Convertible Note and Warrant Purchase Agreement可转换票据担保买卖协议

-13-ConvertibleNoteandWarrantPurchaseAgreement可转换票据担保买卖协议核心提示：ThisConvertibleNoteandWarrantPurchaseAgreement,datedasof_________,_________,_________(M,D,Y),(thisAGREEMENT)isenteredintobyandamongAAACompany,a_________(PLACENAME)corporation,(theCOMPANY)andBBB(theINVESTOR).Theparties,ThisConvertibleNoteandWarrantPurchaseAgreement,datedasof_________,_________,_________(M,D,Y),(thisAGREEMENT)isenteredintobyandamongAAACompany,a_________(PLACENAME)corporation,(theCOMPANY)andBBB(theINVESTOR).Theparties,intendingtobelegallybound,herebyagreeasfollows:1.ISSUANCEOFCONVERTIBLEPROMISSORYNOTES.(a)InvestoragreestolendtoCompanyfromtimetotimepriorto_________,_________,_________(M,D,Y),asrequestedbyCompanyinaccordancewithparagraph(c),advancesinanaggregateamountnottoexceed$,_________.(b)EachadvancebyInvestortoCompanyshallbeconsideredapromissorynoteonthetermsandconditionsspecifiedintheformofconvertiblepromissorynoteattachedheretoasEXHIBITA(individuallyaNote,andcollectively,theNotes).(c)Toobtainanadvance,CompanymustprovideInvestorwithanunsignedNotespecifyingthedollaramountoftheadvancerequestedatleastonebusinessdaypriortothedatestipulatedontheNote.TheissuanceofthecorrespondingNotewilloccuragainstreceiptbyCompanyofthecorrespondingadvanceandshalltakeplaceattheofficesofCompanyonthedatestipulatedontheNoteorsuchothertimeandplaceasbothCompanyandInvestormaydetermine;PROVIDED,HOWEVER,thatnoclosingshalloccuronadatelaterthan_________,_________,_________(M,D,Y).(d)Companyacknowledgesreceiptof$,_________advancebyInvestoron_________,_________,_________(M,D,Y)inanticipationofthisAgreementandagreestoissueInvestoraNoteintheprincipalamountof$,_________.2.WARRANT.InconsiderationofInvestor’scommitmenttoadvanceuptoanaggregateprincipalamountof$,_________toCompany,CompanyshallissueawarranttoInvestorintheformattachedheretoasEXHIBITB(theWarrant).3.HART-SCOTT-RODINOCLEARANCE.CompanyandInvestoragreetofilewiththeUnitedStatesFederalTradeCommission(theFTC)andtheAntitrustDivisionoftheUnitedStatesDepartmentofJustice(theDOJ)pursuanttotheHart-Scott-RodinoAntitrustImprovementsActof1976,asamended(theHSRACT)allrequisitedocumentsandnotificationsinordertoprovidefortheconversionoftheNotesandtheWarrantintosharesofCompany’sCommonStock.4.REPRESENTATIONSANDWARRANTIESOFCOMPANY.CompanyherebyrepresentsandwarrantstoInvestorthat,thestatementscontainedinthefollowingparagraphsofthisSection3arealltrueandcorrectasoftheClosingDate:(a)ORGANIZATIONANDSTANDING:ARTICLESANDBYLAWS.Companyisacorporationdulyorganized,validlyexistingandingoodstandingunderthelawsoftheStateof_________(PLACENAME)andhasallrequisitecorporatepowerandauthoritytocarryonitsbusinessasnowconducted.(b)CORPORATEPOWER.Companyhasallrequisitelegalandcorporatepowertoenterinto,executeanddeliverthisAgreement,theNotesandtheWarrant.ThisAgreement,anduponissuance,theNotesandtheWarrantwillbevalidandbindingobligationsofCompany,enforceableinaccordancewiththeirterms,exceptasthesamemaybelimitedbybankruptcy,insolvency,moratorium,andotherlawsofgeneralapplicationaffectingtheenforcementofcreditors’rights.