of the Commission preventing or suspending the use of the Registration Statement, or threatening or instituting proceedings for such purposes or pursuant to Section 8A under the Securities Act. The Registration Statement and the offer and sale of Placement Shares as contemplated hereby meet the requirements of Rule 415 under the Securities Act and comply in all material respects with said Rule. Any statutes, regulations, contracts or other documents that are required to be described in the Registration Statement or the Prospectus or to be filed as exhibits to the Registration Statement have been so described or filed. Copies of the Registration Statement, the Prospectus, and any such amendments or supplements and all documents incorporated by reference therein that were filed with the Commission on or prior to the date of this Agreement have been delivered, or are available through EDGAR, to Agents and their counsel. The Company has not distributed and, prior to the later to occur of each Settlement Date and completion of the distribution of the Placement Shares, will not distribute any offering material in connection with the offering or sale of the Placement Shares other than the Registration Statement and the Prospectus and any Issuer Free Writing Prospectus (as defined below) to which the Agents have consented. The Common Stock is registered pursuant to Section 12(b) of the Exchange Act and is currently listed on the Exchange under the trading symbol “SOUN.” The Company has taken no action designed to, or likely to have the effect of, terminating the registration of the Common Stock under the Exchange Act, delisting the Common Stock from the Exchange, nor has the Company received any notification that the Commission or the Exchange is contemplating terminating such registration or listing. To the Company’s knowledge, it is in compliance with all applicable listing requirements of the Exchange. |
| (b) | 符合EDGAR文件。根據本協議，交付給代理人用於 配售股份銷售的招股説明書將與 通過EDGAR傳輸給證監會備案的招股説明書版本相同，但S—T法規允許的範圍除外。 |
| (c) | 組織，良好的地位和權力。本公司及其子公司均為正式組織， 作為一家公司有效存在，並根據各自組織管轄區的法律具有良好的信譽。本公司及其 各子公司均已獲得正式許可或合格的外國公司（或其他實體，如適用）進行業務交易 ，且根據其他司法管轄區的法律具有良好信譽，在這些司法管轄區中，他們各自的財產所有權或租賃或他們各自的業務的開展 需要此類許可證或資格，並擁有擁有或持有 其各自財產和開展其各自業務所需的所有實體權力和授權，如《註冊聲明》、《招股説明書》和《發行人自由寫作招股説明書》中所述，除非不具備上述資格或信譽良好或沒有上述權力或授權，單獨或合計不會對資產、業務、運營產生重大不利影響，或合理預期會對資產、業務、運營產生重大不利影響或影響 ，收益、財產、狀況（財務或其他方面）、股東權益或經營結果 作為一個整體，或妨礙或實質性幹擾 此處預期交易的完成（“重大不利影響”）。 |
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| (d) | 子公司附件4中列出的子公司（統稱為“子公司”） 是公司唯一的重要子公司（如歐盟委員會頒佈的法規S—X第1—02條所定義）。 除《註冊聲明》、《招股説明書》和《發行人自由撰稿協議》（如有）中規定的情況外，本公司直接 或間接擁有子公司的全部股權，不受任何留置權、押記、擔保權益、免責、優先購買權或其他限制，且子公司的全部股權均已有效發行並已全額支付，不可評估 且不受優先購買權和類似權利。目前沒有任何子公司被禁止直接或間接向 公司支付任何股息、對該子公司的股本進行任何其他分配、向公司償還 公司給予該子公司的任何貸款或墊款或將該子公司的任何財產或資產轉讓給公司或本公司的任何其他 子公司。 |
| (e) | 授權，執行。公司擁有必要的公司權力和授權，以簽訂和履行協議項下的義務，並根據本協議條款發行普通股。除本協議項下向代理人發行和銷售普通股 所需的公司董事會或其委員會的批准外，本協議的簽署、交付和履行以及本協議的 交易的完成已得到所有必要的公司行動的正式和有效授權，且不需要公司、董事會或股東的進一步同意或授權 。本協議已由公司正式簽署並交付 ，並構成公司的有效且具有約束力的義務，可根據其條款對公司強制執行，除非 此類可執行性可能受到適用的破產、無力償債、重組、暫停、清算、監管、接管 或與以下相關或一般影響執行的類似法律的限制，債權人權利和救濟或其他一般適用的衡平原則 （包括衡平救濟的任何限制），以及（ii）本協議 第10條的賠償和分擔條款，可能受聯邦或州證券法和公共政策考慮因素的限制。 |
| (f) | Capitalization. The authorized capital stock of the Company and the shares thereof issued and outstanding were as set forth in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, as of the dates reflected therein. All of the outstanding shares of Common Stock have been duly authorized and validly issued and are fully paid and non-assessable. Except as set forth in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, and this Agreement, there are no agreements or arrangements under which the Company is obligated to register the sale of any securities under the Securities Act. Except as set forth in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, (i) no shares of Common Stock are entitled to preemptive rights and (ii) there are no outstanding debt securities and no contracts, commitments, understandings, or arrangements by which the Company is or may become bound to issue additional shares of the capital stock of the Company or options, warrants, scrip, rights to subscribe to, calls or commitments of any character whatsoever relating to, or securities or rights convertible into or exchangeable for, any shares of capital stock of the Company other than those issued or granted in the ordinary course of business pursuant to the Company’s equity incentive and/or compensatory plans or arrangements. Except for customary transfer restrictions contained in agreements entered into by the Company to sell restricted securities or as set forth in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, the Company is not a party to, and it has no knowledge of, any agreement restricting the voting or transfer of any shares of the capital stock of the Company. Except as set forth in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, there are no securities or instruments containing anti-dilution or similar provisions that will be triggered by this Agreement or the consummation of the transactions described herein or therein. The Company has filed with the Commission true and correct copies of the Company’s Certificate of Incorporation as in effect on the closing date (the “Charter”), and the Company’s Amended and Restated By-laws as in effect on the closing date (the “Bylaws”). |
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| (g) | 發行普通股。配售股份 根據本公司董事會或其正式授權的委員會， 或正式授權的執行委員會批准的條款發行和交付，並按照本協議規定支付，將有效發行和尚未發行，全額 已支付且不受任何留置權、收費、税款、擔保權益、擔保權、擔保權、優先購買權，優先購買 或類似的權利以及與其發行有關的其他義務。 |
| (h) | 發行人自由寫作招股説明書中無錯誤陳述或遺漏。每份發行人自由撰寫招股説明書， 截至其發行日期和每個適用時間（定義見下文第23節），沒有、沒有、也不會包含任何與註冊聲明書或招股説明書中包含的信息衝突、衝突或將衝突的信息，包括 被視為其一部分但未被取代或修改的任何合併文件。上述句子不適用 任何發行人自由寫作招股説明書中的陳述或遺漏，其依據是並符合代理人向公司提供的書面信息 ，專門用於招股説明書。 |
| (i) | No Conflicts. The execution, delivery and performance by the Company of the Agreement and the consummation by the Company of the transactions contemplated hereby does not and shall not (i) result in a violation of any provision of the Company’s Charter or Bylaws, (ii) conflict with or constitute a default (or an event which, with notice or lapse of time or both, would become a default) under, or give rise to any rights of termination, amendment, acceleration or cancellation of, any material agreement, mortgage, deed of trust, indenture, note, bond, license, lease agreement, instrument or obligation to which the Company or any of its Subsidiaries is a party or is bound, (iii) result in a violation of any federal, state, local or foreign statute, rule, regulation, order, judgment or decree applicable to the Company or any of its Subsidiaries (including federal and state securities laws and regulations and the rules and regulations of the Exchange), except, in the case of clauses (ii) and (iii), for such conflicts, defaults, terminations, amendments, acceleration, cancellations, liens, charges, encumbrances and violations as would not, individually or in the aggregate, reasonably be expected to result in a Material Adverse Effect or that have been waived. Except as specifically contemplated by this Agreement and as required under the Securities Act, any applicable state securities laws and applicable rules of the Exchange, the Company is not required under any federal, state or local rule or regulation to obtain any consent, authorization or order of, or make any filing or registration with, any court or governmental agency (including, without limitation, the Exchange) in order for it to execute, deliver or perform any of its obligations under the Agreement, or to issue the Common Stock to the Agents in accordance with the terms hereof and thereof (other than such consents, authorizations, orders, filings or registrations as have been obtained or made prior to the date hereof provided, however, that, for purposes of the representation made in this sentence, the Company is assuming and relying upon the accuracy of the representations and warranties of the Agents, if any, in this Agreement and the compliance by it with its covenants and agreements contained in this Agreement. |
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| (j) | 無錯報或遺漏；財務報表；披露控制和程序；財務報告的內部控制；會計師。 |
| (i) | The Registration Statement, when it became or becomes effective, and the Prospectus, and any amendment or supplement thereto, on the date of such Prospectus or amendment or supplement, conformed and will conform in all material respects with the requirements of the Securities Act. At each Settlement Date, the Registration Statement and the Prospectus, as of such date, will conform in all material respects with the requirements of the Securities Act. The Registration Statement, when it became or becomes effective, did not, and will not, 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 not misleading. The Prospectus and any amendment and supplement thereto, on the date thereof and at each Applicable Time (defined below), did not or will not include an untrue statement of a material fact or omit to state a material fact necessary to make the statements therein, in light of the circumstances under which they were made, not misleading. The documents incorporated by reference in the Prospectus or any Prospectus Supplement did not, and any further documents filed and incorporated by reference therein will not, when filed with the Commission, contain an untrue statement of a material fact or omit to state a material fact required to be stated in such document or necessary to make the statements in such document, in light of the circumstances under which they were made, not misleading. The foregoing shall not apply to statements in, or omissions from, any such document made in reliance upon, and in conformity with, information furnished to the Company by the Agents specifically for use in the preparation thereof. |
| (Ii) | The consolidated financial statements of the Company included or incorporated by reference in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, together with the related notes and schedules, present fairly, in all material respects, the consolidated financial position of the Company and its then consolidated subsidiaries as of the dates indicated, and the consolidated results of operations, cash flows and changes in stockholders’ equity of the Company and its then consolidated subsidiaries for the periods specified (subject, in the case of unaudited statements, to normal year end audit adjustments which will not be material, either individually or in the aggregate) and have been prepared in compliance with the published requirements of the Securities Act and the Exchange Act, as applicable, and in conformity with generally accepted accounting principles in the United States (“GAAP”) applied on a consistent basis (except (i) for such adjustments to accounting standards and practices as are noted therein and (ii) in the case of unaudited interim financial statements, to the extent that they may not include footnotes or may be condensed or summary statements) during the periods involved. The summary consolidated financial data included or incorporated by reference in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, present fairly the information shown therein and have been compiled on a basis consistent with that of the financial statements included or incorporated by reference in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, as of and at the dates indicated. The pro forma condensed combined financial statements and the pro forma combined financial statements and any other pro forma financial statements or data included or incorporated by reference in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, comply with the requirements of Regulation S-X of the Securities Act, including, without limitation, Article 11 thereof, and the assumptions used in the preparation of such pro forma financial statements and data are reasonable, the pro forma adjustments used therein are appropriate to give effect to the circumstances referred to therein and the pro forma adjustments have been properly applied to the historical amounts in the compilation of those statements and data. There are no financial statements (historical or pro forma) that are required to be included or incorporated by reference in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, that are not included or incorporated by reference as required. The Company and the Subsidiaries do not have any material liabilities or obligations, direct or contingent (including any off-balance sheet obligations or any “variable interest entities” as that term is used in Accounting Standards Codification Paragraph 810-10-25-20), not described in Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, which are required to be described in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any. All disclosures contained or incorporated by reference in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, regarding “non-GAAP financial measures” (as such term is defined by the rules and regulations of the Commission), if any, comply in all material respects with Regulation G of the Exchange Act and Item 10 of Regulation S-K under the Securities Act, to the extent applicable. The interactive data in eXtensible Business Reporting Language included in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, fairly presents the information called for in all material respects and has been prepared in accordance with the Commission’s rules and guidelines applicable thereto. |
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| (Iii) | Armanino LLP，（“Armanino”），其關於公司合併財務報表的報告 已提交給委員會，作為公司最近提交給委員會的10—K表格年度報告的一部分 ，並通過引用納入註冊聲明和招股説明書中， 是《證券法》和上市公司會計監督委員會 （美國）定義的獨立公共會計師事務所。據本公司所知，Armanino沒有違反2002年《薩班斯—奧克斯利法案》（“薩班斯—奧克斯利法案”）對本公司的審計師獨立性要求。 |
| (Iv) | 本公司或本公司任何董事或 高級管理人員（以其身份）在所有重大方面均未遵守《薩班斯—奧克斯利法案》的任何適用條款以及 根據該法案頒佈的規則和條例。公司的各主要執行官和主要財務官 （或本公司各前任主要執行官和本公司各前任主要財務官，如適用） 已就所有報告、附表、表格，聲明 和其他文件要求其提交或提供給委員會。就前一句而言，“首席執行官”和“首席財務官”應具有《薩班斯—奧克斯利法案》中給予這些術語的含義。 |
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| (k) | No Material Adverse Effect; Absence of Certain Changes. Since the date of the most recent financial statements of the Company included or incorporated by reference in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, there has not been (i) any Material Adverse Effect or the occurrence of any development that the Company reasonably expects will result in a Material Adverse Effect, (ii) any transaction which is material to the Company and the Subsidiaries taken as a whole, (iii) any obligation or liability, direct or contingent (including any off-balance sheet obligations), incurred by the Company or any Subsidiary, which is material to the Company and the Subsidiaries taken as a whole, (iv) any material change in the capital stock (other than (A) the grant of additional options under the Company’s existing stock option plans, (B) changes in the number of outstanding Common Stock of the Company due to the issuance of shares upon the exercise or conversion of securities exercisable for, or convertible into, Common Stock outstanding on the date hereof, (C) as a result of the issuance of Placement Shares, (D) any repurchases of capital stock of the Company, or (E) as described in the Prospectus or an Incorporated Document, a proxy statement filed on Schedule 14A or a Registration Statement on Form S-4, or (F) otherwise publicly announced) or outstanding long-term indebtedness of the Company or any of its Subsidiaries or (v) any dividend or distribution of any kind declared, paid or made on the capital stock of the Company or any Subsidiary, other than in each case above in the ordinary course of business or as otherwise disclosed in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any (including any document deemed incorporated by reference therein); and during such time, the Company and its Subsidiaries have conducted their respective businesses in the ordinary course of business consistent with past practice in all material respects. |
Market Capitalization. At the time the Registration Statement will be originally declared effective, and at the time the Company’s most recent Annual Report on Form 10-K was filed with the Commission, the Company met or will meet the then applicable requirements for the use of Form S-3 under the Securities Act, including, but not limited to, General Instruction I.B.1 of Form S-3. The aggregate market value of the outstanding voting and non-voting common equity (as defined in Securities Act Rule 405) of the Company held by persons other than affiliates of the Company (pursuant to Securities Act Rule 144, those that directly, or indirectly through one or more intermediaries, control, or are controlled by, or are under common control with, the Company) (the “Non-Affiliate Shares”), was equal to or greater than $75.0 million (calculated by multiplying (x) the highest price at which the common equity of the Company closed on the Exchange within 60 days of the date of this Agreement times (y) the number of Non-Affiliate Shares). The Company is not a shell company (as defined in Rule 405 under the Securities Act) and has not been a shell company for at least 12 calendar months previously and if it has been a shell company at any time previously, has filed current Form 10 information (as defined in Instruction I.B.6 of Form S-3) with the Commission at least 12 calendar months previously reflecting its status as an entity that is not a shell company.
