版權(quán)說明:本文檔由用戶提供并上傳,收益歸屬內(nèi)容提供方,若內(nèi)容存在侵權(quán),請(qǐng)進(jìn)行舉報(bào)或認(rèn)領(lǐng)
文檔簡(jiǎn)介
-20-Investor’’sRightsAgreement(投資者權(quán)利協(xié)議)核心提示:INVESTOR’SRIGHTSAGREEMENT*Confidentialtreatmenthasbeenrequestedfortheomittedportionsofthisagreement,whichrequesthasbeenfiledseparatelywiththeSecuritiesandExchangeCommission.THISINVESTOR’SRIGHTSAGREEMENT(thisAgreementINVESTOR’SRIGHTSAGREEMENT*Confidentialtreatmenthasbeenrequestedfortheomittedportionsofthisagreement,whichrequesthasbeenfiledseparatelywiththeSecuritiesandExchangeCommission.THISINVESTOR’SRIGHTSAGREEMENT(thisAgreement),datedasof_________,_________,_________(M,D,Y),betweenAAAINC.,a_________corporation(theCompany),andBBBBV,aprivatecompanywithlimitedliability(beslotenvennootschapmetbeperkteaansprakelijkheid),organizedunderthelawsofThe_________(theInvestor),andasubsidiaryofCCCCorporation,a_________corporation.RECITALSWHEREAS,theCompanyandtheInvestorarepartiestotheCommonStockandWarrantPurchaseAgreement,datedasof_________,_________,_________(M,D,Y),(asthesamemaybeamendedfromtimetotime,thePurchaseAgreement);WHEREAS,inordertoinducetheCompanytoapprovetheissuanceofcommonstock,parvalue$,_________pershare,oftheCompany(theCommonStock),andtoinducetheInvestortoinvestfundsintheCompanypursuanttothePurchaseAgreement,theInvestorandtheCompanyherebyagreetoenterintothisAgreementwhichshallsetforththerightsoftheInvestortocausetheCompanytoregistersharesofCommonStockissuedorissuabletotheInvestorunderthePurchaseAgreementandcertainothermattersassetforthherein;NOW,THEREFORE,inconsiderationofthepremisesandthemutualagreementsandcovenantshereinaftersetforth,andforgoodandvaluableconsideration,thereceiptandsufficiencyofwhichisherebyacknowledged,theCompanyandtheInvestorherebyagreeasfollows:1.Definitions.Unlessotherwisedefinedherein,thetermsbelowshallhavethefollowingmeanings(suchmeaningsbeingequallyapplicabletoboththesingularandpluralformofthetermsdefined).CapitalizedtermsusedbutnotdefinedhereinshallhavethemeaningsascribedtotheminthePurchaseAgreement.(a)13DGroupmeansanygroupofpersonsformedforthepurposeofacquiring,holding,votingordisposingofVotingStockwhichwouldberequiredunderSection13(d)oftheExchangeAct,andtherulesandregulationspromulgatedthereunder,tofileastatementonSchedule13D(aSchedule13D)pursuanttoRule13d1(a)oftherulesandregulationspromulgatedundertheExchangeActoraSchedule13GpursuanttoRule13d1(c)oftherulesandregulationspromulgatedundertheExchangeActwiththeSECasapersonwithinthemeaningofSection13(d)(3)oftheExchangeActifsuchgroupbeneficiallyownedVotingStockrepresentingmorethan5%ofanyclassofVotingStockthenoutstanding.(b)Affiliatemeans,withrespecttoanyspecifiedPerson,anyPersonthatdirectlyorindirectlythroughoneormoreintermediaries,Controls,isControlledby,orisundercommonControlwith,suchspecifiedPerson.(c)BusinessDayshallmeananydaythatisnotaSaturday,aSundayoradayonwhichcommercialbanksarerequiredorpermittedbylawtobeclosedinSanJose,CaliforniaorHelsinki,FinlandandanydaysnotreferredtoasBusinessDaysshallbecalendardays.(d)CalculatedPercentageshallmeantheInvestor’spercentageofownershipoftheoutstandingCommonStockdeterminedbydividing(i)thenumberofsharesofCommonStockheldbytheInvestoronthedeterminationdateby(ii)thenumberofsharesofCommonStockoutstandingonthedeterminationdate,excludingtheExcludedSecurities(asdefinedbelow)withrespecttowhichtheInvestordidnotexerciseitsrightstopurchasesharesofCommonStockpursuanttoSection8(b).