SeriesAPreferredStockholdersRightsAgreement优先股股东权利条约doc.docx
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SeriesAPreferredStockholdersRightsAgreement优先股股东权利条约doc.docx
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SeriesAPreferredStockholdersRightsAgreement优先股股东权利条约doc
SeriesAPreferredStockholders’’RightsAgreement(优先股股东权利协议)-
A.TheInvestorsandtheCompanyarepartiestothatcertainSeriesAPreferredStockPurchaseAgreement,ofevendateherewith(theSERIESAPURCHASEAGREEMENT),whichprovidesforthesaleofupto_________(_________)sharesoftheSeriesAPreferredStock.
B.TheexecutionofthisAgreementisaconditiontotheclosingofthetransactionscontemplatedintheSeriesAPurchaseAgreement.
C.Inconnectionwiththeabove,theCompanyandtheInvestorsdesiretoprovideforcertainrightsandobligationsoftheInvestors.
Inconsiderationofthemutualpromisesandcovenantshereinaftersetforth,thepartiesheretoagreeasfollows:
1.CertainDefinitions.AsusedinthisAgreement,thefollowingtermsshallhavethefollowingrespectivemeanings:
COMMISSIONmeanstheSecuritiesandExchangeCommissionoranysuccessoragency.
COMMONSTOCKmeanstheCommonStockoftheCompany.
FAMILYMEMBERhasthemeaningsetforthforitinSection4.
HOLDERmeansanyholderofoutstandingRegistrableSecurities(orSeriesAPreferredStockconvertibleintoRegistrableSecurities,asthecasemaybe)whichhavenotbeensoldtothepublic.
PARTIESmeansthepartiesthataresignatoriesofthisAgreement;PARTYshallrefertoanyoneoftheParties.
QUALIFIEDPUBLICOFFERINGhasthemeaningsetforthforitinSection5(a).
RESTRICTEDSECURITIESmeansthesecuritiesoftheCompanydescribedinSection3hereof.
REGISTRABLESECURITIESmeans(i)sharesoftheCommonStockissuedorissuableupontheconversionoftheSeriesAPreferredStock;and(ii)anyothersharesoftheCompany’sCommonStockissuedas(orissuableuponconversionorexerciseofanywarrant,rightorothersecuritywhichisissuedas)adividendorotherdistributionwithrespecttoorinexchangefororreplacementoftheSeriesAPreferredStock.
Thetermsregister,registeredandregistrationrefertoaregistrationeffectedbypreparingandfilingaregistrationstatementincompliancewiththeSecuritiesAct,andthedeclarationororderingoftheeffectivenessofsuchregistrationstatement.
REGISTRATIONEXPENSESmeansallreasonableout-of-pocketexpensesincurredbytheCompanyincomplyingwithSections5and8hereof,including,withoutlimitation,allregistration,qualificationandfilingfees,printingexpenses,escrowfees,feesanddisbursementsofcounselfortheCompany,blueskyfeesandexpenses,andaccountingfeesoftheCompany.
SECURITIESACTmeanstheSecuritiesActof1933,asamended.
SELLINGEXPENSESmeansallunderwritingdiscounts,sellingcommissionsandstocktransfertaxesapplicabletothesecuritiesregisteredbytheHolders.
SERIESAPREFERREDSTOCKmeanstheSeriesAPreferredStockoftheCompany.
2.RestrictionsonTransferability.TheRestrictedSecuritiesshallnotbetransferableexceptupontheconditionsspecifiedinthisAgreement(including,withoutlimitation,theprovisionsofSections4and18),whichconditionsareintended,amongotherthings,toensurecompliancewiththeprovisionsoftheSecuritiesActandotherprovisions.EachholderofRestrictedSecuritieswillcauseanyproposedtransfereeoftheRestrictedSecuritiesheldbysuchholdertoagreeinwritingtotakeandholdsuchRestrictedSecuritiesinaccordancewiththerestrictions,obligationsandconditionsspecifiedinthisAgreement(including,withoutlimitation,theprovisionsofSections2,3,4,11,12and17)andtobeboundbythisAgreementinthesamemannerasthetransferringholder.
3.RestrictiveLegend.Eachcertificaterepresenting(i)sharesofSeriesAPreferredStock,(ii)sharesofCommonStockissueduponconversionoftheSeriesAPreferredStock,and(iii)anyothersecuritiesissuedinrespectoftheSeriesAPreferredStockandCommonStockissueduponconversionoftheSeriesAPreferredStock(anysuchsecuritieslistedintheprecedingsubsections(i),(ii)or(iii),RESTRICTEDSECURITIES),shall(unlessotherwisepermittedbytheprovisionsofSection4below)bestampedorotherwiseimprintedwithalegendinthefollowingform(inadditiontoanylegendrequiredunderapplicablestatesecuritieslaws):
THESHARESREPRESENTEDBYTHISCERTIFICATEHAVEBEENACQUIREDFORINVESTMENTANDHAVENOTBEENREGISTEREDUNDERTHESECURITIESACTOF1933,ASAMENDED(THESECURITIESACT).THESESHARESMAYNOTBESOLDORTRANSFERREDINTHEABSENCEOFSUCHREGISTRATIONORANEXEMPTIONTHEREFROMUNDERTHESECURITIESACT.COPIESOFTHEAGREEMENTSCOVERINGTHEPURCHASEOFTHESESHARESANDRESTRICTINGTHEIRTRANSFERMAYBEOBTAINEDATNOCOSTBYWRITTENREQUESTMADEBYTHEHOLDEROFRECORDOFTHISCERTIFICATETOTHESECRETARYOFTHECORPORATIONATTHEPRINCIPALEXECUTIVEOFFICESOFTHECORPORATION.
