AdvisoryandBankingServicesAgreement顾问及银行服务条约doc.docx
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AdvisoryandBankingServicesAgreement顾问及银行服务条约doc.docx
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AdvisoryandBankingServicesAgreement顾问及银行服务条约doc
AdvisoryandBankingServicesAgreement顾问及银行服务协议-
AdvisoryandBankingServicesAgreement
_________,_________,_________(M,D,Y)
AAA_________(Address)
Attention:
_________
ThiswillconfirmthebasisuponwhichAAA(theCompany)hasengagedBBBIncorporated(BBB)onanexclusivebasis,toprovideadvisoryandinvestmentbankingserviceswithrespecttotheexplorationofstrategicalternativesthatmayleadtoapossibletransaction(aTransaction),through(i)aminorityinvestmentintheCompany(aMinorityInvestment)or(ii)asale,merger,jointventureorotherwise(aSale),whethereffectedinasingletransactionoraseriesofrelatedtransactions,inwhich50%ormoreofthevotingpoweroftheCompanyorallorasubstantialportionofitsbusinessorassetsarecombinedwithortransferredtoanothercompany(excludingreincorporationsorsimilarreorganizations).
Section1.ServicestobeRendered.BBBagreestoperformsuchofthefollowingfinancialadvisoryandinvestmentbankingservicesastheCompanyreasonablyandspecificallyrequests:
(a)BBBwillfamiliarizeitselftotheextentitdeemsappropriateandfeasiblewiththebusiness,operations,properties,financialconditionandprospectsoftheCompany;
(b)AssisttheCompanyinidentifyingandevaluatingcandidatesforapotentialTransactionwiththeCompany;
(c)AssisttheCompanyinthepreparationandimplementationofamarketingplanandinthepreparationofamemorandum(togetherwithexhibits,theMemorandum)describingtheCompanyanditsbusinessoperationsfordistributiontopotentialpartiestoaTransaction;
(d)ContactpotentialcandidateswhichBBBandtheCompanybelievetobeappropriateforapotentialTransaction.Inrenderingsuchservices,BBBmaymeetwithrepresentativesofsuchcandidates,asareapprovedinadvancebytheCompany,andprovidesuchrepresentativeswithsuchinformationabouttheCompanyasmaybeappropriate,subjecttocustomarybusinessconfidentiality;
(e)BBBwilladviseandassisttheCompanyinconsideringthedesirabilityofeffectingaTransaction,and,iftheCompanybelievessuchaTransactiontobedesirable,indevelopingageneralnegotiatingstrategyforaccomplishingaTransaction;
(f)BBBwilladviseandassistmanagementoftheCompanyinmakingpresentationstotheBoardofDirectorsoftheCompanyconcerninganyproposedTransaction;and
(g)BBBwilladviseandassisttheCompanyinthecourseofitsnegotiationofaTransactionandwillparticipateinsuchnegotiations.
TheCompanywillfurnishBBBsuchinformationasBBBreasonablyrequestsinconnectionwiththeperformanceofitsserviceshereunder(allsuchinformationsofurnishedisreferredtohereinastheInformation).TheCompanyunderstandsandagreesthatBBB,inperformingitsserviceshereunder,willuseandrelyupontheInformationaswellaspubliclyavailableinformationregardingtheCompanyandanypotentialpartnersandthatBBBdoesnotassumeresponsibilityforindependentverificationofanyinformation,whetherpubliclyavailableorotherwisefurnishedtoit,concerningtheCompanyoranypotentialpartner,including,withoutlimitation,anyfinancialinformation,forecastsorprojections,consideredbyBBBinconnectionwiththerenderingofitsservices.Accordingly,BBBshallbeentitledtoassumeandrelyupontheaccuracyandcompletenessofallsuchinformationandisnotrequiredtoconductaphysicalinspectionofanyofthepropertiesorassets,ortoprepareorobtainanyindependentevaluationorappraisalofanyoftheassetsorliabilities,oftheCompanyoranypotentialpartner.WithrespecttoanyfinancialforecastsandprojectionsmadeavailabletoBBBbytheCompanyoranypotentialpartnersandusedbyBBBinitsanalysis,BBBshallbeentitledtoassumethatsuchforecastsandprojectionshavebeenreasonablypreparedonbasesreflectingthebestcurrentlyavailableestimatesandjudgmentsofthemanagementoftheCompanyoranypotentialpartner,asthecasemaybe,astothematterscoveredthereby.
InconnectionwiththeservicesdescribedinthisSection1,theCompanyauthorizesBBB,astheCompany’srepresentative,totransmittheMemorandumtopotentialpartiestoaTransactionandexecuteonbehalfoftheCompanyaconfidentialityagreement,informapprovedbytheCompany,tobeenteredintobysuchparties.TheCompanyherebyacknowledgesthatallinformationcontainedintheMemorandumwillbeprovidedbyorbaseduponinformationprovidedbytheCompanyorthirdparties,andthattheCompanywillbesolelyresponsibleforthecontentsthereof.BBBagreestoobtaintheconsentoftheCompanypriortocontactinganypotentialpartytoaTransaction.
