RegistrationandInformationRights信息所有权注册协议doc.docx
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RegistrationandInformationRights信息所有权注册协议doc.docx
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RegistrationandInformationRights信息所有权注册协议doc
RegistrationandInformationRights信息所有权注册协议-
WHEREAS,theCompany,theFounders,andoneormoreoftheSeriesAPurchasers,theSeriesBPurchasersandtheSeriesCPurchasersarepartiestocertainRegistrationandInformationRightsAgreementsmadeandenteredintoasof_________,_________,_________(M,D,Y),_________,_________,_________(M,D,Y),and_________,_________,_________(M,D,Y)(thePriorAgreementsand
WHEREAS,theSeriesDPurchasersandtheCompanyhaveenteredintoorconcurrentlyherewithareenteringintoaSeriesDPreferredStockPurchaseAgreement(theSeriesDPurchaseAgreement),pursuanttowhichtheSeriesDPurchasersarepurchasingfromtheCompanysharesofitsSeriesDPreferredStock(theSeriesDPreferredand
WHEREAS,theobligationsoftheCompanyandtheSeriesDPurchasersundertheSeriesDPurchaseAgreementareconditioned,amongotherthings,upontheexecutionanddeliveryofthisAgreementbytheCompany,theFoundersandthePurchasers;and
WHEREAS,inconsiderationoftheCompany’ssaleandtheSeriesDPurchasers’purchaseoftheSeriesDPreferred,theseveralpartiesheretowishtogranttotheSeriesDPurchaserstheseveralrightssetforthherein,andtoobservetheseveralobligationssetforthherein,whichrightsandobligationsshallterminateandsupersede,totheextentnotalreadyterminatedandsuperseded,thosesetforthinthePriorAgreements;
NOW,THEREFORE,inconsiderationofthemutualpromisesandcovenantshereinaftersetforth,theCompany,theFoundersandthePurchasersagreeasfollows:
SECTION1.CERTAINDEFINITIONS.AsusedinthisAgreement,thefollowingtermsshallhavethefollowingrespectivemeanings:
COMMISSIONshallmeantheSecuritiesandExchangeCommissionoranyotherfederalagencyatthetimeadministeringtheSecuritiesAct.
CONVERSIONSTOCKmeanstheSeriesA,theSeriesB,theSeriesCandtheSeriesDPreferredStock,andtheCommonStockissuedorissuablepursuanttoconversionoftheSeriesA,theSeriesB,theSeriesCandtheSeriesDPreferredStock.
HOLDERSshallmean(i)thePurchasersforsolongasPurchasersholdConversionStockorRegistrableSecurities,(ii)theFoundersforsolongastheFoundersholdRegistrableSecurities,and(iii)anypersonholdingRegistrableSecuritiestowhomtherightsunderthisAgreementhavebeentransferredinaccordancewithSection5.9hereof.
INITIATINGHOLDERSshallmeananyholderorholdersofmorethan50%oftheSeriesAPreferred,theSeriesBPreferred,theSeriesCPreferredandtheSeriesDPreferred(andRegistrableSecuritiesissueduponconversionthereof)thenoutstandingasoftherelevantdateconsideredasasingleclass;andinthecaseofuptooneregistrationpursuanttoSection5.1(a),anyholderorholdersofnolessthansixtypercent(60%)oftheSeriesDPreferred(andtheRegistrableSecuritiesissueduponconversionthereof)thenoutstandingasoftherelevantdateconsideredasasingleclass(suchregistrationreferredtohereinastheSeriesDRegistration).
SERIESAPREFERREDshallmeantheSeriesAPreferredStockoftheCompanyissuedpursuanttotheSeriesAPreferredStockPurchaseAgreement.
SERIESBPREFERREDshallmeantheSeriesBPreferredStockoftheCompanyissuedpursuanttotheSeriesBPreferredStockPurchaseAgreement.
SERIESCPREFERREDshallmeantheSeriesCPreferredStockoftheCompanyissuedpursuanttotheSeriesCPreferredStockPurchaseAgreement.
SERIESDPREFERREDshallmeantheSeriesDPreferredStockoftheCompanyissuedpursuanttotheSeriesDPreferredStockPurchaseAgreement.
REGISTRABLESECURITIESmeans(i)sharesofCommonStockoftheCompanyissuedorissuableinrespectoftheConversionStockuponanystocksplit,stockdividend,recapitalization,orsimilarevent,oranyCommonStockotherwiseissuablewithrespecttotheConversionStock,(ii)sharesofCommonStockwhichareConversionStock,and(iii)sharesofCommonStockwhichareheldbytheFounders;provided,however,thatsharesofConversionStockorothersecuritiesshallonlybetreatedasRegistrableSecuritiesifandsolongastheyhavenotbeensoldtoorthroughabrokerordealerorunderwriterinapublicdistributionorapublicsecuritiestransaction.
ThetermsREGISTER,REGISTEREDandREGISTRATIONrefertoaregistrationeffectedbypreparingandfilingaregistrationstatementincompliancewiththeSecuritiesAct,andthedeclarationororderingoftheeffectivenessofsuchregistrationstatement.