| (l) | No Material Defaults. Neither the Company nor any of its Subsidiaries has defaulted on any installment on indebtedness for borrowed money or on any rental on one or more long-term leases, which defaults, individually or in the aggregate, would have a Material Adverse Effect. The Company has not filed a report pursuant to Section 13(a) or 15(d) of the Exchange Act indicating that it (i) has failed to pay any dividend or sinking fund installment on preferred shares or (ii) has defaulted on any installment on indebtedness for borrowed money or on any rental on one or more long-term leases, which defaults, individually or in the aggregate, would have a Material Adverse Effect. Neither the Company nor any of its Subsidiaries is (i) in violation of its Charter or Bylaws or similar organizational documents; (ii) in default, and no event has occurred that, with notice or lapse of time or both, would constitute such a default, in the due performance or observance of any term, covenant or condition contained in any indenture, mortgage, deed of trust, loan agreement or other similar agreement or instrument to which the Company or any of its Subsidiaries is a party or by which the Company or any of its Subsidiaries is bound or to which any of the property or assets of the Company or any of its Subsidiaries are subject; or (iii) in violation of any law or statute or any judgment, order, rule or regulation of any Governmental Authority, except, in the case of each of clauses (ii) and (iii) above, for any such violation or default that would not, individually or in the aggregate, have a Material Adverse Effect. |
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| (m) | 沒有優惠權。除《註冊説明書》和《招股説明書》中所述外，(I)《證券法》頒佈的S-X法規第1-02條或本章程規定的術語中未有任何人，(I)任何人， 沒有權利以合同或其他方式促使本公司向該人發行或出售任何普通股或本公司任何其他 股本或其他證券的股份，(Ii)任何人均無任何優先購買權、轉售權、優先購買權、 共同銷售權，或購買任何普通股或任何其他股本或公司其他證券的任何其他權利(無論是否依據“毒丸”條款)(行使購買普通股的認購權或認股權證或行使根據本公司股票期權計劃不時授予的認購權除外)， (Iii)任何人無權就要約及出售普通股而擔任本公司的承銷商或財務顧問，及(Iv)任何人無權，要求本公司根據證券法登記任何普通股或本公司任何其他股本或其他證券的股份，或將任何該等股份或其他證券納入登記聲明或擬進行的發售中，不論是否由於提交或生效登記聲明或出售配售股份所致。 |
| (n) | 實質性協議。本公司或其任何子公司均未實質性違反或 在下列任何重大協議條款下違約：(I)本公司最新的10-K年度報告(“Form 10-K”)、(Ii)在Form 10-K之後提交的Form 10-Q季度報告，或(Iii)在Form 10-K(“重大協議”)之後提交的當前的Form 8-K報告。據本公司所知，截至本協議日期，任何重大協議的其他任何一方均不會根據任何重大協議的條款實質性違反或違約。 本公司與第三方之間的每項重大協議均具有完全的效力和效力，是本公司或作為其一方的本公司子公司的有效和具有約束力的義務，據本公司所知，是雙方的有效和具有約束力的義務 。本公司尚未收到任何書面通知，表示材料協議的任何其他訂約方有意因違約、方便或其他原因終止任何材料協議，或不續訂任何材料協議。 |
| (o) | 償付能力。本公司尚未採取任何步驟，目前預計也不會採取任何步驟， 根據美國法典第11章或任何類似的聯邦或州破產法或法律尋求保護以免除債務人，本公司也不知道其債權人打算根據美國法典第11章或任何其他聯邦或州破產法或任何旨在免除債務人的法律提起非自願破產、資不抵債、重組或清算程序或其他救濟程序。該公司在財務上有償付能力，一般有能力在債務到期時償還債務。 |
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| (p) | 不動產；知識產權 |
(I)除《註冊説明書》、《招股説明書》和《發行者自由寫作招股説明書》(如有)所述的 外，本公司及其子公司 對其所擁有的所有重大不動產項目均擁有良好且具有市場價值的所有權，對註冊説明書、招股説明書及發行者自由寫作招股説明書(如有)中所述的所有個人財產擁有良好且有效的所有權， 對其業務具有重要意義，在每一種情況下均免去所有留置權、產權負擔和債權，除下列事項外，(I)不會對本公司及其任何附屬公司使用及擬使用該等財產造成重大幹擾，或(Ii) 不會對個別或整體造成重大不利影響。登記 説明書、招股章程及發行者自由寫作招股章程(如有)所述由本公司及其任何附屬公司租賃的任何不動產或非土地財產均由彼等根據有效、現有及可強制執行的租約持有，但(A)不會對本公司或其任何附屬公司使用或擬使用該等財產造成重大幹擾，或(B)不會合理預期會對本公司或其任何附屬公司作出或建議使用該等財產產生重大不利影響。登記説明書、招股章程及發行者 自由書寫招股章程所述由本公司及其任何附屬公司租賃的任何不動產或非土地財產均由彼等根據有效、現有及可強制執行的租約持有，但(1)不會對本公司或其任何附屬公司對該等財產的使用或擬使用造成重大幹擾，或(2)不會對個別或整體產生重大不利影響，則屬例外。
(Ii)除註冊説明書、招股説明書及發行者免費寫作招股説明書(如有)所披露的 外，本公司及其附屬公司 擁有、擁有、許可或有其他權利使用所有國內外專利、專利申請、商業及服務標記、商號及服務商標註冊、商號、版權、許可證、發明、商業祕密、技術、互聯網域名、專有技術及其他知識產權(統稱為“知識產權”)，以開展其各自的業務，但未能擁有、擁有、許可或以其他方式持有使用此類知識產權的充分權利 不會單獨或整體產生重大不利影響。除註冊説明書、招股説明書和發行者自由寫作招股説明書中披露的情況外，(A)據本公司所知，第三方對本公司及其子公司擁有的任何此類知識產權沒有權利(根據在正常業務過程中達成的協議除外)；(B)據本公司所知，第三方不侵犯任何此類知識產權 ；(C)在任何政府當局面前，沒有其他人對本公司及其子公司提起的未決訴訟、起訴或訴訟，挑戰本公司及其子公司在任何該等知識產權中或對該等知識產權的權利(與知識產權起訴有關的除外)、訴訟、起訴或法律程序；(D)在任何政府當局面前，沒有其他人針對本公司及其子公司的未決訴訟、起訴或訴訟；(E)在公司及其子公司侵犯或以其他方式侵犯他人的任何專利、商標、版權、商業祕密或其他所有權的任何政府當局面前，沒有其他人對公司及其子公司提起的未決訴訟、訴訟或訴訟；和(F)據本公司所知，沒有第三方美國專利或已公佈的美國專利申請包含針對註冊聲明、招股説明書和發行者自由寫作招股説明書中描述的屬於本公司所有的任何專利或專利申請而進行的幹擾程序(定義見35 U.S.C.§ 135)，除非上述(A)-(F)條款中的任何一項單獨或整體不會導致重大不利影響。
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(Iii)本公司及其附屬公司採取商業上合理的努力，對本公司及其附屬公司所擁有的所有重大商業祕密及其他 機密資料，以及本公司或其任何附屬公司對其負有書面保密義務的任何人士所擁有的任何機密資料保密，但不會單獨或整體造成重大不利影響的情況除外。
| (q) | 訴訟懸而未決。除《註冊説明書》、招股説明書和發行者免費 書面招股説明書中披露的情況外，任何政府當局沒有任何訴訟、訴訟或訴訟程序待決，據本公司所知，本公司或其子公司作為當事方的任何政府當局或本公司或其任何子公司的任何財產為標的的任何政府當局的任何審計或調查，均不會單獨或總體產生重大不利影響；並且(I)根據證券法的規定，沒有任何當前或未決的審計或調查、訴訟、訴訟或法律程序需要在註冊説明書、招股説明書和發行者自由寫作招股説明書中描述；和(Ii)根據證券法 規定，沒有任何合同或其他文件必須作為證物提交給註冊説明書、招股説明書和發行者自由寫作招股説明書。 |
| (r) | FINRA很重要。本公司、其法律顧問及其高級職員和董事為代理人遵守有關配售股份的適用FINRA規則而向代理人提供的信息真實、完整、正確並符合FINRA規則。 |
| (s) | 承銷商協議。本公司並不與代理人或承銷商就任何其他“在市場上”或持續的股權交易訂立任何協議。 |
| (t) | 《證券法》規定的地位。在證券法第164條和第433條規定的時間內，本公司是證券法第405條所界定的不合資格的發行人，與配售 股票有關。 |
| (v) | 遵守法律。本公司及其各子公司遵守所有適用的法律、法規和法規，但個別或整體不會產生重大不利影響的情況除外；本公司並無收到任何有關不遵守任何該等法律、法規及法規的通知，而該等法律、法規及法規對本公司或其任何 財產、資產、僱員、業務或營運構成約束或約束，除非有任何不遵守、 違約或違規行為(個別或整體而言)不會合理地預期會導致重大不利影響，或 已獲豁免。 |
| (w) | 一定的費用。本公司或其任何附屬公司均不會就與本協議擬進行的交易有關的任何尋獲人費用、經紀佣金或類似付款承擔任何責任，但根據本協議對代理商可能存在的情況除外。 |
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| (x) | 故意遺漏的。 |
| (y) | 經紀人/經銷商關係。本公司或任何附屬公司均不需要(I)根據交易所法案的規定註冊為“經紀商”或“交易商”，或(Ii)直接或間接通過一個或多箇中介機構控制或控制“會員有聯繫的人”或“會員的有聯繫的人”(在FINRA手冊中所述的涵義內)。 |
| (z) | Disclosure Controls. The Company together with its Subsidiaries maintains systems of internal accounting controls sufficient to provide reasonable assurance that (i) transactions, including receipts and expenditures, are executed in accordance with management’s general or specific authorizations; (ii) transactions are recorded as necessary to permit preparation of financial statements in conformity with GAAP and to maintain asset accountability; (iii) access to assets is permitted only in accordance with management’s general or specific authorization; and (iv) its policies and procedures provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of the Company’s assets, including the comparison of the recorded accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences. The Company’s internal control over financial reporting is effective and the Company is not aware of any material weaknesses in its internal control over financial reporting (other than as set forth in the Prospectus). Since the date of the latest audited financial statements of the Company included in the Prospectus, there has been no change in the Company’s internal control over financial reporting that has materially affected, or is reasonably likely to materially affect, the Company’s internal control over financial reporting (other than as set forth in the Prospectus). The Company has established disclosure controls and procedures (as defined in Exchange Act Rules 13a-15 and 15d-15) for the Company designed to ensure that information required to be disclosed by the Company in the reports that it files or submits under the Exchange Act is recorded, processed, summarized and reported, within the time periods specified in the Commission’s rules and forms, and designed such disclosure controls and procedures to ensure that material information relating to the Company and each of its Subsidiaries is made known to the certifying officers by others within those entities, particularly during the period in which the Company’s Annual Report on Form 10-K or Quarterly Report on Form 10-Q, as the case may be, is being prepared. The Company’s certifying officers have evaluated the effectiveness of the Company’s disclosure controls and procedures as of a date within ninety (90) days prior to the filing date of the Form 10-K for the fiscal year most recently ended (such date, the “Evaluation Date”). The Company presented in its Form 10-K for the fiscal year most recently ended the conclusions of the certifying officers about the effectiveness of the disclosure controls and procedures based on their evaluations as of the Evaluation Date and the disclosure controls and procedures are effective. Since the Evaluation Date, there have been no significant changes in the Company’s internal controls (as such term is defined in Item 307(b) of Regulation S-K under the Securities Act) or, to the Company’s knowledge, in other factors that could significantly affect the Company’s internal controls. |
| (Aa) | 許可證。除《註冊聲明》、《招股説明書》和《發行人自由撰稿書》中披露的情況外，本公司和各子公司均擁有由適當的 州、聯邦或外國監管機構或機構頒發的有效和現行的證書、授權或許可證，以開展各自業務，除非未能獲得 此類證書、授權或許可證，單獨或總體上，合理預期將導致重大不利影響 或已被放棄，且公司或任何子公司均未收到或沒有任何理由相信其 將收到與撤銷或修改或不遵守任何此類證書有關的訴訟通知，授權 或許可，如果是不利的決定、裁決或發現的主題，將單獨或總體上產生重大的不利影響 。 |
