Investor Rights Agreement(投资者权利协议)

-15-InvestorRightsAgreement(投资者权利协议)核心提示：AAA,INC.INVESTORRIGHTSAGREEMENT_________,_________,_________(M/D/Y)TABLEOFCONTENTSSECTION1.RestrictionsonTransferability,RegistrationRights1.1CertainDefinitions1.2Restrictions1.3RestrictiveLegend1.4NoticeofProposedTransfeAAA,INC.INVESTORRIGHTSAGREEMENT_________,_________,_________(M/D/Y)TABLEOFCONTENTSSECTION1.RestrictionsonTransferability,RegistrationRights1.1CertainDefinitions1.2Restrictions1.3RestrictiveLegend1.4NoticeofProposedTransfers1.5RequestedRegistration1.6CompanyRegistration1.7RegistrationonFormS-31.8ExpensesofRegistration1.9RegistrationProcedures1.10Indemnification1.11InformationbyHolder1.12Rule144Reporting1.13TransferofRegistrationRights1.14StandoffAgreement1.15TerminationofRightsSECTION2.AffirmativeCovenantsoftheCompany2.1FinancialInformation2.2OperatingPlanandBudget2.3Inspection2.4AssignmentofRightstoFinancialInformation2.5ProprietaryInformationAgreement2.6TerminationofCovenants2.7RightofFirstOffer2.8InitialPublicOfferingSECTION3.Miscellaneous3.1Assignment3.2ThirdParties3.3GoverningLaw3.4Counterparts3.5Notices3.6Severability3.7AmendmentandWaiver3.8EffectofAmendmentorWaiver3.9RightsofHolders3.10DelaysorOmissionsEXHIBITAScheduleofInvestorsEXHIBITBRestrictiveLegendINVESTORRIGHTSAGREEMENTTHISINVESTORRIGHTSAGREEMENT(theAgreement)isenteredintoasof_________,_________,_________(M/D/Y),byandamongAAA,Inc.,a_________(address)corporation(theCompany),thepersonssetforthontheScheduleofInvestorsattachedheretoasExhibitA(theInvestors)and,withrespecttoSection1.6,Section2.6andSection2.8,BBB(sb).RECITALSTheCompanyandtheInvestorsareenteringintoaSeriesAPreferredStockPurchaseAgreement(theSeriesAAgreement)ofevendateherewith,pursuanttowhichtheCompanyshallsell,andtheInvestorsshallacquire,sharesoftheCompany’sSeriesAPreferredStock(theSeriesAPreferred).ThesharesofSeriesAPreferredarereferredtocollectivelyhereinastheShares.NOW,THEREFORE,inconsiderationofthemutualpromisesandcovenantshereinaftersetforth,thepartiesagreeasfollows:SECTION1.RESTRICTIONSONTRANSFERABILITY;REGISTRATIONRIGHTS1.1CertainDefinitions.AsusedinthisAgreement,thefollowingtermsshallhavethefollowingrespectivemeanings:CommissionshallmeantheSecuritiesandExchangeCommissionoranyotherfederalagencyatthetimeadministeringtheSecuritiesAct.ConversionSharesmeanstheCommonStockissuedorissuableuponconversionoftheShares.ExchangeActshallmeantheSecuritiesExchangeActof1934,asamended,oranysimilarfederalstatute,andtherulesandregulationsoftheCommissionthereunder,allasthesameshallbeineffectatthetime.HoldershallmeananyInvestorholdingRegistrableSecuritiesandanypersonholdingRegistrableSecuritiestowhomtherightsunderthisAgreementhavebeentransferredinaccordancewithSection1.13hereof.BBB(sb)shallbedeemedtobeaHolder,butonlywithrespecttoaregistrationeffectedpursuanttoSection1.6below.InitiatingHoldersshallmeananyInvestorsortransfereesofInvestorsunderSection1.13hereofwhointheaggregateareHoldersofnotlessthanfiftypercent(50%)oftheRegistrableSecurities.Thetermsregister,registeredandregistrationrefertoaregistrationeffectedbypreparingandfilingaregistrationstatementincompliancewiththeSecuritiesAct,andthedeclarationororderingoftheeffectivenessofsuchregistrationstatement.RegistrationExpensesshallmeanallexpensesincurredbytheCompanyincomplyingwithSections1.5,1.6and1.7hereof,including,withoutlimitation,allregistration,qualificationandfilingfees,printingexpenses,escrowfees,feesanddisbursementsofcounselfortheCompany,blueskyfeesandexpenses,andtheexpenseofanyspecialauditsincidenttoorrequiredbyanysuchregistration(butexcludingthecompensationofregularemployeesoftheCompanywhichshallbepaidinanyeventbytheCompany).RegistrableSecuritiesmeansanyCommonStockoftheCompanyissuedorissuableinrespectoftheSharesorConversionSharesorothersecuritiesissuedorissuablewithrespecttotheSharesorConversionSharesuponanystocksplit,stockdividend,recapitalization,orsimilarevent,oranyCommonStockotherwiseissuedorissuablewithrespecttotheSharesorConversionShares;provided,however,thatsharesofCommonStockorothersecuritiesshallonlybetreatedasRegistrableSecuritiesifandsolongastheyhavenotbeen(A)soldtoorthroughabrokerordealerorunderwriterinapublicdistributionorapublicsecuritiestransaction,or(B)soldinatransactionexemptfromtheregistrationandprospectusdeliveryrequirementsoftheSecuritiesActunderSection4(1)thereofsothatalltransferrestrictionsandrestrictivelegendswithrespecttheretoareremovedupontheconsummationofsuchsale.TheCommonStockheldbyBezosshallbedeemedRegistrableSecurities,butonlywithrespecttoaregistrationeffectedpursuanttoSection1.6below,andsubjecttoalllimitationstherein.RestrictedSecuritiesshallmeanthesecuritiesoftheCompanyrequiredtobearthelegendsetforthinSection1.3hereof.SecuritiesActshallmeantheSecuritiesActof1933,asamended,oranysimilarfederalstatuteandtherulesandregulationsoftheCommissionthereunder,allasthesameshallbeineffectatthetime.SellingExpensesshallmeananunderwritingdiscounts,sellingcommissionsandstocktransfertaxesapplicabletothesecuritiesregisteredbytheHoldersandallfeesanddisbursementsofcounselfortheHolders(aslimitedbySection1.8).1.2Restrictions.TheSharesandtheConversionSharesshallnotbesold,assigned,transferredorpledgedexceptupontheconditionsspecifiedinthisAgreement,whichconditionsareintendedtoensurecompliancewiththeprovisionsoftheSecuritiesAct.TheInvestorswillcauseanyproposedpurchaser,assignee,transfereeorpledgeeoftheSharesandtheConversionSharestoagreetotakeandholdsuchsecuritiessubjecttotheprovisionsandupontheconditionsspecifiedinthisAgreement.1.3RestrictiveLegend.Eachcertificaterepresenting(i)theShares,(ii)theConversionShares,and(iii)anyothersecuritiesissuedinrespectofthesecuritiesreferencedinclauses(i)and(ii)uponanystocksplit,stockdividend,recapitalization,merger,consolidationorsimilarevent,shall(unlessotherwisepermittedbytheprovisionsofSection1.4below)bestampedorotherwiseimprintedwithalegendintheformofExhibitBattachedhereto(inadditiontoanylegendrequiredunderapplicablestatesecuritieslaws).EachInvestorandHolderconsentstotheCompanymakinganotationonitsrecordsandgivinginstructionstoanytransferagentoftheRestrictedSecuritiesinordertoimplementtherestrictionsontransferestablishedinthisSection1.1.4NoticeofProposedTransfers.TheholderofeachcertificaterepresentingRestrictedSecurities,byacceptancethereof,agreestocomplyinallrespectswiththeprovisionsofthisSection1.Priortoanyproposedsale,assignment,transferorpledgeofanyRestrictedSecurities,unlessthereisineffectaregistrationstatementundertheSecuritiesActcoveringtheproposedtransfer,theholderthereofshallgivewrittennoticetotheCompanyofsuchholder’sintentiontoeffectsuchtransfer,sale,assignmentorpledge.Eachsuchnoticeshalldescribethemannerandcircumstancesoftheproposedtransfer,sale,assignmentorpledgeinsufficientdetail,andshallbeaccompaniedatsuchholder’sexpensebyeither(i)awrittenopinionoflegalcounselwhoshall,andwhoselegalopinionshallbe,reasonablysatisfactorytotheCompany,addressedtotheCompany,totheeffectthattheproposedtransferoftheRestrictedSecuritiesmaybeeffectedwithoutregistrationundertheSecuritiesAct,or(ii)anoactionletterfromtheCommissiontotheeffectthatthetransferofsuchsecuritieswithoutregistrationwillnotresultinarecommendationbythestaffoftheCommissionthatactionbetakenwithrespectthereto,or(iii)anyotherevidencereasonablysatisfactorytocounseltotheCompany,whereupontheholderofsuchRestrictedSecuritiesshallbeentitledtotransfersuchRestrictedSecuritiesinaccordancewiththetermsofthenoticedeliveredbytheholdertotheCompany.TheCompanywillnotrequiresuchalegalopinionornoactionletter(a)inanytransactionincompliancewithRule144or(b)inanytransactioninwhichanInvestorwhichisapartnershipdistributesRestrictedSecuritiessolelytopartnersthereoffornoadditionalconsideration.EachcertificateevidencingtheRestrictedSecuritiestransferredasaboveprovidedshallbear,exceptifsuchtransferismadepursuanttoRule144,theappropriaterestrictivelegendsetforthinSection1.3above,exceptthatsuchcertificateshallnotbearsuchrestrictivelegendif,intheopinionofcounselforsuchholderandtheCompany,suchlegendisnotrequiredinordertoestablishcompliancewithanyprovisionsoftheSecuritiesAct.1.5RequestedRegistration.(a)RequestforRegistration.IncasetheCompanyshallreceivefromInitiatingHoldersawrittenrequestthattheCompanyeffectanyregistration,qualificationorcompliancewithrespecttotheRegistrableSecurities,theCompanywill:(i)promptlygivewrittennoticeoftheproposedregistration,qualificationorcompliancetoallotherHolders;and(ii)assoonaspracticable,useitscommerciallyreasonableeffortstoeffectsuchregistration,qualificationorcompliance(including,withoutlimitation,theexecutionofanundertakingtofilepost-effectiveamendments,appropriatequalificationunderapplicableblueskyorotherstatesecuritieslawsandappropriatecompliancewithapplicableregulationsissuedundertheSecuritiesActandanyothergovernmentalrequirementsorregulations)asmaybesorequestedandaswouldpermitorfacilitatethesaleanddistributionofallorsuchportionofsuchRegistrableSecuritiesasarespecifiedinsuchrequest,togetherwithallorsuchportionoftheRegistrableSecuritiesofanyHolderorHoldersjoininginsuchrequestasarespecifiedinawrittenrequestreceivedbytheCompanywithinthirty(30)daysafterreceiptofsuchwrittennoticefromtheCompany;provided,however,thattheCompanyshallnotbeobligatedtotakeanyactiontoeffectanysuchregistration,qualificationorcompliancepursuanttothisSection1.5;(1)InanyparticularjurisdictioninwhichtheCompanywouldberequiredtoexecuteageneralconsenttoserviceofprocessineffectingsuchregistration,qualificationorcomplianceunlesstheCompanyisalreadysubjecttoserviceinsuchjurisdictionandexceptasmayberequiredbytheSecuritiesAct;(2)Priortotheearlierof(a)oneyearfollowingtheeffectivedateofthefirstpublicofferingoftheCommonStockoftheCompanytothegeneralpublicwhichiseffecte