(e)ChangeofControlTransactionmeansanyofthefollowing:(i)anysale,lease,exchange,transferorotherdispositionofallorsubstantiallyalloftheassetsoftheCompany;or(ii)anyconsummationofamergerorconsolidationoftheCompanywithorintoanotherentityoranyothercorporatereorganization,ifpersonswhowerenotstockholdersoftheCompanyimmediatelypriortosuchmerger,consolidationorotherreorganizationownimmediatelyaftersuchmerger,consolidationorotherreorganization50%ormoreofthevotingpoweroftheoutstandingsecuritiesofeachof(A)thecontinuingorsurvivingentityand(B)anydirectorindirectparentcorporationofsuchcontinuingorsurvivingentity;or(iii)anytransactionasaresultofwhich(A)anypersonorentitythatisastrategicinvestoreither(1)becomesthebeneficialowner(asdefinedinRule13d3undertheExchangeAct),directlyorindirectly,ofsecuritiesoftheCompanyrepresentinggreaterthan50%ofthetotalvotingpowerrepresentedbytheCompany’sthenoutstandingvotingsecuritiesor(2)becomesthebeneficialowner(asdefinedinRule13d3undertheExchangeAct),directlyorindirectly,ofsecuritiesoftheCompanyrepresentinggreaterthan35%ofthetotalvotingpowerrepresentedbytheCompany’sthenoutstandingvotingsecuritiesandobtainsthevotingpowerorrighttodesignateamajorityofthemembersontheBoardofDirectorsoftheCompany(theCompanyBoard)aftersuchtransactionisconsummatedor(B)anypersonorentitythatisafinancialinvestorbecomesthebeneficialowner(asdefinedinRule13d3undertheExchangeAct),directlyorindirectly,ofsecuritiesoftheCompanyrepresentinggreaterthan50%ofthetotalvotingpowerrepresentedbytheCompany’sthenoutstandingvotingsecuritiesandobtainsthevotingpowerorrighttodesignateamajorityofthemembersontheCompanyBoardaftersuchtransactionisconsummated.(f)CommercialAgreementshasthemeaningsetforthinthePurchaseAgreement.(g)Control(includingthetermsControlledbyandundercommoncontrolwith,butexcludingthetermsChangeofControlTransactionandChangeofControlNotice)means,thepossession,directlyorindirectly,ofthepowertodirectorcausethedirectionofthemanagementandpoliciesofaPerson,whetherthroughtheownershipofvotingsecurities,astrusteeorexecutor,bycontractorotherwise,including,withoutlimitation,theownership,directlyorindirectly,ofsecuritieshavingthepowertoelectamajorityoftheboardofdirectorsorsimilarbodygoverningtheaffairsofsuchPerson.(h)ExchangeActmeanstheSecuritiesExchangeActof1934,asamended,andtherulesandregulationspromulgatedthereunder.(i)ExcludedSecuritiesmeans(A)securitiesissued(oroptionsorwarrantstherefor)toemployees,directors,consultants,suppliers,customersorotherbusinesspartnersfortheprimarypurposeofsolicitingorretainingtheirservices,(B)securitiesissuedpursuanttotheconversionorexerciseofconvertibleorexercisablesecurities,(C)securitiesissuedinconnectionwithabonafidestrategicinvestmentbyorbusinessacquisitionoforbytheCompany,whetherbymerger,consolidation,saleofassets,saleorexchangeofstockorotherwise,or(D)securitiesissuedpursuanttoequipmentleasesorsecureddebtfinancings.(j)FormS3meanssuchformundertheSecuritiesActasineffectonthedatehereof,anysuccessorregistrationformoranyotherregistrationformundertheSecuritiesActsubsequentlyadoptedbytheSECthatpermitsinclusionorincorporationofsubstantialinformationbyreferencetootherdocumentsfiledbytheCompanywiththeSEC.