REGISTRATIONEXPENSESshallmeanallexpenses,exceptasotherwisestatedbelow,incurredbytheCompanyincomplyingwithSections5.1,5.2and5.3hereof,including,withoutlimitation,allregistration,qualificationandfilingfees,printingexpenses,escrowfees,feesanddisbursementsofcounselfortheCompany,blueskyfeesandexpenses,theexpenseofanyspecialauditsincidenttoorrequiredbyanysuchregistration(butexcludingthecompensationofregularemployeesoftheCompanywhichshallbepaidinanyeventbytheCompany)andthereasonablefeesanddisbursementsofonecounselforallHoldersasappointedbytheHolders(otherthantheFounders).
RESTRICTEDSECURITIESshallmeanthesecuritiesoftheCompanyrequiredtobearthelegendsetforthinSection3hereof.
SECURITIESACTshallmeantheSecuritiesActof1933,asamended,oranysimilarfederalstatuteandtherulesandregulationsoftheCommissionthereunder,allasthesameshallbeineffectatthetime.
SELLINGEXPENSESshallmeanallunderwritingdiscounts,sellingcommissionsandstocktransfertaxesapplicabletothesecuritiesregisteredbytheHoldersand,exceptassetforthunderRegistrationExpenses,allreasonablefeesanddisbursementsofcounselforanyHolder.
SECTION2.RESTRICTIONSONTRANSFERABILITY.TheConversionStockandanyothersecuritiesissuedinrespectoftheConversionStockuponanystocksplit,stockdividend,recapitalization,merger,consolidationorsimilarevent,shallnotbesold,assigned,transferredorpledgedexceptupontheconditionsspecifiedinthisAgreement,whichconditionsareintendedtoensurecompliancewiththeprovisionsoftheSecuritiesAct.EachPurchaserwillcauseanyproposedpurchaser,assignee,transferee,orpledgeeofanysuchsharesheldbysuchPurchasertoagreetotakeandholdsuchsecuritiessubjecttotheprovisionsandupontheconditionsspecifiedinthisAgreement.
SECTION3.RESTRICTIVELEGEND.Eachcertificaterepresenting(i)theConversionStockand(ii)anyothersecuritiesissuedinrespectoftheConversionStockuponanystocksplit,stockdividend,recapitalization,merger,consolidationorsimilarevent,shall(unlessotherwisepermittedbytheprovisionsofSection4below)bestampedorotherwiseimprintedwithalegendinsubstantiallythefollowingform(inadditiontoanylegendrequiredunderapplicablestatesecuritieslaws):
THESHARESREPRESENTEDBYTHISCERTIFICATEHAVENOTBEENREGISTEREDUNDERTHESECURITIESACTOF1933,ASAMENDED,ANDHAVEBEENACQUIREDFORINVESTMENTANDNOTWITHAVIEWTO,ORINCONNECTIONWITH,THESALEORDISTRIBUTIONTHEREOF.SUCHSHARESMAYNOTBESOLDORTRANSFERREDINTHEABSENCEOFSUCHREGISTRATIONUNLESSTHECOMPANYRECEIVESANOPINIONOFCOUNSELREASONABLYACCEPTABLETOITSTATINGTHATSUCHSALEORTRANSFERISEXEMPTFROMTHEREGISTRATIONANDPROSPECTUSDELIVERYREQUIREMENTSOFSAIDACT.
EachPurchaserandeachHolderconsentstotheCompanymakinganotationonitsrecordsandgivinginstructionstoanytransferagentofthePreferredStockortheCommonStockinordertoimplementtherestrictionsontransferestablishedinthisAgreement.
SECTION4.NOTICEOFPROPOSEDTRANSFERS.TheholderofeachcertificaterepresentingRestrictedSecuritiesbyacceptancethereofagreestocomplyinallrespectswiththeprovisionsofthisSection4.Priortoanyproposedsale,assignment,transferorpledgeofanyRestrictedSecurities(otherthan(i)atransfernotinvolvingachangeinbeneficialownership,(ii)intransactionsinvolvingthedistributionwithoutconsiderationofRestrictedSecuritiesbyanyPurchasertoanyofitspartners,orretiredpartners,ortotheestateofanyofitspartnersorretiredpartners,(iii)intransactionsinvolvingthetransferwithoutconsiderationofRestrictedSecuritiesbyaPurchaserduringhisorherlifetimebywayofgiftorondeathbywillorintestacy,or(iv)intransactionsincompliancewithRule144),unlessthereisineffectaregistrationstatementundertheSecuritiesActcoveringtheproposedtransfer,theholderthereofshallgivewrittennoticetotheCompanyofsuchholder’sintentiontoeffectsuchtransfer,sale,assignmentorpledge.Eachsuchnoticeshalldescribethemannerandcircumstancesoftheproposedtransfer,sale,assignmentorpledgeinsufficientdetail,andshallbeaccompanied,atsuchholder’sexpense,byeither(i)anunqualifiedwrittenopinionoflegalcounselwhoshallbe,andwhoselegalopinionshallbe,reasonablysatisfactorytotheCompanyaddressedtotheCompany,totheeffectthattheproposedtransferoftheRestrictedSecuritiesmaybeeffectedwithoutregistrationundertheSecuritiesAct,(ii)anoactionletterfromtheCommissiontotheeffectthatthetransferofsuchsecuritieswithoutregistrationwillnotresultinarecommendationbythestaffoftheCommissionthatactionbetakenwithrespectthereto,or(iii)otherevidencesatisfactorytotheCompany,whereupontheholderofsuchRestrictedSecuritiesshallbeentitledtotransfersuchRestrictedSecuritiesinaccordancewiththetermsofthenoticedeliveredbytheholdertotheCompany.Eachcertificateevidencingthe
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