4.NoticeofProposedTransfers.TheholderofeachcertificaterepresentingRestrictedSecuritiesbyacceptancethereofagreestocomplyinallrespectswiththeprovisionsofthisSection4.PriortoanyproposedtransferofanyRestrictedSecurities,unlessthereisineffectaregistrationstatementundertheSecuritiesActcoveringtheproposedtransfer,theholderthereofshallgivewrittennoticetotheCompanyofsuchholder’sintentiontoeffectsuchtransfer.Eachsuchnoticeshalldescribethemannerandcircumstancesoftheproposedtransferinsufficientdetail,andshall,iftheCompanysorequests,beaccompanied(exceptintransactionsincompliancewithRule144)byanunqualifiedwrittenopinionoflegalcounselwhoshallbereasonablysatisfactorytotheCompany,addressedtotheCompanyandreasonablysatisfactoryinformandsubstancetotheCompany’scounsel,totheeffectthattheproposedtransferoftheRestrictedSecuritiesmaybeeffectedwithoutregistrationundertheSecuritiesAct,provided,however,thatnoopinionneedbeobtainedwithrespecttoatransferto(A)apartner,activeorretired,ofaholderofRestrictedSecurities,(B)theestateofanysuchpartner,(C)anaffiliateofaholderofRestrictedSecuritiesasthattermisdefinedinRule405promulgatedbytheCommissionundertheSecuritiesAct(anAFFILIATE),or(D)tothespouse,children,grandchildrenorspouseofsuchchildrenorgrandchildrenofanyholderortotrustsforthebenefitofanyHolderorsuchpersonswheretheholderisanaturalperson(eachpersonorentityinthissubsection(D),aFAMILYMEMBER),ifthetransfereeagreestobesubjecttothetermshereof.EachcertificateevidencingtheRestrictedSecuritiestransferredasaboveprovidedshallbeartheappropriaterestrictivelegendsetforthinSection3above,exceptthatsuchcertificateshallnotbearsuchrestrictivelegendifintheopinionofcounselfortheCompanysuchlegendisnotrequiredinordertoestablishcompliancewithanyprovisionsoftheSecuritiesAct.
5.CompanyRegistration.
(a)NoticeofRegistration.Afterthefirstfirmlyunderwrittenpublicofferingwhichis(i)pursuanttoaneffectiveregistrationstatementundertheSecuritiesActcoveringtheofferandsaleofCommonStockand(ii)theanticipatedproceedsfromsuchofferingequalsorexceeds$,_________,suchoffering(aQUALIFIEDPUBLICOFFERING)iftheCompanyshalldeterminetoregisteranyofitssecurities,eitherforitsownaccountortheaccountofasecurityholder,otherthan(A)aregistrationrelatingtoemployeebenefitplansor,(B)aregistrationrelatingtoaCommissionRule145orsimilartransaction,theCompanywill:
(i)promptlygivetoeachHolderwrittennoticethereof;and
(ii)includeinsuchregistration(andanyrelatedqualificationunderblueskylawsorothercompliance),andinanyunderwritinginvolvedtherein,alltheRegistrableSecuritiesspecifiedinawrittenrequestorrequests,madewithin_________(_________)daysafterreceiptofsuchwrittennoticefromtheCompany,byanyHolder,exceptassetforthinSection5(b)below.
(b)Underwriting.IftheregistrationofwhichtheCompanygivesnoticeisforaregisteredpublicofferinginvolvinganunderwriting,theCompanyshallsoadvisetheHoldersasapartofthewrittennoticegivenpursuanttoSection5(a)(i).InsucheventtherightofanyHoldertoregistrationpursuanttoSection5shallbeconditioneduponsuchHolder’sparticipationinsuchunderwritingandtheinclusionofsuchHolder’sRegistrableSecuritiesintheunderwritingtotheextentprovidedherein.AllHoldersproposingtodistributetheirsecuritiesthroughsuchunderwritingshall(togetherwiththeCompanyandotherholdersdistributingtheirsecuritiesthroughsuchunderwriting)enterintoanunderwritingagreementincustomaryformwiththeunderwriterorunderwritersselectedforsuchunderwritingbytheCompany.NotwithstandinganyotherprovisionofthisSection5,ifthemanagingunderwriteradvisestheCompanyinwritingthatmarketingfactorsrequirealimitationofthenumberofsharestobeunderwritten,thenthemanagingunderwritermaylimittowhateverextentnecessary(includingthecompleteexclusionofallRegistrableSecurities)thenumberofRegistrableSecuritiestobeincludedintheregistrationandunderwritingbyreducingthenumberofRegistrableSecuritiesincludedonbehalfoftheHolders,onapro-ratabasisbasedonthetotalnumberofRegistrableSecuritiesentitledtoregistrationheldbyeachHolder.TheCompanyshalladviseallHoldersofRegistrableSecuritieswhichwouldotherwiseberegisteredandunderwrittenpursuantheretoofanysuchlimitations.IfanyHolderdisapprovesofthetermsofanysuchunderwriting,hemayelecttowithdrawtherefrombywrittennoticetotheCompanyandtheunderwriter.AnyRegistrableSecuritiesexcludedorwithdrawnfr
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