| (Bb) | 環境合規。除註冊聲明、招股説明書和發行人 自由撰稿使用（如有）外，本公司及其子公司（i）遵守與保護人類健康和安全、環境 或有害或有毒物質或廢物有關的任何及所有適用的聯邦、州、 當地和外國法律、規則、法規、決定和命令，污染物（統稱為“環境法”）； （ii）已收到並遵守適用環境法 所要求的所有許可證、執照或其他批准，以開展註冊聲明書、招股説明書和發行人自由寫作許可證（如果有）中所述的各自業務；及（iii）未收到任何實際或潛在責任的通知，因為對危險或有毒物質或廢物、污染物或污染物的處置或釋放進行調查或補救，但在上文第（i）、（ii）或（iii）款 中任何一項的情況下，任何此類不遵守或未收到所需的許可證、執照、其他批准或責任，單獨 或總體而言，合理預期會產生重大不利影響。 |
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| (抄送) | No Improper Practices. (i) Neither the Company nor the Subsidiaries, nor any director, or officer of the Company or any Subsidiary nor, to the Company’s knowledge, any employee, agent, affiliate or other person acting on behalf of the Company or any Subsidiary has, in the past five years, made any unlawful contributions to any candidate for any political office (or failed fully to disclose any contribution in violation of applicable law) or made any contribution or other payment to any official of, or candidate for, any federal, state, municipal, or foreign office or other person charged with similar public or quasi-public duty in violation of any applicable law or of the character required to be disclosed in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any; (ii) no relationship, direct or indirect, exists between or among the Company or any Subsidiary or any affiliate of any of them, on the one hand, and the directors, officers and stockholders of the Company or any Subsidiary, on the other hand, that is required by the Securities Act to be described in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, that is not so described; (iii) no relationship, direct or indirect, exists between or among the Company or the Subsidiaries or any affiliate of them, on the one hand, and the directors, officers, or stockholders of the Company or any Subsidiary, on the other hand, that is required by the rules of FINRA to be described in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, that is not so described; (iv) except as described in the Registration Statement, Prospectus, and Issuer Free Writing Prospectuses, if any, there are no material outstanding loans or advances or material guarantees of indebtedness by the Company or any Subsidiary to or for the benefit of any of their respective officers or directors or any of the members of the families of any of them; and (v) the Company has not offered, or caused any placement agent to offer, Common Stock to any person with the intent to influence unlawfully (A) a customer or supplier of the Company or the Subsidiaries to alter the customer’s or supplier’s level or type of business with the Company or any Subsidiary or (B) a trade journalist or publication to write or publish favorable information about the Company or the Subsidiaries or any of their respective products or services, and, (vi) neither the Company nor the Subsidiaries nor any director, or officer of the Company or any Subsidiary nor, to the Company’s knowledge, any employee, agent, affiliate or other person acting on behalf of the Company or any Subsidiary has (A) violated or is in violation of any applicable provision of the U.S. Foreign Corrupt Practices Act of 1977, as amended, or any other applicable anti-bribery or anti-corruption law (collectively, “Anti-Corruption Laws”), (B) promised, offered, provided, attempted to provide or authorized the provision of anything of value, directly or indirectly, to any person for the purpose of obtaining or retaining business, influencing any act or decision of the recipient, or securing any improper advantage; or (C) made any payment of funds of the Company or any Subsidiary or received or retained any funds in violation of any Anti-Corruption Laws. |
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| (Dd) | 反洗錢合規。本公司及其子公司的運營 在任何時候都遵循適用的財務記錄保存和報告要求， 1970年《貨幣和外國交易報告法》（經修訂）、本公司或其子公司所遵守的所有司法管轄區的洗錢法規、 其中的規則和條例以及任何相關或類似規則，由 任何政府機構發佈、管理或執行的法規或指導方針（統稱為“反洗錢法”）； 或在任何政府機構之前，涉及本公司或其任何子公司的反洗錢法的訴訟、訴訟或訴訟程序均未執行， 或據本公司所知，威脅執行。 |
| (EE) | 資產負債表外安排。本公司和/或其任何關聯公司與任何未合併實體（包括但不限於任何結構性融資、特殊目的或有限目的實體）之間沒有交易、安排和其他關係 （每個，“資產負債表外交易”），合理 預計將對公司產生重大影響，其流動性或資本資源的可用性或要求，包括 委員會關於管理層對 財務狀況和經營結果的討論和分析的聲明（版本號：33—8056；34—45321；FR—61），要求在註冊聲明、 招股説明書和發行人自由寫作許可證（如有）中描述，但未按要求描述。 |
| (FF) | 故意遺漏的。 |
| (GG) | 勞動爭議。公司或其任何子公司均不受與任何工會達成的任何集體 談判或類似協議的約束，且據公司所知，公司或其任何子公司的僱員、代表或 代理人均未由任何工會代表。公司及其子公司已遵守 適用於公司及其子公司員工的所有僱傭法，除非不遵守任何僱傭法 不會產生重大不利影響。本公司或其任何子公司的員工不存在勞動幹擾或與之發生爭議，或據本公司所知，不存在可能導致重大不利影響的威脅。 |
| (HH) | 收益的使用。公司向代理人出售普通股所得款項 應由公司按照任何登記聲明（及其任何生效後 修訂）及其任何招股説明書補充件中所載的招股説明書中規定的方式使用。 |
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| (Ii) | 投資公司法地位。公司不是，並且由於完成了本協議所設想的交易 以及將在任何登記聲明中包含的招股説明書中規定的普通股銷售所得的應用，（及其任何生效後修訂）及其任何招股章程補充，則本公司將 不是一家"投資公司"根據1940年《投資公司法》（經修訂）的定義。 |
| (JJ) | 保證金規則。配售股份的發行、銷售和交付以及公司在註冊聲明、招股説明書和發行人自由撰稿協議中所述的 將不會違反美聯儲理事會的T、U或X條例或該理事會的任何其他條例。 |
| (KK) | 税公司及其各子公司已提交了所有聯邦、州、地方和外國 納税申報表，並在本協議日期之前支付了所有税款，但以此類税款 到期且未出於善意提出異議為限，除非未提交或支付不會產生重大不利影響 。除登記聲明、招股説明書和發行人自由撰稿證中另有披露或預期的情況外， （如有），沒有確定任何已或將會單獨 或總體上合理預期會對公司或其任何子公司造成重大不利影響的税務不足。本公司不知道任何聯邦、州或其他 政府税收不足、罰款或評估已經或可能對其提出或威脅，從而合理 產生重大不利影響。 |
| (Ll) | 艾麗莎。除不會產生重大不利影響的不遵守規定外，（i）據公司所知，維持的每個重大員工福利計劃，在1974年《員工退休收入保障法》（“ERISA”）第3（3）節的含義內，由公司或其任何子公司管理或出資 公司及其任何子公司的現有員工的所有相關信息均嚴格遵守其條款和要求 任何適用法規、命令，規則和條例，包括但不限於ERISA和經 修訂的1986年國內税收法（《守則》）；以及（ii）沒有ERISA第406條或《守則》第4975條所指的禁止交易，已發生，這將導致公司就任何此類計劃承擔重大責任，但不包括已實施的交易 根據法定或行政豁免；對於每個受《準則》第412節或《ERISA》第302節資助規則約束的此類計劃，無論是否放棄，均未發生《準則》第412節定義的"累積資助不足"，而每項該等計劃資產的公平市值（為此目的不包括應計但未付的供款） 超過根據該計劃以合理精算假設釐定的所有應計福利的現值。 |
| (毫米) | 股票轉讓税。在每個結算日，所有股票轉讓或其他税費（所得税 除外）的銷售和轉讓將由本公司全額支付或規定，所有徵收此類税費的法律將由 在所有重大方面得到 公司將或將已完全遵守。 |
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| (NN) | 稀釋效果。公司意識到並承認，發行普通股可能 對現有股東造成稀釋，並可能顯著增加普通股的流通股數量。 |
| (面向對象) | 操縱價格。公司或其任何高級職員、董事或關聯公司都沒有， 並且據公司所知，代表他們行事的任何人沒有，（i）直接或間接採取任何旨在或 導致或導致穩定或操縱公司任何證券價格的行動，或導致或導致 ，或在未來合理預期會導致或導致穩定或操縱公司任何證券的價格 ，在每種情況下，以促進任何普通股的銷售或轉售，（ii）出售，出價，購買，或支付任何報酬 以招攬他人購買任何普通股，或（iii）支付或同意支付任何報酬以招攬他人 購買公司任何其他證券。在 本協議有效期內，公司或其任何高級職員、董事或關聯公司均不得（且據公司所知）在本協議有效期內， 代表他們行事的任何人均不得（ ）採取上一句所述的任何行動。 |
| (PP) | 實施接管保護。本公司及其董事會已採取一切必要 行動（如有），以使任何控制權股份收購、業務合併、毒丸（包括權利協議下的任何分配 ）或公司章程或公司註冊州法律下的其他類似反收購條款 由於代理商和公司履行各自的義務或 行使各自在本協議項下的權利，（如適用），包括但不限於，由於公司 發行配售股份。 |
| (QQ) | OFAC. Neither the Company nor any of its Subsidiaries (collectively, the “Entity”), nor any director, or officer, nor to the Company’s knowledge any employee, agent, affiliate or representative of the Company, is a Person that is, or is owned or controlled by a Person that is (i) the subject of any sanctions administered or enforced by the U.S. Department of Treasury’s Office of Foreign Assets Control (“OFAC”), the United Nations Security Council, the European Union, His Majesty’s Treasury, or other relevant sanctions authorities, including, without limitation, designation on OFAC’s Specially Designated Nationals and Blocked Persons List or OFAC’s Foreign Sanctions Evaders List or other relevant sanctions authority (collectively, “Sanctions”), nor (ii) located, organized or resident in a country or territory that is the subject of Sanctions that broadly prohibit dealings with that country or territory (including, without limitation, the Crimea region of the Ukraine, Cuba, Iran, North Korea, Sudan and Syria (the “Sanctioned Countries”)). The Entity will not, directly or indirectly, use the proceeds from the sale of Common Stock, or lend, contribute or otherwise make available such proceeds to any subsidiary, joint venture partner or other Person(a) to fund or facilitate any activities or business of or with any Person or in any country or territory that, at the time of such funding or facilitation, is the subject of Sanctions or is a Sanctioned Country, or in any other manner that will result in a violation of Sanctions by any Person (including any Person participating in the transactions contemplated by this agreement, whether as underwriter, advisor, investor or otherwise). For the past five years, the Entity has not engaged in, and is now not engaged in, any dealings or transactions with any Person, or in any country or territory, that at the time of the dealing or transaction is or was the subject of Sanctions or was a Sanctioned Country. |