Section2.TransactionFees.TheCompanyshallpayBBBforitsserviceshereunderacashfeeequalto:
(a)intheeventofaMinorityInvestment,acashfeeatclosingequaltofivepercent(5%)oftheAggregateConsideration(ashereinafterdefined)payabletotheCompanyoritssecurityholdersinsuchTransaction,butinnoeventlessthan$,_________.Inaddition,theCompanyagreesthatBBBshallhavetherighttoreinvestanamountequaltohalfofthefeeearnedhereunderpursuanttofiveyearnoncancelablewarrantstopurchasecommonstockexercisableat120%ofthecommonequivalentpricepershareofthesecuritiessoldintheTransaction.Thewarrantsshallinclude(withoutlimitation)anetissuanceexercisefeature;and
(b)intheeventofaSale,payableatclosingofsuchTransactionacashfeeof$,_________.ForpurposesofthisAgreement,thetermAggregateConsiderationshallmeanthetotalamountofcashandthefairmarketvalue(onthedateofclosingofsuchTransaction)ofallotherpropertypaidorpayable(includingpromotionalcommitments)directlyorindirectlytotheCompanyoranyofitssecurityholdersinconnectionwithaTransaction(including(i)amountspaidtoholdersofanywarrantsorconvertiblesecuritiesoftheCompanyandtoholdersofanyoptionsorstockappreciationrightsissuedbytheCompany,whetherornotvested;and,(ii)thetotalamountofindebtednessforborrowedmoneyorsimilarnon-tradeliabilitiesorobligations(includingpensionliabilities,guarantees,capitalizedleasesandthelike)oftheCompanyrepaid,retired,extinguishedorassumedinconnectionwith,or,inthecaseofanacquisitionoftheCompany,whichotherwiseremainsoutstandingasoftheclosingof,aTransaction.
ForpurposesofcalculatingAggregateConsideration,thevalueofanysecuritiesissuableinconnectionwithaTransaction(whetherdebtorequity)thatarefreelytradableinanestablishedpublicmarketwillbedeterminedonthebasisoftheaverageclosingpriceinsuchmarketduringthetenbusinessdayspriortotheconsummationoftheTransaction(theValuationPeriod),andthevalueofsecuritiesthatarenotfreelytradable(orhavenoestablishedpublicmarket)orotherpropertywillbethefairmarketvalueofsuchsecuritiesorotherpropertyonduringtheValuationPeriodasdeterminedingoodfaithanduponmutualagreementoftheCompanyandBBBoriftheCompanyandBBBareunabletoreachsuchanagreementwithinthethirty(30)daysaftertheconsummationoftheTransaction,asdeterminedbyaninvestmentbankerorotherpersonexperiencedinvaluingsuchstock,equitysecuritiesornon-cashconsiderationmutuallyacceptabletoBBBandtheCompany.SuchdeterminationofsuchinvestmentbankerorotherpersonshallbebindinguponBBBandtheCompany,andBBBandtheCompanyshallberesponsibleforpayingone-halfofthefeesofsuchinvestmentbankerorotherperson.IntheeventanagreementforaTransactionprovidesforescrowedorcontingentpaymentsorotherpaymentsovertime(DeferredPayments),BBBandtheCompanyshalldeterminethevalueofsuchpaymentsatthetimetheexactamountisreceivedbytheCompany.BTAlexBrown’sfeeswithrespecttosuchDeferredPaymentsshallbecalculatedbaseduponsuchexactamountwhenreceivedbytheCompanyandsuchfeesshallbepaidwithinareasonabletimeaftersuchDeferredPaymentsarereceivedbytheCompany.
Section3.Expenses.InadditiontoanyfeesthatmaybepayabletoBBBhereunderandregardlessofwhetheranyTransactionisproposedorconsummated,theCompanyherebyagrees,fromtimetotimeuponrequest,toreimburseBBBforallreasonablefeesanddisbursementsofBBB’scounsel,ifany,andallofBBB’sreasonabletravelandotherout-of-pocketexpensesincurredinconnectionwithanyactualorproposedTransactionarisingoutofBBB’sengagementhereunder.Anyfeesand/ordisbursementsindividuallyorintheaggregateinexcessof$,_________mustbeapprovedinadvancebythewrittenconsentoftheCompany.
Section4.ScopeofResponsibility.NeitherBBBnoranyofitsaffiliates(noranyoftheirrespectivecontrolpersons,directors,officers,employeesoragents)shallbeliabletotheCompanyortoanyotherpersonclaimingthroughtheCompanyforanyclaim,loss,damage,liability,costorexpensesufferedbytheCompanyoranysuchotherpersonarisingoutoforrelatedtoBBB’sengagementhereunderexceptforaclaim,lossorexpensethatarisesprimarilyoutoforisbasedprimarilyuponanyactionorfailuretoactbyBBB,otherthananactionorfailuretoactundertakenattherequestorwiththeconsentoftheCompany,thatisfoundinafinaljudicialdetermination(orasettlementtantamountthereto)toconstitutebadfaith,willfulmisconductorgrossnegligenceonthepartofBBB.
Section5.IndemnityandContribution.TheCompanyagreestoindemnifyandholdharmlessBBBanditsaffiliates(andtheirrespectivecontrolpersons,directors,officers,e
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