(k)HoldermeanstheInvestorandanyotherpersonowningorhavingtherighttoacquireRegistrableSecuritiesoranyassigneethereofinaccordancewithSection2.11hereof.(l)HolderAffiliatehasthemeaningsetforthinSection2.9.(m)InvestorControlledPersonshallmeananypersonoverwhomtheInvestorexercisesorhastherightorabilitytoexercise,directlyorindirectly,Control.(n)NASDmeanstheNationalAssociationofSecuritiesDealers,Inc.,oranysuccessorentitythereof.(o)Personmeansanyindividual,partnership,firm,corporation,association,trust,unincorporatedorganizationorotherentity,aswellasanysyndicateorgroupthatwouldbedeemedtobeapersonunderSection13(d)(3)oftheExchangeAct.(p)register,registered,andregistrationrefertoaregistrationeffectedbypreparingandfilingaregistrationstatementorsimilardocumentincompliancewiththeSecuritiesAct,andthedeclarationororderingofeffectivenessofsuchregistrationstatementordocument.(q)RegistrableSecuritiesmeans(i)thesharesoftheCommonStockoriginallyissuedunderthePurchaseAgreement,(ii)anysharesoftheCommonStockissueduponexerciseoftheWarrant(asdefinedinthePurchaseAgreement),(iii)anysharesofCommonStockpurchasedbytheInvestorpursuanttoitspreemptiverightsunderSection3oritsrightstopurchasesharesofCommonStockunderSection8(b)and(c),and(iv)anyCommonStockoftheCompanyissuableorissuedordistributedinrespectofanyoftheCommonStockidentifiedinclauses(i),(ii)or(iii),bywayofstockdividend,stocksplitorinconnectionwithacombinationofshares,recapitalizationorreorganization.ForpurposesofthisAgreement,RegistrableSecuritiesshallceasetobeRegistrableSecuritieswhenaRegistrationStatementcoveringsuchRegistrableSecuritieshasbeendeclaredeffectiveundertheSecuritiesActbytheSECandsuchRegistrableSecuritieshavebeendisposedofpursuanttosucheffectiveRegistrationStatement.(r)RegistrationStatementshallmeantheDemandRegistrationStatement,thePiggyBackRegistrationStatementand/ortheShelfRegistrationStatement(eachasdefinedinSection2),asthecasemaybe.(s)Rule144meansRule144promulgatedundertheSecuritiesAct.(t)Salemeansanysale,assignment,transfer,distributionorotherdispositionthereoforofaparticipationtherein,orotherconveyanceoflegalorbeneficialinteresttherein,whethervoluntaryorbyoperationoflaw.(u)SECmeantheSecuritiesandExchangeCommission.(v)SecuritiesActmeanstheSecuritiesActof1933,asamended,andtherulesandregulationspromulgatedthereunder.(w)SellingExpensesmeanunderwritingcommissions,brokerfeesandcounselfeesforthesellingHolderorHolders.(x)StandstillPeriodshallmeantheperiodbeginningonthedatehereofandendingonthelaterofthethirdanniversaryoftheClosingandsixmonthsaftersuchtimeastheCalculatedPercentageoftheInvestorandtheHolderAffiliatesceasestobeatleast5%.(y)SubsidiaryofanyPersonmeansanycorporation,partnership,limitedliabilitycompany,jointventure,associationorotherlegalentityofwhichsuchPerson(eitheraloneortogetherwithanyotherSubsidiary),owns,directlyorindirectly,morethan50%ofthestockorotherequityinterests,theholdersofwhicharegenerallyentitledtovotefortheelectionoftheboardofdirectorsorothergoverningbodyofsuchcorporationorotherlegalentity.