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| (u) | Information Technology; Compliance with Data Privacy Laws. The Company and its Subsidiaries comply in all respects with (i) all applicable Privacy/Data Security Laws, (ii) any applicable privacy or other policies of the Company or any of its Subsidiaries, respectively, concerning the collection, dissemination, storage or use of Personal Information or other Business Data, (iii) industry standards to which the Company or any of its Subsidiaries, respectively, purports to adhere, and (iv) all contractual commitments that the Company or any of its Subsidiaries has entered into with respect to privacy and/or data security (collectively, the “Data Security Requirements”), except where the failure to so comply would not reasonably be expected to have a Material Adverse Effect. The Company and its Subsidiaries have implemented commercially reasonable data security safeguards designed to protect the security and integrity of the Business Systems and Business Data. Except as has not resulted in a Material Adverse Effect, to the Company’s knowledge, neither the Company nor any Subsidiary has experienced any data security breaches, unauthorized access or use of any of the Business Systems, or unauthorized acquisition, destruction, damage, disclosure, loss, corruption, alteration, or use of any Business Data; or been subject to or received written notice of any audits, proceedings or investigations by any Governmental Authority or any customer, or received any material claims or complaints regarding the collection, dissemination, storage or use of Personal Information, or the violation of any applicable Data Security Requirements. |
| (v) | 新興成長型公司地位。本公司是證券法第2(A)節所界定的“新興成長型公司”(“新興成長型公司”)。 |
由 公司高級管理人員簽署並根據本協議或與本協議相關交付給代理人或代理人律師的任何證書， 應被視為公司（如適用）就其中規定的事項向代理人作出的陳述和保證。
| 7. | 公司契諾。本公司與代理商約定並同意： |
| (a) | 註冊聲明修正案。在本協議日期之後，且在 根據《證券法》要求代理人交付與配售股份有關的招股説明書的任何期間內，（包括根據《證券法》第172條或類似規則可滿足此類要求的情況），（i）公司將及時通知 代理商，當對登記聲明的任何後續修訂（以引用方式納入的文件除外）的時間， 已向證監會備案和/或已生效或已提交招股説明書的任何後續補充，以及證監會對與配售有關的註冊聲明或招股説明書的任何修改或補充或 與配售有關的其他信息的任何請求，（ii）公司將根據代理人 的要求，準備並向委員會提交對註冊聲明或招股説明書的任何修訂或補充，根據代理人的合理意見和 公司法律顧問的意見，可能是必要的或可取的，與分配配售股份有關的代理（提供, 然而，，代理商未能提出此類要求，不得免除公司 在本協議項下的任何義務或責任，或影響任何代理商依賴 公司在本協議中作出的聲明和保證的權利， 提供, 進一步，代理商對於未能提交此類備案的唯一補救措施 應是在提交此類修訂或補充之前停止根據本協議進行銷售）；（iii）本公司 不會就配售股份或可轉換為配售股份的證券 對登記聲明或招股説明書進行任何修訂或補充（合併文件除外），除非在提交之前的合理 期間內向代理人提交了一份副本，並且代理人沒有合理地反對該副本，提供, 然而，（A）代理商未能 提出該等異議並不免除公司在本協議項下的任何義務或責任，或影響任何代理商依賴公司在本協議中作出的聲明和保證的權利， 提供, 進一步，代理商對於公司未能獲得此類同意， 唯一的補救措施是停止根據 本協議進行銷售），公司將在提交該等文件時向代理商提供一份文件的副本，該文件在提交時被視為 已通過引用納入註冊聲明或招股説明書，但通過EDGAR獲得的文件除外；及（iv） 公司將根據證券法第424（b）條的適用 段的要求，促使招股説明書的每一項修訂或補充提交給證監會，或者，如果任何文件以引用方式納入其中，則根據交易法的要求，向 證監會提交，在規定的期限內（根據本公司的合理意見或合理反對，決定是否根據本第7（a）條向委員會提交任何 修正案或補充，應由本公司自行決定）。 |
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| (b) | 委員會停止命令的通知。公司將在收到 通知或獲悉有關通知後，立即通知代理商：證監會發布或威脅發佈暫停登記聲明的有效性的任何停止令，暫停在任何司法管轄區發售或出售配售股份的資格， 或啟動或威脅為任何此類目的提起任何訴訟；並將迅速作出其商業上合理的努力 以防止發出任何停止令，或在發出停止令時使其撤回。公司在收到證監會要求 代理人對登記聲明的任何修改或 補充説明書或任何發行人自由撰稿説明書或任何發行人自由撰稿説明書或有關配售 股份發行的額外信息或有關登記聲明、招股説明書或任何發行人自由撰稿説明書的額外信息後，將立即通知他們。 |
| (c) | Delivery of Prospectus; Subsequent Changes. During any period in which a Prospectus relating to the Placement Shares is required to be delivered by the Agents under the Securities Act with respect to the offer and sale of the Placement Shares, (including in circumstances where such requirement may be satisfied pursuant to Rule 172 under the Securities Act or similar rule), the Company will comply with all requirements imposed upon it by the Securities Act, as from time to time in force, and to file on or before their respective due dates all reports and any definitive proxy or information statements required to be filed by the Company with the Commission pursuant to Sections 13(a), 13(c), 14, 15(d) or any other provision of or under the Exchange Act. If the Company has omitted any information from the Registration Statement pursuant to Rule 430B under the Securities Act, it will use its commercially reasonable efforts to comply with the provisions of and make all requisite filings with the Commission pursuant to said Rule 430B and to notify the Agents promptly of all such filings. If during such period any event occurs as a result of which the Prospectus as then amended or supplemented would include an untrue statement of a material fact or omit to state a material fact necessary to make the statements therein, in the light of the circumstances then existing, not misleading, or if during such period it is necessary to amend or supplement the Registration Statement or Prospectus to comply with the Securities Act, the Company will promptly notify the Agents to suspend the offering of Placement Shares during such period and the Company will promptly amend or supplement the Registration Statement or Prospectus (at the expense of the Company) so as to correct such statement or omission or effect such compliance 然而，前提是公司可以推遲 提交任何修訂或補充文件，如果根據公司的合理判斷，這符合公司的最佳利益。 |
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| (d) | 配售股份上市。於首次配售通知日期前，本公司將 盡其合理努力促使配售股份於聯交所上市。 |
| (e) | 遞交註冊聲明書及招股説明書。公司將向代理人及其 律師提供（費用由公司承擔）註冊聲明的副本，招股書（包括以 引用方式併入其中的所有文件）以及在 根據證券法要求交付配售股份相關招股説明書的任何期間內向證監會提交的登記聲明書或招股説明書的所有修訂和補充（包括在該期間內提交給證監會的所有 文件，並被視為以引用方式納入其中），在每種情況下， 在合理可行的情況下， 應代理人不時合理要求的數量，並應代理人的要求， 還將向可能出售配售股份的每個交易所或市場提供招股説明書的副本； 提供, 然而，，本公司無需向代理人提供任何文件（招股説明書除外），只要該文件可在EDGAR上獲得。 |
| (f) | 盈利報表。公司將在可行的情況下儘快 向其證券持有人普遍提供一份涵蓋12個月期間的收益表 ，該報告滿足《證券法》第11（a）條和第158條的規定。 |
| (g) | 收益的使用。本公司將使用招股説明書中題為“收益的使用”一節中所述的淨收益。 |
| (h) | 其他銷售通知。未經代理商事先書面同意，公司不會直接 或間接出售要約、出售、簽訂銷售合同、授予任何出售權或以其他方式處置任何普通股（ 根據本協議發行的配售股份除外）或可轉換為普通股或可交換為普通股的證券、認股權證或任何 購買或收購的權利，自向代理人交付任何配售通知之日起至第二（2）日止的期間內的普通股發送）緊接配售最後結算日後的交易日 根據配售通知出售的股份（或者，如果配售通知在配售通知涵蓋的所有配售股份出售之前已終止或暫停，則在暫停或終止日期結束）；並且不會直接或間接參與 任何其他"在市場上"或連續的股權交易出售要約、出售、合同出售，授予出售 或以其他方式處置任何普通股的任何選擇權（根據本協議發行的配售股份除外）或可轉換為普通股或可交換的證券、認股權證或任何購買或收購的權利，本協議終止前的普通股； 提供, 然而，，該等限制將不適用於公司發行或銷售（i）普通股，購買普通股或行使期權後可發行的普通股的期權，根據任何股票期權或福利 計劃，股權計劃或股息再投資計劃（但不包括普通股，受豁免超過其股息再投資計劃限額的豁免 ）的公司，無論現在生效還是以後實施，（ii）在轉換證券 或行使有效或未行使的認股權證、期權或其他權利時可發行的普通股，並在公司可在EDGAR 上獲得的文件中披露或以其他方式向代理人書面形式披露，和（iii）與任何收購有關的普通股，戰略投資或其他 類似交易（包括任何合資企業、戰略聯盟或夥伴關係）。 |
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| (i) | 情況的變化。在配售通知待決期間， 公司應在收到通知或瞭解有關通知後的任何信息或事實立即通知代理商，這些信息或事實會改變 或在任何重大方面影響 根據本協議要求向代理商提供的任何意見、證書、信件或其他文件。 |
| (j) | 盡職合作。在本協議有效期內，公司將配合代理或其代表就本協議預期的交易進行的任何 合理的盡職審查， 包括但不限於在正常工作時間 和在公司的主要辦事處 提供信息和提供文件和高級公司管理人員，根據代理的合理要求。 |
| (k) | 有關配售股份配售的規定文件。公司同意，在證券法要求的日期 ，公司將（i）根據證券法第424（b）條的適用段落 向證監會提交招股説明書補充（根據規則424（b）的每個提交日期，一個"提交日期"），其中 招股説明書補充將規定，在相關期間，通過代理商出售的配售股份的金額、向公司支付的淨收益 以及公司就該等配售股份向代理商支付的補償，（二）交付 每個交易所或市場的每份招股説明書補充副本的數量（視需要而定） 根據該交易所或市場的規則或條例。 |
| (l) | 代理日期；證書。(1)在首次配售通知日期之前和(2) 本公司每次： |
| (i) | 提交有關配售股份的招股章程或 修訂或補充(只與發售配售股份以外的證券有關的招股章程補充文件除外) 以生效後的修訂、貼紙或補充的方式提交與配售股份有關的登記聲明或招股章程 但不以將文件納入與配售股份有關的登記聲明或招股章程的方式 ； |
| (Ii) | 根據《交易法》以表格10—K提交年度報告 （包括任何包含經修訂的經審計財務信息或對先前提交的表格10—K的重大修訂的表格10—K/A）； |
| (Iii) | 根據《交易法》，在表格10—Q上提交季度報告；或 |
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| (Iv) | 在表格8—K上提交當前報告，其中包含修改後的財務信息 （根據《交易法》，根據表8—K第2.02項或第7.01項"提供"的信息，或根據表8—K第8.01項提供披露 有關根據 第144號財務會計準則聲明將某些財產重新分類為已終止業務的信息除外）（第（i）至（iv）款中提及的一份或多份文件的每個提交日期應為“陳述日期”）； |
the Company shall furnish the Agents (but in the case of clause (iv) above only if any Agent reasonably determines that the information contained in such Form 8-K is material) with a certificate dated the Representation Date, in the form and substance satisfactory to the Agents and their counsel, substantially similar to the form previously provided to the Agent and their counsel, modified, as necessary, to relate to the Registration Statement and the Prospectus as amended or supplemented. The requirement to provide a certificate under this Section 7(l) shall be waived for any Representation Date occurring at a time a Suspension is in effect, which waiver shall continue until the earlier to occur of the date the Company delivers a Placement Notice hereunder (which for such calendar quarter shall be considered a Representation Date) and the next occurring Representation Date on which the Company files its annual report on Form 10-K. Notwithstanding the foregoing, (i) upon the delivery of the first Placement Notice hereunder and (ii) if the Company subsequently decides to sell Placement Shares following a Representation Date when the Company relied on such waiver and did not provide the Agents with a certificate under this Section 7(l), then before the Company delivers the instructions for the sale of Placement Shares or the Agents sells any Placement Shares pursuant to such instructions, the Company shall provide the Agents with a certificate in conformity with this Section 7(l) dated as of the date that the instructions for the sale of Placement Shares are issued.