(c)AUTHORIZATION.(1)CORPORATEACTION.AllcorporateandlegalactiononthepartofCompany,itsofficers,directorsandshareholdersnecessaryfortheexecutionanddeliveryofthisAgreement,theNotesandtheWarrant,thesaleandissuanceoftheNotes,theWarrantandthesharesissuableuponconversionoftheNotesandexerciseoftheWarrantandtheperformanceofCompany’sobligationshereunderandundertheNotesandtheWarranthavebeentaken.(2)VALIDISSUANCE.TheNotesandtheWarrant,andsharesofCommonStockissueduponconversionorexerciseoftheNotesandtheWarrant(collectively,theSECURITIES),whenissuedincompliancewiththeprovisionsofthisAgreement,theNotes,andtheWarrantwillbevalidlyissuedandwillbefreeofanyliensorencumbrances,provided,however,thattheSecuritiesmaybesubjecttorestrictionsontransferunderstateand/orfederalsecuritieslawsassetforthherein,andasmayberequiredbyfuturechangesinsuchlaws.(d)GOVERNMENTCONSENT,ETC.Noconsent,approval,orderorauthorizationof,ordesignation,registration,declarationorfilingwith,anyfederal,state,localorothergovernmentalauthorityonthepartofCompanyisrequiredinconnectionwiththevalidexecutionanddeliveryofthisAgreement,theNotes,theWarrantortheoffer,saleorissuanceoftheSecurities,otherthan,(i)ifrequired,filingsorqualificationsundertheCaliforniaCorporateSecuritiesLawof1968,asamended(theCALIFORNIALAW),orotherapplicableblueskylaws,whichfilingsorqualifications,ifrequired,willbetimelyfiledorobtainedbyCompany;and(ii)thefilingswiththeFTCandDOJdescribedinSection2ofthisAgreement.5.REPRESENTATIONSANDWARRANTIESBYINVESTOR.InvestorrepresentsandwarrantstoCompanyasoftheClosingDateasfollows:(a)INVESTMENTINTENT:AUTHORITY.ThisAgreementismadewithInvestorinrelianceuponInvestor’srepresentationtoCompany,evidencedbyInvestor’sexecutionofthisAgreement,thatInvestorisacquiringtheNotesandtheWarrantforinvestmentforInvestor’sownaccount,notasnomineeoragent,forinvestmentandnotwithaviewto,orforresaleinconnectionwith,anydistributionorpublicofferingthereofwithinthemeaningoftheSecuritiesActof1933,asamended,(theSECURITIESACT)ortheCaliforniaLaw.Investorhasthefullright,power,authorityandcapacitytoenterintoandperformthisAgreementandtheAgreementwillconstituteavalidandbindingobligationuponInvestor,exceptasthesamemaybelimitedbybankruptcy,insolvency,moratorium,andotherlawsofgeneralapplicationaffectingtheenforcementofcreditors’rights.(b)SECURITIESNOTREGISTERED.InvestorunderstandsandacknowledgesthattheofferingoftheSecuritiespursuanttothisAgreementwillnotberegisteredundertheSecuritiesActorqualifiedundertheCaliforniaLawonthegroundsthattheofferingandsaleofsecuritiescontemplatedbythisAgreementareexemptfromregistrationundertheSecuritiesActandexemptfromqualificationpursuanttosection25102(f)oftheCaliforniaLaw,andthatCompany’srelianceuponsuchexemptionsispredicateduponInvestor’srepresentationssetforthinthisAgreement.InvestoracknowledgesandunderstandsthatresaleoftheSecuritiesmayberestrictedindefinitelyunlesstheSecuritiesaresubsequentlyregisteredundertheSecuritiesActandqualifiedundertheCaliforniaLaworanexemptionfromsuchregistrationandsuchqualificationisavailable.InvestoracknowledgesthatCompanyisundernoobligationtoeffectanyregistrationwithrespecttotheSecuritiesortofilefororcomplywithanyexemptionfromregistration.