(z)TerminationEventmeansanyofthefollowingevents:(i)theCalculatedPercentageoftheInvestorandtheHolderAffiliatesshallceasetobeatleast5%;or(ii)theInvestororanAffiliateoftheInvestorshallhaveacquiredControlofanentity,orsubstantiallyalloftheassetsofanentity,orshallhaveenteredintoadistributionagreementwithanentity,ineachcasewiththepurposeofsellingtocustomersorpotentialcustomersoftheCompanyproductsorservicesofthekindsoldbytheCompany(CompetitiveProducts)and,afterconsultationwiththeInvestor,theBoardofDirectorsoftheCompanyshallhavedetermined,initsgoodfaithjudgment,thatsuchactionismateriallyadversetotheCompany;provided,however,thatdistributionbytheInvestororitsAffiliatesofasmallvolumeofCompetitiveProductsoutsideNorthAmericaforthepurposeofmeetinguniquelocalrequirementsshallnotbedeemedtobemateriallyadversetotheCompany;(iii)theCompanyshallhaveterminatedtheCommercialAgreementsorAmendment6totheSystemIntegratorAgreement,datedthedatehereof,betweentheCompanyandCCCCorporation(Amendment6)inaccordancewiththetermsthereof,asaresultofabreachbyInvestorthatwasnotcuredinaccordancewiththeapplicableCommercialAgreementorAmendment6;or(iv)InvestorfailstopurchasetheminimumlevelsofInternalUseEquipmentassetforthintheCommercialAgreementorAmendment6orInvestor’spurchasesfailtorepresent[*]and,afterInvestorhashadanopportunitytoconsultwiththeCompany,theBoardofDirectorsoftheCompanyshallhavedetermined,initsgoodfaithjudgment,thatnotwithstandinganytechnologycooperationprojectswithInvestor,itisnolongerintheCompany’sbestinteresttohaveInvestor’srepresentativeasamemberoftheCompany’sBoardofDirectors.(aa)VotingStockshallmeansharesofCommonStockandanyothersecuritiesoftheCompanyoritssuccessorhavingthepowertovoteintheelectionofmembersoftheCompanyBoardortheboardofdirectorsofitssuccessor.(bb)WarrantshallhavethemeaningsetforthinthePurchaseAgreement.2.RegistrationRights.2.1DemandRegistration.(a)AfterreceiptofawrittenrequestfromtheHolderrequestingthattheCompanyeffectaregistration(aDemandRegistration)undertheSecuritiesActcoveringallorpartoftheRegistrableSecuritiesheldbysuchHolderwhichspecifiestheintendedmethodormethodsofdispositionthereof,theCompanyshall,asexpeditiouslyasispossible,butinanyeventnolaterthan60days(or30daysiftheCompanyiseligibletouseFormS3)afterreceiptofawrittenrequestforaDemandRegistration,filewiththeSECanduseitsreasonablebesteffortstocausetobedeclaredeffectiveassoonasreasonablypracticable,aregistrationstatement(aDemandRegistrationStatement)relatingtoallsharesofRegistrableSecuritieswhichtheCompanyhasbeensorequestedtoregisterbytheHolderforsale,totheextentrequiredtopermitthedisposition(inaccordancewiththeintendedmethodormethodsthereof,asaforesaid)oftheRegistrableSecuritiessoregistered;provided,however,thattheaggregatevalue,netofunderwritingdiscountsandcommissions,oftheRegistrableSecuritiesrequestedtoberegisteredbeatleast$,_________,basedontheclosingtradingpriceoftheCommonStockonthedatethedemandtofilesuchDemandRegistrationStatementisreceivedbytheCompany.(b)IftheHolderrequeststhattheofferingbeunderwrittenwithamanagingunderwriterselectedinthemannersetforthinSection2.10belowandsuchmanagingunderwriterofsuchDemandRegistrationadvisestheCompanyinwritingthat,initsopinion,thenumberofsecuritiesrequestedtobeincludedinsuchofferingisgreaterthanthetotalnumberofsecuritieswhichcanbesoldthereinwithouthavingamaterialadverseeffectonthedistributionofsuchsecuritiesorotherwisehavingamaterialadverseeffectonthemarketabilityorpricingthereof(theMaximumNumberofSecurities),thentheCompanyshallincludeinsuchDemandRegistrationtheRegistrableSecuritiesthattheHolderhasrequestedtoberegisteredthereunderonlytotheextentthenumberofsuchRegistrableSecuritiesdoesnotexceedtheMaximumNumberofSecurities.IftheamountofsuchRegistrableSecuritiesdoesnotexceedtheMaximumNumberofSecurities,theCompanymayincludeinsuchRegistrationanyothersecuritiesoftheCompanyandothersecuritiesheldbyothersecurityholdersoftheCompany,astheCompanymayinitsdiscretiondetermineorbeobligatedtoallow,inanamountwhichtogetherwiththeRegistrableSecuritiesincludedinsuchDemandRegistrationshallnotexceedtheMaximumNumberofSecurities.Insuchevent,therightoftheCompanyoranyothersecurityholderoftheCompanytoincludeitsCommonStockinsuchregistrationshallbeconditioneduponsuchparty’sparticipationinsuchunderwritingandtheinclusionofsuchparty’sCommonStockintheunderwritingtotheextentprovidedherein.(c)IftheCompanyiseligibletouseFormS3,anyDemandRegistrationStatementmayberequiredbytheHoldertobeinanappropriateformundertheSecuritiesAct(aShelfRegistrationStatement)relatingtoanyoralloftheRegistrableSecuritiesinaccordancewiththemethodsanddistributionsetforthintheShelfRegistrationStatementandRule415undertheSecuritiesAct(theShelfRegistration).AnysuchdemandtofileaShelfRegistrationStatementshallrequiretheuseofoneDemandRegistrationrequestandshallbesubjecttothetermsofSection2.1(a).TheHoldershallbeentitledtoanaggregateoftworegistrationsofRegistrableSecuritiespursuanttothisSection2.1;provided,thataregistrationrequestedpursuanttothisSection2.1shallnotbedeemedtohavebeeneffectedforpurposesofthisSection2.1(d)unless(i)ithasbeendeclaredeffectivebytheCommission,(ii)ithasremainedeffectivefortheperiodsetforthinSection2.4(a),and(iii)theofferingofRegistrableSecuritiespursuanttosuchregistrationisnotsubjecttoanystoporder,injunctionorotherorderorrequirementoftheSEC(otherthananys
溫馨提示
- 1. 本站所有資源如無特殊說明,都需要本地電腦安裝OFFICE2007和PDF閱讀器。圖紙軟件為CAD,CAXA,PROE,UG,SolidWorks等.壓縮文件請(qǐng)下載最新的WinRAR軟件解壓。
- 2. 本站的文檔不包含任何第三方提供的附件圖紙等,如果需要附件,請(qǐng)聯(lián)系上傳者。文件的所有權(quán)益歸上傳用戶所有。
- 3. 本站RAR壓縮包中若帶圖紙,網(wǎng)頁內(nèi)容里面會(huì)有圖紙預(yù)覽,若沒有圖紙預(yù)覽就沒有圖紙。
- 4. 未經(jīng)權(quán)益所有人同意不得將文件中的內(nèi)容挪作商業(yè)或盈利用途。
- 5. 人人文庫網(wǎng)僅提供信息存儲(chǔ)空間,僅對(duì)用戶上傳內(nèi)容的表現(xiàn)方式做保護(hù)處理,對(duì)用戶上傳分享的文檔內(nèi)容本身不做任何修改或編輯,并不能對(duì)任何下載內(nèi)容負(fù)責(zé)。
- 6. 下載文件中如有侵權(quán)或不適當(dāng)內(nèi)容,請(qǐng)與我們聯(lián)系,我們立即糾正。
- 7. 本站不保證下載資源的準(zhǔn)確性、安全性和完整性, 同時(shí)也不承擔(dān)用戶因使用這些下載資源對(duì)自己和他人造成任何形式的傷害或損失。
最新文檔
- 現(xiàn)代網(wǎng)絡(luò)教育技術(shù)的優(yōu)勢(shì)與挑戰(zhàn)
- 環(huán)境保護(hù)技術(shù)的創(chuàng)新及其商業(yè)模式研究
- 深化綠色能源技術(shù)教育的重要性
- 國慶節(jié)洋酒活動(dòng)方案設(shè)計(jì)
- 充電樁設(shè)備安裝施工方案
- 15 可親可敬的家鄉(xiāng)人1(說課稿)2024-2025學(xué)年統(tǒng)編版道德與法治二年級(jí)上冊(cè)
- many、much、a lot of(說課稿)-2023-2024學(xué)年譯林版(三起)英語六年級(jí)下冊(cè)
- 11屹立在世界的東方 自力更生 揚(yáng)眉吐氣 說課稿-2023-2024學(xué)年道德與法治五年級(jí)下冊(cè)統(tǒng)編版
- 2024-2025學(xué)年高中歷史 專題六 穆罕默德 阿里改革 一 亟待拯救的文明古國(1)教學(xué)說課稿 人民版選修1001
- 2023九年級(jí)數(shù)學(xué)上冊(cè) 第二十一章 一元二次方程21.3 實(shí)際問題與一元二次方程第3課時(shí) 實(shí)際問題與一元二次方程(3)說課稿(新版)新人教版
- (高清版)DZT 0073-2016 電阻率剖面法技術(shù)規(guī)程
- 完整2024年開工第一課課件
- 貨運(yùn)車輛駕駛員安全培訓(xùn)內(nèi)容資料完整
- 高一學(xué)期述職報(bào)告
- 風(fēng)神汽車4S店安全生產(chǎn)培訓(xùn)課件
- ICU患者的體位轉(zhuǎn)換與床旁運(yùn)動(dòng)訓(xùn)練
- 人教版四年級(jí)上冊(cè)豎式計(jì)算200題及答案
- 建設(shè)工程工作總結(jié)報(bào)告
- 脾破裂術(shù)后健康宣教課件
- 三廢環(huán)保管理培訓(xùn)
- 藏族唐卡藝術(shù)特色分析
評(píng)論
0/150
提交評(píng)論