| (m) | 公司法律顧問的意見。(1)在第一份配售通知發出之日之前和(2)在本公司有義務根據第7條(L)交付證書的每個代表日的五(5)個交易日內(不包括本協議的日期)，本公司應向代理人 提供Ellenoff Grossman&Schole LLP(“公司律師”) 和其他律師滿意的書面意見和負面保證函，每份意見書的形式和實質均令代理人及其律師滿意。與以前提供給代理人及其律師的表格基本相似，經必要修改後與當時修訂或補充的《註冊説明書》和招股説明書有關；提供, 然而，，公司應被要求在每個日曆季度向代理商提供不超過 一份本協議項下的意見；提供, 進一步，代替這些意見，隨後根據《交易法》定期提交 ，律師可以向代理人提供一封信（“信賴函”），大意是 各代理人可以信賴根據本第7（m）節提交的先前意見，其程度與該信的日期相同（除非該先前意見中的聲明應被視為與截至信賴函日期修訂或補充的註冊聲明和招股説明書 有關）。 |
| (n) | 安慰信(1)在第一份配售通知書發佈日期之前，以及（2）在每個陳述日期後五（5）個交易 內，公司有義務根據第7（l）節 （不適用豁免）交付證書，且不包括本協議日期，公司應使其獨立註冊的公共 會計師事務所向代理人提供信函（“安慰信”），日期為安慰信交付之日，應符合本第7（n）節規定的要求； 提供，如果 代理商合理要求，公司應在任何重大交易或事件發生之日起的十（10）個交易日內向代理商提交一封安慰函，包括公司財務報表的重述。 公司獨立註冊的公共會計師事務所發出的安慰信應採用代理人合理滿意的形式和內容， （i）確認他們是《證券法》和公共 公司會計監督委員會定義內的獨立註冊的公共會計師事務所，（ii）説明，截至該日期，該事務所關於財務信息和其他事項的結論和發現，通常由會計師給承銷商的與登記公開發行有關的"安慰信"所涵蓋（第一封此類信函，即“初始安慰函”）及（iii）更新初始安慰函中的任何信息，如果初始安慰函在該日期發出，並根據需要修改 以與註冊聲明和招股説明書有關，經修訂及補充，直至該信件發出之日。 |
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| (o) | 市場活動。公司將不會直接或間接地（i）採取旨在導致或導致、或構成或可能合理預期構成本公司任何證券價格穩定或操縱的任何行動，以促進普通股的銷售或轉售，或（ii）在 條例M的情況下出售、投標或購買普通股，或向任何人支付除代理人以外的募集配售股份的任何補償。 |
| (p) | 《投資公司法》。本公司的事務處理方式將合理地 確保在本協議終止之前的任何時間，本公司或其任何子公司都不會或不會被要求 註冊為《投資公司法》中所定義的“投資公司”。 |
| (q) | 沒有出售要約。除本公司事先批准的發行人自由撰稿招股説明書 和代理人以其在本協議項下的代理人身份外，代理人和本公司均不（包括其代理人和代表， 除外）將製作、使用、準備、授權、批准或提及任何書面通信（根據證券法第405條的定義），要求提交給證監會，構成出售要約或購買要約配售股份的徵求。 |
| (r) | 藍天等資質. 本公司將盡其商業上的合理努力， 與代理商合作，使配售股份符合發售和出售的資格，或獲得配售股份的豁免 ，根據這些州和其他司法管轄區的適用證券法，（國內或國外）作為代理 可指定並維持此類資格和豁免，只要配售股份分配所需 （但在任何情況下，自本協議之日起不得少於一年）； 提供, 然而，，本公司無義務在其不具備上述資格的任何司法管轄區內就送達法律程序文件或作為外國公司或證券交易商的資格提交任何一般同意書 ，亦無義務就其在任何司法管轄區內開展業務而課税 。在配售股份已獲如此限制或豁免的每個司法管轄區，本公司 將提交該司法管轄區法律可能要求的聲明及報告，以繼續該等限制或豁免(視屬何情況而定)，直至配售股份分配所需的時間為止(但在任何情況下不得少於自本協議日期起計的一年)。 |
| (s) | Sarbanes-Oxley Act. The Company together with its Subsidiaries will maintain and keep accurate books and records reflecting their assets and maintain internal accounting controls in a manner designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with GAAP and including those policies and procedures that (i) pertain to the maintenance of records that in reasonable detail accurately and fairly reflect the transactions and dispositions of the assets of the Company, (ii) provide reasonable assurance that transactions are recorded as necessary to permit the preparation of the Company’s consolidated financial statements in accordance with GAAP, (iii) that receipts and expenditures of the Company are being made only in accordance with management’s and the Company’s directors’ authorization, and (iv) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of the Company’s assets that could have a material effect on its financial statements. The Company together with its Subsidiaries will maintain such controls and other procedures, including, without limitation, those required by Sections 302 and 906 of the Sarbanes-Oxley Act, and the applicable regulations thereunder that are designed to ensure that information required to be disclosed by the Company in the reports that it files or submits under the Exchange Act is recorded, processed, summarized and reported, within the time periods specified in the Commission’s rules and forms, including, without limitation, controls and procedures designed to ensure that information required to be disclosed by the Company in the reports that it files or submits under the Exchange Act is accumulated and communicated to the Company’s management, including its principal executive officer and principal financial officer, or persons performing similar functions, as appropriate to allow timely decisions regarding required disclosure and to ensure that material information relating to the Company or the Subsidiaries is made known to them by others within those entities, particularly during the period in which such periodic reports are being prepared. |
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| (t) | 祕書證書；進一步文件。在第一份配售通知 日期之前，公司應向代理人提交一份由公司祕書出具的證書，並由公司執行官 證明，日期為該日期，證明（i）公司註冊證書，（ii）公司章程， （iii）公司董事會授權執行的決議，本協議的交付和履行以及 配售股份的發行，以及（iv）正式授權執行本協議和本協議預期的其他文件的管理人員的任職。在每個陳述日期後的五（5）個交易日內，公司應向代理人提供任何代理人合理要求的進一步信息、證書和文件。 |
| (u) | 新興成長型公司的地位。如果公司在本協議有效期內的任何時候不再是新興成長型公司，公司將立即通知代理商。 |
| 8. | Payment of Expenses. The Company will pay all expenses incident to the performance of its obligations under this Agreement, including (i) the preparation and filing of the Registration Statement, including any fees required by the Commission, and the printing or electronic delivery of the Prospectus as originally filed and of each amendment and supplement thereto, in such number as the Agents shall deem necessary, (ii) the printing and delivery to the Agents of this Agreement and such other documents as may be required in connection with the offering, purchase, sale, issuance or delivery of the Placement Shares, (iii) the preparation, issuance and delivery of the certificates, if any, for the Placement Shares to the Agents, including any stock or other transfer taxes and any capital duties, stamp duties or other duties or taxes payable upon the sale, issuance or delivery of the Placement Shares to the Agents, (iv) the fees and disbursements of the counsel, accountants and other advisors to the Company, (v) the reasonable and documented out-of-pocket fees and expenses of the Agents, including but not limited to the fees and expenses of the counsel to the Agents, payable upon the execution of this Agreement, in an amount not to exceed $75,000 in the aggregate in connection with the execution of this Agreement, and $5,000 for each program “refresh” executed pursuant to this Agreement (for the avoidance of doubt, such $5,000 expense reimbursement shall be paid only in connection with a Representation Date to the extent that a certificate under Section 7(l) is required to be delivered to the Agents), (vi) the qualification or exemption of the Placement Shares under state securities laws in accordance with the provisions of Section 7(r) hereof, including filing fees, but excluding fees of the Agents’ counsel, (vii) the printing and delivery to the Agents of copies of any Permitted Issuer Free Writing Prospectus and the Prospectus and any amendments or supplements thereto in such number as the Agents reasonably shall deem necessary, (viii) the preparation, printing and delivery to the Agents of copies of the blue sky survey, (ix) the fees and expenses of the transfer agent and registrar for the Common Stock, (x) the filing and other fees incident to any review by FINRA of the terms of the sale of the Placement Shares including the fees of the Agents’ counsel (subject to the cap set forth in clause (v) above), and (xi) the fees and expenses incurred in connection with the listing of the Placement Shares on the Exchange. The Company agrees to pay the fees and expenses of counsel to the Agents set forth in clause (v) above by wire transfer of immediately available funds directly to such counsel upon presentation of an invoice containing the requisite payment information prepared by such counsel. |
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| 9. | 代理人義務的條件。代理商在本協議項下就 配售所承擔的義務將取決於公司在本協議中所作的陳述和保證的持續準確性和完整性 （在指定日期或時間作出的聲明和保證除外），為公司適當履行其在本協議項下的義務 ，代理人完成盡職審查，並在合理判斷下滿意，並繼續 合理滿足（或代理人自行決定放棄）以下附加條件： |
| (a) | 註冊聲明生效。登記聲明應已生效，且 可用於（i）轉售已發行予代理人但尚未由代理人出售的所有配售股份，以及（ii）出售擬由任何配售通知發出的所有 配售股份。 |
| (b) | No Material Notices. None of the following events shall have occurred and be continuing: (i) receipt by the Company of any request for additional information from the Commission or any other federal or state Governmental Authority during the period of effectiveness of the Registration Statement, the response to which would require any post-effective amendments or supplements to the Registration Statement or the Prospectus; (ii) the issuance by the Commission or any other federal or state Governmental Authority of any stop order suspending the effectiveness of the Registration Statement or the initiation of any proceedings for that purpose or, pursuant to Section 8A under the Exchange Act, an order pending before or, to the knowledge of the Company, threatened by the Commission; (iii) receipt by the Company of any notification with respect to the suspension of the qualification or exemption from qualification of any of the Placement Shares for sale in any jurisdiction or the initiation or threatening of any proceeding for such purpose; or (iv) the occurrence of any event that makes any material statement made in the Registration Statement or the Prospectus or any material Incorporated Document untrue in any material respect or that requires the making of any changes in the Registration Statement, the Prospectus or any material Incorporated Document so that, in the case of the Registration Statement, it will not contain an untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein not misleading and, that in the case of the Prospectus or any material Incorporated Document, it will not contain an untrue statement of a material fact or omit to state any material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading. |
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| (c) | 無錯誤陳述或重大遺漏。代理商不得告知公司，註冊 聲明或招股説明書，或其任何修訂或補充，包含代理商合理 認為是重要的事實的不真實陳述，或忽略陳述代理商合理認為是重要的事實，並要求在其中陳述 或為使其中陳述不具誤導性所必需。 |
| (d) | 材料變更。除非招股説明書中所述，或公司 向委員會提交的報告中披露，否則公司的授權股本不應發生任何重大不利變化 或任何重大不利影響或任何會導致重大不利影響的事態發展，或下調或撤銷分配給公司任何證券的 評級，（資產支持證券除外），或任何評級機構 已監督或審查其對本公司任何證券的評級的公告（資產 支持證券除外），在上述評級機構採取任何此類行動的情況下，根據代理人的合理判斷 ，（不免除公司可能有其他義務或責任），重大至使按招股章程中預期的條款和方式繼續發售配售股份不切實際 或不明智。 |
| (e) | 法律意見。代理人應在根據第7（m）條要求交付此類意見之日或之前收到 根據第7（m）條要求交付的意見和否定保證函。 |
| (f) | 安慰信代理商應在根據第7（n）條要求交付該安慰函之日或之前收到根據第7（n）條要求交付的安慰函。 |
| (g) | 代表證書。代理商應在根據第7（l）條要求交付證書之日或之前收到根據第7（l）條要求交付的證書 。 |
| (h) | 沒有停職。普通股交易不得在交易所暫停， 普通股不得從交易所摘牌。 |
| (i) | 其它材料在公司根據第7（l）節要求交付證書的每個日期，公司應向代理商提供代理商合理要求的適當進一步信息、意見、證書、信函 和其他文件。所有此類意見、證書、信函和其他文件均應符合 本協議的規定。 |
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| (j) | 證券法備案文件。根據證券法 規則424的規定，在發佈任何配售通知之前必須向委員會提交的所有文件均應在規則424規定的適用時間段內提交。 |
| (k) | 批准上市。本公司應已向聯交所提交有關配售股份的《新增股份上市通知表》。 |
| (l) | FINRA。如適用，FINRA不應對本次發行的條款以及招股説明書中描述的允許或應付給代理人的賠償金額提出異議。 |
| (m) | 無終止事件。不應發生允許代理商根據第12（a）條終止 本協議的任何事件。 |
| 10. | 賠償和貢獻。 |
| (a) | 公司賠償。公司同意賠償 代理商、代理商的各關聯公司及其各自的合作伙伴、成員、董事、高級管理人員、僱員 和代理商以及控制適用代理商或任何關聯公司的每個人（如有），並使其免受損害，具體如下： |
| (i) | 因《註冊説明書》(或其任何修訂本)中所載的重大事實的任何不真實陳述或被指稱的不真實陳述，或因遺漏或被指控遺漏其中必須陳述的或為使其中的陳述不具誤導性的重大事實而產生的任何損失、責任、索賠、損害和費用 ，或因任何相關的發行者自由寫作招股説明書或招股説明書(或其任何修正案 或其補充)中所包含的任何不真實陳述或重大事實的據稱不真實陳述而產生的損失、責任、索賠、損害和費用。或遺漏或指稱遺漏作出陳述所必需的重要事實， 根據作出陳述的情況，而非誤導； |
| (Ii) | 對因任何此類不真實陳述或遺漏或任何此類不真實陳述或遺漏而引起的任何和所有損失、責任、索賠、損害和費用 ，以為解決任何訴訟、任何政府當局開始或威脅進行的任何調查或訴訟、或任何此類所謂不真實陳述或遺漏而支付的總金額為限；提供除下文第10(D)節另有規定外，任何此類和解均經公司書面同意，不得無理拖延或扣留；以及 |
| (Iii) | 凡所生之一切，（包括 合理且有文件證明的自付費用和律師支出），在調查、準備或辯護 針對任何訴訟，或任何政府機構開始或威脅進行的任何調查或程序，或 基於任何此類不實陳述或遺漏，或任何此類聲稱的不實陳述或遺漏的任何索賠，如果任何此類費用 未根據上文第（i）或（ii）項支付， |
提供, 然而，， ，本賠償協議不適用於因僅依賴並符合代理商信息 （定義見下文）而作出的任何不真實 陳述或遺漏或聲稱的不真實陳述或遺漏而引起的任何損失、責任、索賠、損害或費用。
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| (b) | 代理賠償。各代理商（單獨但非 共同）同意賠償公司及其董事和公司高級管理人員，以及根據《證券法》第15條或《交易法》第20條的定義控制公司的每個人（如有），使其免受第10（a）條所載賠償中所述的任何及所有損失、責任、索賠、損害和費用，但僅限於 在註冊聲明中作出的不真實陳述或遺漏，或所謂的不真實陳述或遺漏（或其任何修訂）， 招股説明書（或其任何修訂或補充）或任何發行人自由寫作招股章程（或其任何修訂或補充） 依賴並符合代理商相關信息，並由代理商以書面形式向公司提供，以供其使用。本公司特此確認，代理人向本公司明確提供的用於註冊聲明、招股説明書或任何發行人自由撰稿招股説明書（或其任何修訂或補充）的唯一信息是 [●]和[●]招股説明書中標題“分銷計劃”下的段落 （“代理人信息”）。 |
| (c) | Procedure. Any party that proposes to assert the right to be indemnified under this Section 10 will, promptly after receipt of notice of commencement of any action against such party in respect of which a claim is to be made against an indemnifying party or parties under this Section 10, notify each such indemnifying party of the commencement of such action, enclosing a copy of all papers served, but the omission so to notify such indemnifying party will not relieve the indemnifying party from (i) any liability that it might have to any indemnified party otherwise than under this Section 10 and (ii) any liability that it may have to any indemnified party under the foregoing provision of this Section 10 unless, and only to the extent that, such omission results in the forfeiture of substantive rights or defenses by the indemnifying party. If any such action is brought against any indemnified party and it notifies the indemnifying party of its commencement, the indemnifying party will be entitled to participate in and, to the extent that it elects by delivering written notice to the indemnified party promptly after receiving notice of the commencement of the action from the indemnified party, jointly with any other indemnifying party similarly notified, to assume the defense of the action, with counsel reasonably satisfactory to the indemnified party, and after notice from the indemnifying party to the indemnified party of its election to assume the defense, the indemnifying party will not be liable to the indemnified party for any other legal expenses except as provided below and except for the reasonable costs of investigation subsequently incurred by the indemnified party in connection with the defense. The indemnified party will have the right to employ its own counsel in any such action, but the fees, expenses and other charges of such counsel will be at the expense of such indemnified party unless (1) the employment of counsel by the indemnified party has been authorized in writing by the indemnifying party, (2) the indemnified party has reasonably concluded (based on advice of counsel) that there may be legal defenses available to it or other indemnified parties that are different from or in addition to those available to the indemnifying party, (3) a conflict or potential conflict of interest exists (based on advice of counsel to the indemnified party) between the indemnified party and the indemnifying party (in which case the indemnifying party will not have the right to direct the defense of such action on behalf of the indemnified party) or (4) the indemnifying party has not in fact employed counsel to assume the defense of such action or counsel reasonably satisfactory to the indemnified party, in each case, within a reasonable time after receiving notice of the commencement of the action; in each of which cases the reasonable and documented out-of-pocket fees, disbursements and other charges of counsel will be at the expense of the indemnifying party or parties. It is understood that the indemnifying party or parties shall not, in connection with any proceeding or related proceedings in the same jurisdiction, be liable for the reasonable and documented out-of-pocket fees, disbursements and other charges of more than one separate firm (plus local counsel if reasonably necessary) admitted to practice in such jurisdiction at any one time for all such indemnified party or parties. All such reasonable and documented out-of-pocket fees, disbursements and other charges will be reimbursed by the indemnifying party promptly after the indemnifying party receives a written invoice relating to fees, disbursements and other charges in reasonable detail. An indemnifying party will not, in any event, be liable for any settlement of any action or claim effected without its written consent. No indemnifying party shall, without the prior written consent of each indemnified party, settle or compromise or consent to the entry of any judgment in any pending or threatened claim, action or proceeding relating to the matters contemplated by this Section 10 (whether or not any indemnified party is a party thereto), unless such settlement, compromise or consent (1) includes an express and unconditional release of each indemnified party, in form and substance reasonably satisfactory to such indemnified party, from all liability arising out of such litigation, investigation, proceeding or claim and (2) does not include a statement as to or an admission of fault, culpability or a failure to act by or on behalf of any indemnified party. |