(c)LOCK-UPANDTRANSFERRESTRICTIONS.Investorcovenantsthatinnoeventwillitsell,transferorotherwisedisposeofanyoftheSecuritiespriortothesecondanniversaryoftheClosingDate.AfterthesecondanniversaryoftheClosingDate,Investorcovenantsthatinnoeventwillitsell,transferorotherwisedisposeofanyoftheSecuritiesotherthaninconjunctionwithaneffectiveregistrationstatementfortheSecuritiesundertheSecuritiesActorpursuanttoanexemptiontherefrom,orincompliancewithRule144promulgatedundertheSecuritiesActortoapersonrelatedtooranentityaffiliatedwithsaidInvestorandotherthanincompliancewiththeapplicablesecuritiesregulationlawsofanystate.(d)KNOWLEDGEANDEXPERIENCE.Investor(i)hassuchknowledgeandexperienceinfinancialandbusinessmattersastobecapableofevaluatingthemeritsandrisksofInvestor’sprospectiveinvestmentintheSecurities;(ii)hastheabilitytobeartheeconomicrisksofInvestor’sprospectiveinvestment;(iii)hashadallquestionswhichhavebeenaskedbyInvestorsatisfactorilyansweredbyCompany;and(iv)hasnotbeenofferedtheSecuritiesbyanyformofadvertisement,article,noticeorothercommunicationpublishedinanynewspaper,magazine,orsimilarmediaorbroadcastovertelevisionorradio,oranyseminarormeetingwhoseattendeeshavebeeninvitedbyanysuchmedia.InvestorrepresentsandwarrantsthatitisanaccreditedinvestorwithinthemeaningofRule501ofRegulationDoftheSecuritiesAct.6.MISCELLANEOUS.(a)WAIVERSANDAMENDMENTS.AnyprovisionofthisAgreementmaybeamended,waivedormodifieduponthewrittenconsentofCompanyandInvestor.(b)GOVERNINGLAW.ThisAgreement,theNotesandtheWarrantandallactionsarisingoutoforinconnectionwiththisAgreement,theNotesandtheWarrantshallbegovernedbyandconstruedinaccordancewiththelawsoftheStateofCalifornia,withoutregardtotheconflictsoflawprovisionsoftheStateofCaliforniaorofanyotherstate.ThepartiesacknowledgeandagreethattheexclusivevenueandjurisdictionofanydisputearisingoutofthisAgreementshallbeafederalorstatecourtlocatedintheCountyofSanFrancisco,California.(c)ENTIREAGREEMENT.ThisAgreementtogetherwiththeexhibitsattachedheretoconstitutethefullandentireunderstandingandagreementbetweenthepartieswithregardtothesubjectshereofandthereof.(d)SURVIVAL.Therepresentations,warranties,covenantsandagreementsmadehereinshallsurvivetheexecutionanddeliveryofthisAgreement.(e)EXPENSES.CompanyshallpayondemandallreasonablefeesandexpensesincurredbyInvestor,includingreasonablelegalfeesandexpensesinconnectionwiththepreparation,executionanddeliveryofthisAgreementuptoamaximumamountof$,_________.(f)NOTICES,ETC.Anynotice,requestorothercommunicationrequiredorpermittedhereundershallbeinwritingandshallbedeemedtohavebeendulygiven(i)uponreceiptifpersonallydelivered,(ii)three(3)daysafterbeingmailedbyregisteredorcertifiedmail,postageprepaid,or(iii)onedayafterbeingsentbyrecognizedovernightcourierorbyfacsimile,iftoInvestor,atc/oCompanyat_________(ADDRESS),oratsuchotheraddressornumberasInvestorshallhavefurnishedtoCompanyinwriting,oriftoCompany,at_________(ADDRESS)oratsuchotheraddressornumberasCompanyshallhavefurnishedtoInvestorinwriting.(g)VALIDITY.IfanyprovisionofthisAgreement