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| (d) | 未經同意，如果未能償還。如果 仲裁方應要求賠償方補償仲裁方合理的律師費用和開支， 該賠償方同意，其應對未經其書面同意而達成的第10（a）（ii）節所述性質的任何和解負責，如果（1）該賠償方收到上述協議後超過45天， 請求，（2）補償方應在達成和解之前至少30天收到和解條款的通知 ，（3）補償方應在和解之日之前 未根據請求向補償方償還。 |
| (e) | 貢獻。本公司或代理人因任何原因被認定無法獲得或不足以從公司或代理人處獲得賠償，為提供公正和公平的 在根據其條款適用於本第10條以上各段規定的賠償的情況下，公司和代理人將承擔全部損失、索賠、債務、費用和損害(包括與任何訴訟有關的任何合理產生的調查、法律和其他費用，以及為了結任何訴訟而支付的任何金額)。訴訟或法律程序或任何申索(br}聲稱)，本公司及代理人可能須按適當的比例接受，以反映本公司及代理人所收取的相對利益。本公司及代理人所收取的相對利益應視為與本公司出售配售股份所得款項淨額(扣除開支前)與代理人代表本公司出售配售股份所得補償總額(扣除開支前) 的比例相同。如果但僅當適用法律不允許 前述句子提供的分配時，出資的分配應按適當的比例進行，以不僅反映前述句子中提及的相對利益，而且反映本公司和代理人的相對過錯。 有關導致該等損失、索賠、責任、費用或損害的陳述或遺漏，或與此有關的行動，以及與該要約有關的任何其他相關衡平法考慮。相關過錯應通過參考(其中包括)重大事實或遺漏的不真實或被指控的不真實陳述或被指控的遺漏是否與本公司或代理人提供的信息、各方的意圖及其相對的 知識、獲取的信息和糾正或防止該陳述或遺漏的機會有關來確定。本公司和代理人同意， 如果按照第10(E)條以按比例分配或任何其他不考慮本文提及的公平考慮因素的分配方法來確定供款，將是不公正和公平的。因本第10(E)條所述的損失、索賠、責任、費用或損害或與之有關的訴訟而支付或應付的金額應被視為包括，就本第10(E)條而言，該受賠方在與本第10(C)條一致的範圍內，因調查或辯護任何此類訴訟或索賠而合理發生的任何法律或其他費用。儘管有本第10(E)條的前述規定，代理商不得被要求提供超過其根據本協議收取的佣金的任何金額，任何被判犯有欺詐性失實陳述罪的人 (證券法第11(F)條所指的)無權獲得任何無罪的人的出資。就本第10條(E)項而言，任何人如在《證券法》所指的範圍內控制本協議的一方、代理的任何關聯公司以及代理或其任何關聯公司的任何高級職員、董事、合作伙伴、僱員或代理人，將擁有與該方相同的出資權利，並且公司的每一位董事和簽署註冊聲明的每一位公司高級職員將擁有與本公司相同的出資權利，但在每種情況下均須遵守 本協議的規定。任何有權獲得出資的一方，在收到針對該 當事人的訴訟啟動通知後，應立即通知可能要求出資的任何一方或各方，但遺漏通知並不解除該一方或該方根據本第10(E)條可能承擔的任何其他義務，除非未能通知該另一方實質上損害了被要求出資的一方的實質權利或抗辯。除根據本協議第10(C)條最後一句達成的和解協議外，如果根據本協議第10(C)條的規定，任何一方在未經其書面同意的情況下就任何訴訟或索賠達成和解，則任何一方均不對此承擔責任。代理人根據本第10(E)條各自承擔的出資義務與代理人根據本條款出售的配售股份所獲得的相應補償 成比例，而不是共同承擔。 |
| 11. | 陳述和協議，以使交付繼續存在。本協議第10節所載的賠償及出資協議，以及本公司在本協議或根據本協議交付的證書中的所有陳述及保證，自其各自的日期起仍然有效，不論(I)任何代理人、任何控制人或本公司(或其任何高級人員、董事、僱員或控制人)或其代表所作的任何調查，(Ii)配售股份的交付及接受 及其付款，或(Iii)本協議的任何終止。 |
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| 12. | 終止。 |
| (a) | Each Agent may terminate this Agreement, by notice to the Company, as hereinafter specified at any time (1) if there has been, since the time of execution of this Agreement or since the date as of which information is given in the Prospectus, any Material Adverse Effect, or any development that would have a Material Adverse Effect that in the sole judgment of the Agents are material and adverse and makes it impractical or inadvisable to market the Placement Shares or to enforce contracts for the sale of the Placement Shares, (2) if there has occurred any material adverse change in the financial markets in the United States or the international financial markets, any outbreak of hostilities or escalation thereof or other calamity or crisis or any change or development involving a prospective change in national or international political, financial or economic conditions, in each case the effect of which is such as to make it, in the judgment of such Agent, impracticable or inadvisable to market the Placement Shares or to enforce contracts for the sale of the Placement Shares, (3) if trading in the Common Stock has been suspended or limited by the Commission or the Exchange, or if trading generally on the Exchange has been suspended or limited, or minimum prices for trading have been fixed on the Exchange, (4) if any suspension of trading of any securities of the Company on any exchange or in the over-the-counter market shall have occurred and be continuing, (5) if a major disruption of securities settlements or clearance services in the United States shall have occurred and be continuing, or (6) if a banking moratorium has been declared by either U.S. Federal or New York authorities. Any such termination shall be without liability of any party to any other party except that the provisions of Section 8 (Payment of Expenses), Section 10 (Indemnification and Contribution), Section 11 (Representations and Agreements to Survive Delivery), Section 17 (Governing Law and Time; Waiver of Jury Trial) and Section 18 (Consent to Jurisdiction) hereof shall remain in full force and effect notwithstanding such termination. If an Agent elects to terminate this Agreement as provided in this Section 12(a), such Agent shall provide the required notice as specified in Section 13 (Notices). For the avoidance of doubt, the termination by one Agent of its rights and obligations under this Agreement pursuant to this Section 12(a) shall not affect the rights and obligations of the other Agent under this Agreement. |
| (b) | 公司有權在本協議日期後的任何時間，按照下文規定發出十(10)天的通知，自行決定終止本協議。任何此類終止均不承擔任何一方對任何其他方的責任，除非本合同第8節、第10節、第11節、第17節和第18節的規定在終止後仍具有完全效力和作用。 |
| (c) | 代理商應有權在本協議簽訂日期後的任何時候，提前十（10）天通知終止 本協議。任何此類終止均不應 任何一方對任何其他方承擔任何責任，但本協議第8條、第10條、第11條、第17條和 第18條的規定應保持完全有效。為免生疑問，一方代理根據本第12（c）條終止其在本協議項下的權利和義務不應影響另一方代理在本協議項下的權利和義務。 |
| (d) | 除非根據上文第12(A)、(Br)(B)或(C)條終止或經雙方同意，本協定應保持完全效力和作用；提供, 然而，在所有情況下，任何經雙方同意的終止應被視為規定第8節、第10節、第11節、第17節和第18節繼續完全有效。 |
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| (e) | 本協議的任何終止應在終止通知中指定的日期生效； 提供, 然而，直至有關代理商或本公司(視屬何情況而定)收到該通知之日起營業時間結束為止。如該等終止發生於任何配售股份的交收日期前，則該等配售股份須按照本協議的規定進行結算。 |
| 13. | 通知。除另有規定外，任何一方根據本協議條款要求或允許向任何另一方發出的所有通知或其他通信應以書面形式發出，如果發送給代理商，則應 送達： |
坎託·菲茨傑拉德公司
公園大道499號
紐約州紐約市，郵編：10022
| 請注意： | 資本市場 |
| 傳真： | (212) 307-3730 |
D. a.戴維森公司
757第三大道，套房1902，
紐約州紐約市，郵編：10017
請注意：
傳真：
H.C.温賴特公司
430 Park Ave，
紐約州紐約市，郵編：10022
請注意：
傳真：
以及：
坎託·菲茨傑拉德公司
公園大道499號
紐約州紐約市，郵編：10022
| 請注意： | 總法律顧問 |
| 傳真： | (212) 829-4708 |
將副本複製到：
King&Spalding LLP
第六大道185號
紐約州紐約市，郵編：10036
| 請注意： | 凱文·E.曼茲先生 |
| 傳真： | (212) 556-2133 |
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如果是公司， 應交付給：
SoundHound人工智能公司
加利福尼亞州聖克拉拉5400 Betsy Ross Drive，郵編95054
電話號碼：（408） 441—3200
電子郵件：www.example.com
收件人：Nitesh Sharan
將副本複製到：
Ellenoff Grossman&Schole LLP
美洲大道1345號，11號這是 地板
紐約州紐約市，郵編：10105
電話號碼： （617）823—5876
電子郵件：www.example.com
注意：馬修·伯恩斯坦先生。
本協議的每一方 可通過向本協議的各方發送新地址的書面通知，更改通知的地址。每一個 此類通知或其他通信應被視為（i）在下午4：30或之前親自或通過可驗證的傳真傳輸（ 後附上原件）交付時，紐約市時間，在某個工作日，或如果該日不是工作日，則在 下一個工作日，（ii）在及時交付給國家認可的隔夜快遞公司後的下一個工作日，以及（iii）在 實際收到的工作日，如果是以美國郵件（掛號郵件或掛號郵件，要求回執，郵資預付）存入。 就本協議而言，"營業日“是指紐約市的交易所和商業銀行營業的任何一天。
電子通信 (“電子通知”)如果以單獨封面發送到接收方指定的電子郵件地址，則就本第13節而言應被視為書面通知。電子通知應在發送方收到接收方的收據確認時視為已收到。收到電子通知的任何一方均可請求並有權接收非電子形式的紙質通知(“非電子通知”)，該通知應在收到非電子通知的書面請求後十(10)天內發送給請求方。
| 14. | 繼承人和分配。本協議應符合公司 、代理人及其各自的繼承人以及本協議第10條所述各方的利益並對其具有約束力。本協議中提及的任何當事方 應被視為包括該當事方的繼承人和允許受讓人。本協議中的任何明示或 暗示的內容均無意授予除本協議各方或其各自繼承人和允許受讓人以外的任何一方，除非本協議明確規定。未經另一方事先書面同意，任何一方 不得轉讓其在本協議項下的權利或義務； 提供, 然而，， 各代理商可在未經公司 同意的情況下將其在本協議項下的權利和義務轉讓給其關聯公司。 |
| 15. | 股票拆分的調整。雙方承認並同意，本協議中包含的所有與股份相關的數字 應進行調整，以考慮到與配售股份有關的任何股票拆分、股票股息或類似事件。 |
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| 16. | Entire Agreement; Amendment; Severability; Waiver. This Agreement (including all schedules and exhibits attached hereto and Placement Notices issued pursuant hereto) constitutes the entire agreement and supersedes all other prior and contemporaneous agreements and undertakings, both written and oral, among the parties hereto with regard to the subject matter hereof. Neither this Agreement nor any term hereof may be amended except pursuant to a written instrument executed by the Company and the Agents. In the event that any one or more of the provisions contained herein, or the application thereof in any circumstance, is held invalid, illegal or unenforceable as written by a court of competent jurisdiction, then such provision shall be given full force and effect to the fullest possible extent that it is valid, legal and enforceable, and the remainder of the terms and provisions herein shall be construed as if such invalid, illegal or unenforceable term or provision was not contained herein, but only to the extent that giving effect to such provision and the remainder of the terms and provisions hereof shall be in accordance with the intent of the parties as reflected in this Agreement. No implied waiver by a party shall arise in the absence of a waiver in writing signed by such party. No failure or delay in exercising any right, power, or privilege hereunder shall operate as a waiver thereof, nor shall any single or partial exercise thereof preclude any other or further exercise thereof or the exercise of any right, power, or privilege hereunder. |
| 17. | 管理法律和時間；放棄陪審團審判。本協議應受紐約州法律管轄，並根據紐約州法律進行解釋，不考慮法律衝突原則。指定的時間指的是紐約城市時間。在適用法律允許的最大範圍內，每一方在因本協議或本協議擬進行的交易而引起或與之相關的任何法律程序中，均不可撤銷地放棄任何和所有由陪審團審判的權利。 |
| 18. | 同意司法管轄權。每一方在此不可撤銷地接受位於曼哈頓區紐約市的州和聯邦法院的專屬管轄權，以裁決本協議項下的任何爭議或與本協議擬進行的任何交易相關的 ，並在此不可撤銷地放棄並同意不在任何訴訟、訴訟或訴訟中主張其本人不受任何此類法院管轄權的任何主張，該訴訟、訴訟或訴訟是由不方便的法院提起的，或者該訴訟、訴訟或訴訟的地點不適當。每一方在此不可撤銷地放棄以面交方式送達法律程序文件，並同意在任何此類訴訟、訴訟或法律程序中送達法律程序文件，方法是將其副本(經認證的或掛號信，要求回執)郵寄至根據本協議向IT發出通知的有效地址，並同意此類送達應構成對法律程序文件和有關通知的良好和充分的送達。此處包含的任何內容均不得視為 以任何方式限制以法律允許的任何方式送達過程的任何權利。 |
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| 19. | 同行本協議可由雙方簽署一份或多份副本， 共同構成雙方之間的同一份協議。對應物可以通過傳真、電子郵件（包括 通過www.example.com和美國2000年聯邦ESSIGN法案、統一電子交易 法案、電子簽名和記錄法案或其他適用法律所涵蓋的任何其他電子簽名）或其他傳輸方法交付，並且以這種方式交付的任何對應物 應被視為已正式有效交付，並且在所有目的上都有效。 |
| 20. | 建築業。本文件中的章節和展品標題僅為方便起見，不應影響本文件的構建。此處提及任何政府機關的任何法律、法規、條例、法規、規章或其他要求，應視為指經修訂、重新頒佈、補充或取代並不時生效的任何政府機關的該等法律、法規、條例、守則、規章、規章或其他要求，也應視為指根據其頒佈的所有規則和條例。 |
| 21. | 允許自由寫作的使用。雙方確認並同意，截至本 協議日期，公司是證券法第405條所定義的"不合格發行人"，因此不能 任何構成自由撰寫招股説明書的要約。本公司聲明、保證並同意，除非其事先獲得代理人 書面同意，且各代理人聲明、保證並同意，除非其事先獲得本公司書面同意 ，否則其尚未且將不會提出與配售股份有關的任何要約，這些要約將構成發行人自由撰寫 招股説明書，或以其他方式構成"自由撰寫招股説明書，"如第405條所定義，須向委員會提交 。經代理人或公司（視情況而定）同意的任何此類自由寫作招股説明書在下文中稱為“允許自由寫作招股説明書”。本公司聲明、保證並同意，其將把每份 允許自由寫作招股説明書視為"發行人自由寫作招股説明書"，定義見第433條，並將遵守適用於任何允許自由寫作招股説明書的 規則433條的要求，包括在需要時及時向委員會提交文件，進行審核和記錄保存。 |
| 22. | 定義。本協議中使用的下列術語的含義如下： |
“適用時間” 指(I)每個申述日期、(Ii)根據本協議出售任何配售股份的每次時間及(Iii)每個結算日期。
“商貿 數據“指在本公司及其附屬公司進行業務的過程中或以其他方式獲取、收集、使用、存儲、共享、分發、由任何業務系統轉移、披露、銷燬、處置或以其他方式處理的所有業務信息和數據，包括個人信息(無論是員工、承包商、顧問、客户、消費者或其他人士的信息，也無論是電子或任何其他形式或媒體)。
“業務系統” 指公司及其子公司在開展業務時擁有或使用的所有軟件、計算機硬件(通用或專用)、電子數據處理器、數據庫、通信、電信、網絡、接口、平臺、服務器、外圍設備和計算機系統，包括任何外包系統和流程。
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“政府當局”是指(I)任何聯邦、省、州、地方、市政、國家或國際政府或政府當局、監管機構或行政機構、政府委員會、部門、董事會、局、機構或機構、法院、仲裁庭、仲裁員或仲裁機構(公共或私人)；(Ii)任何自律組織；或(Iii)上述任何機構的任何政治分支。
“發行人自由寫作招股説明書”是指規則433中定義的與配售有關的任何“發行人自由寫作招股説明書”，包括：(1)公司要求向委員會提交的；(2)是規則433(D)(8)(I)所指的“書面溝通”的“路演”，不論是否需要向委員會提交；或(3)根據規則433(D)(5)(I)獲豁免備案，因為其載有配售股份或發售的説明，而該説明並不反映最終條款，在每種情況下，均須以提交或須提交予證監會的表格或(如無要求)以根據證券法規例第433(G)條保留在本公司紀錄內的表格提交。
“個人信息” 是指(A)與已識別或可識別的個人有關的信息(例如，姓名、地址、電話號碼、電子郵件地址、財務 帳號、政府發佈的識別符)；(B)已使用或打算使用的任何其他數據，或允許用户識別、聯繫或精確定位個人的任何其他數據，包括任何互聯網協議地址或其他永久識別符；以及(C)受隱私/數據安全法律監管的任何其他類似的 信息或數據。
“隱私/數據安全法律”是指管理個人信息或業務系統或業務數據的接收、收集、使用、存儲、處理、共享、安全、披露或傳輸的所有法律。
“規則164”、“ ”、“規則172”、“規則405”、“規則415”、“規則424”、“ ”、“規則424(B)”、“規則430B”和“規則433”是指證券法規定的此類規則。
本協議中提及的所有財務報表和附表以及註冊説明書或招股説明書中“包含”、“包括”或“陳述”的其他信息(以及所有類似進口的其他引用)應視為指幷包括通過引用併入註冊説明書或招股説明書中的所有該等財務報表和附表及其他信息。
本協議 中對註冊聲明、招股説明書或對上述任何內容的任何修訂或補充的所有提及均應被視為包括 根據EDGAR提交給證監會的副本；本協議中所有提及任何發行人自由寫作招股説明書（除了任何發行人 自由寫作許可證使用，根據規則433，不要求向委員會提交）應被視為包括 根據EDGAR向委員會提交的副本；本協議中所有提及的"補充" 招股説明書應包括但不限於任何補充，"包裝材料"或與 代理商在美國境外發行、出售或私募配售任何配售股份有關的類似材料。
[簽名頁如下]
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如果上述內容正確 闡述了公司與代理商之間的諒解，請在下文為此目的提供的空白處註明， 本函應構成公司與代理商之間具有約束力的協議。
| 非常真誠地屬於你， | ||
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SoundHound人工智能公司 | ||
| 發信人： | ||
| 姓名： | ||
| 標題： | ||
| 承兑日期 第一次寫明： | ||
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坎託·菲茨傑拉德公司 | ||
| 發信人： | ||
| 姓名： | ||
| 標題： | ||
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D.戴維森公司 | ||
| 發信人： | ||
| 姓名： | ||
| 標題： | ||
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H.C. 温賴特公司 | ||
| 發信人： | ||
| 姓名： | ||
| 標題： | ||
附表1
__________________________
安置通知書的格式
__________________________
| 出發地： | SoundHound人工智能公司 |
| 致： | Cantor Fitzgerald & Co.（"指定 代理人"） 注意： [●] |
| 主題： | 安置通知書 |
| 日期： | [●], 2023 |
女士們、先生們：
根據SoundHound AI，Inc.之間的銷售協議中包含的條款和條件，特拉華州公司（The "公司"）， 和Cantor Fitzgerald & Co.，D. a.戴維森公司，和H.C. Wainwright & Co.（統稱為"代理人" ，各為"代理人"），日期為 [●], 20[_]本公司特此要求指定代理人出售最多至 [●] 公司普通股，每股面值0.0001美元，最低市價為美元[●]在 開始的時間段內， [月、日、時間]和結尾[月、日、時間].
附表2
__________________________
補償
__________________________
根據本協議每次出售配售股份時，公司應以現金向 指定代理人支付相當於 [2.0]每次配售股份出售所得總額 的%。
附表3
__________________________
通知當事人
__________________________
“公司”(The Company)
[●]
指定代理商--Cantor Fitzgerald&Co.
Sameer Vasudev（svasudev@cantor.com）
副本發送至：
郵箱：cfceo@cantor.com
附表4
__________________________
附屬公司
__________________________
引用本公司最近提交的10-K表格的附件21(視情況而定)。
陳述日期格式 第7節證書(L)
以下籤署人、合格的當選人 [●]，特拉華州公司(“本公司”)的SoundHound AI，Inc.的，根據銷售協議第7條(L)，特此以該身份並代表本公司證明，日期為[●]，2023年(“銷售協議”)，公司與Cantor Fitzgerald&Co.、D.A.Davidson&Co.和H.C.Wainwright&Co.(統稱為“代理商”和各自為“代理商”)簽訂的銷售協議，盡下列簽署人所知：
(I) 公司在銷售協議第6A條中的陳述和保證在本協議之日和截止之日均真實正確，其效力和效力與在本協議之日和截止之日明確作出的一樣，但僅針對特定日期且在該日期真實和正確的陳述和保證除外；提供, 然而，該等陳述及保證亦須受註冊説明書及招股章程所載或以引用方式併入的披露所限；及
(Ii)本公司已遵守所有協議 ，並滿足本公司於本協議日期或之前根據銷售協議須履行或滿足的所有條件。
此處使用的大寫術語 （無定義）應具有銷售協議中賦予該術語的含義。
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SoundHound AI，Inc. | ||
| 發信人： | ||
| 姓名： | ||
| 標題： | ||
日期：[●]
根據第7（l）條提出的法律意見的形式1
此處未定義的大寫術語 應具有銷售協議中賦予的含義。
1.根據特拉華州法律， 公司已正式註冊成立，並作為一家信譽良好的公司有效存在。 本公司擁有擁有、租賃和經營其物業和資產的公司權力和授權，並按照 目前進行的業務（如《註冊聲明》和《招股説明書》中所述）開展業務。
2. 銷售協議已由公司正式有效地授權、簽署和交付。
3. 配售股份已獲正式授權，且在根據銷售協議條款發行和付款時，將有效發行 ，全額支付且不受特拉華州《普通公司法》（General Corporate Law）的實施所產生的任何優先購買權（“DGCL”）或根據 公司註冊證書、章程或DGCL認購配售股份的優先購買權或其他類似權利，或，據我們所知，根據 （i）表格10—K年度報告（“表格10—K”）、（ii）表格10—K之後提交的表格10—Q季度報告或（iii）表格10—K之後提交的表格8—K當前報告（“重要協議”）的附件索引中列出的任何重要協議。
4. 向委員會提交的註冊聲明（編號：333—[●]）登記配售股份銷售的登記冊目前根據經修訂的《1933年證券法》（“證券法”）有效，且未發佈暫停《證券法》下的 登記聲明有效性的停止令，且未 為此目的或根據第8A節提起訴訟，或據我們所知，已威脅提起訴訟。根據《證券法》第424（b）條規定的招股説明書的任何要求已 按照第424（b）條規定的方式和時間進行。
5. 登記聲明和招股説明書（不包括財務報表和附表以及其他財務數據， 以引用方式包含或納入其中，我們對此不發表意見），截至其各自生效日期或提交日期，在所有重大方面 均符合《證券法》和根據該法令頒佈的證監會規則和條例的要求。
6. 合併文件在提交給委員會時，在所有重要方面均符合《交易法》的要求 以及根據該法頒佈的委員會規則和條例。
7.公司執行、交付和履行銷售協議以及根據銷售協議發行、銷售和交付配售股份的 執行、交付和履行，以及公司遵守銷售協議的條款，不會（a）與任何法律條款相沖突或導致違反 ，適用於本公司的任何證券交易所的規則或條例，或公司註冊證書或公司章程的任何規則或條例，（b）與，導致違約或構成違約（或經通知 或時間流逝或兩者均將成為違約的事件），或導致或允許終止或修改重大協議 ，從而導致重大不利影響，（c）與 任何命令、令狀，我們所知，公司是其中一方或受其約束的判決或法令，將導致重大不利影響 ，或（d）據我們所知，導致對公司的任何資產或財產產生或施加任何留置權、索賠或抗辯，從而導致重大不利影響 。
| 1 | 新臺幣：請確認，我們可能會提供 與根據ESCC計劃提供的意見和NAL基本相同的意見，並更新本次交易。 [K & S確認。] |
8.據 我們所知，除公司提交給委員會的文件中所述外，沒有（i）在任何政府機構面前或威脅提出針對公司或其任何高級管理人員、 董事或僱員的索賠、訴訟、仲裁、調查或查詢（與履行其作為高級職員、董事和僱員的職責有關），或影響 其任何財產或資產，以及（ii）沒有任何標誌、合同、租約、抵押、信託契據，票據協議、貸款或其他協議 或要求作為登記聲明的附件提交的文書，這些文書未按照《證券法》 及其相關規則的要求提交。
9.關於 公司有效執行、交付和履行銷售協議，或要約、出售、發行或交付配售股份 ，或完成由此預期的交易，不需要獲得任何政府機構的同意、許可、許可、放棄、批准或 授權，或指定、聲明、登記或備案，除根據證券法進行註冊 和批准配售股份在交易所上市外。
10. 公司不需要並且在發行和出售配售股份以及 招股説明書中所述的募集資金的應用生效後，將不需要註冊為經修訂的1940年投資公司法 定義的投資公司。
11.註冊聲明和招股説明書中標題為“普通股説明”的 信息， 只要其構成法律事項、法律事項摘要、其中提及的文件或法律結論， 已由我們審閲，並在所有重大方面公平總結了其中所述事項。
律師的意見將隨附 標準否定保證函，包括以下內容：
基於我們的參與、審查 和上述依賴，我們建議您，
沒有任何事實引起我們的注意，使我們 相信：
| ● | 截至其最後生效日期， 包括根據《證券法》第430B條被視為《登記聲明》一部分的信息（ 與當時的合併文件一起），包含對重大事實的不真實陳述或遺漏了需要 在其中陳述的重要事實或使其中陳述不具誤導性所必需的重要事實；或 |
| ● | 招股説明書，截至其日期或截至本協議日期（連同 在這些日期的合併文件），包含或包含對重大事實的不真實陳述，或省略或省略了 陳述必要的重大事實，根據作出這些陳述的情況， 不具誤導性； |
我們理解，我們不相信 關於註冊聲明、招股説明書或合併文件中包含或引用的其他財務或會計數據 。
附件21
允許自由編寫招股説明書
沒有。