附件 10.3
注册 权利协议
本 注册权协议(本协议)于2024年3月13日由YA II PN,LTD.签订, a开曼群岛豁免有限合伙企业(“投资者”)和CELULARITY INC.,根据特拉华州法律成立的公司(“公司”)。投资者和本公司在此可单独称为 "一方",统称为"双方"。
除此之外, 公司和投资者已于本协议之日签署了特定备用股权购买协议,(“购买 协议”),根据该协议,公司可不时向投资者发行最多1000万美元的新发行 公司A类普通股股份,每股面值0.0001美元(“普通股”);及
除此之外, 根据《购买协议》的条款,并考虑到投资者签署和交付《购买协议》,为了促使投资者 执行和交付《购买协议》,公司同意根据 经修订的1933年证券法及其下的规则和条例,或任何类似的后续法规,向投资者提供某些登记权(统称为《证券法》)。
协议书
因此,考虑到本协议所包含的前提和共同契约以及其他良好且有价值的对价( 特此确认其已收到并充分),公司和投资者特此达成如下协议:
1. 定义
此处使用的术语(未另行定义)应具有采购协议中规定的各自含义。 本协议中使用的下列术语具有以下含义:
(a) "生效截止日期"是指,就根据本协议提交的初始注册声明而言,提交该声明后的第45个日历日 ,但是,如果公司收到美国证券交易委员会 (以下简称"SEC")通知,注册声明将不会被审查或不再接受进一步审查和评论, 该注册声明的生效截止日期应为公司 收到通知之日后的第五个工作日,如果该日期早于上述要求的日期。
(b) “交易法”是指经修订的1934年证券交易法及其颁布的规则和条例。
(c) "申请截止日期"是指,就以下要求的初始注册声明而言,2024年5月3日。
(d) "个人"是指公司、有限责任公司、协会、合伙企业、组织、企业、 个人、其中的政府或政治分支机构或政府机构。
(e) “招股说明书”指登记声明中包含的招股说明书(包括但不限于,招股说明书 ,该招股说明书 包含先前在招股说明书中遗漏的任何信息,该招股说明书依据根据《证券法》颁布的 规则430A作为有效登记声明的一部分而提交),经任何招股说明书增补件修订或补充,关于 登记声明所涵盖的任何部分可登记证券的发售条款,以及招股说明书的所有其他修订和补充 ,包括生效后的修订,以及所有以引用方式并入或被视为以引用方式并入该招股说明书的材料。
(f) "可登记证券"指所有(i)股份(定义见采购协议)和承诺份额 (定义见《购买协议》),(ii)就股份和承诺股份已发行或可发行的任何股本,包括但不限于(1)由于任何股票分割、股票股息或其他分配、资本重组或类似事件或其他原因, 和(2)普通股转换或交换为的公司股本股份和普通股转换或交换为的 继承实体的股本股份。
(g) "登记声明"指本公司根据本协议提交的任何登记声明,包括 招股说明书、该登记声明或招股说明书的修订和补充,包括生效后的修订、其所有附件 以及通过引用并入或被视为通过引用并入该登记声明的所有材料。
(h) "所需登记数量"指(i)对于初始登记声明,至少1,255,000股根据购买协议发行或将发行的普通股和承诺股份,以及(ii)对于后续 登记声明,投资者要求的普通股股份数量不得超过 所有当时尚未发行的承兑票据转换时可发行的最大 普通股股数的300% (假设 就本协议的目的而言,(x)该等承兑票据可按转换价转换 (如其中定义)在确定日期生效。 及(y)任何该等兑换不应考虑 其中规定的对承兑票据兑换的任何限制),每一种情况下,都须遵守第2条(e)款所列的任何削减。
(i) "第144条"系指《证券法》下的第144条或其任何后续规则。
(j) "第415条规则"指SEC根据《证券法》颁布的第415条规则,该规则 可能不时修改,或SEC此后通过的任何类似规则或法规,其目的和效力与该规则基本相同。
(K) “美国证券交易委员会”指当时管理证券法和交易法的美国证券交易委员会或任何其他联邦机构。
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(L) 《证券法》的含义与前述规定相同。
2. 注册。
(A) 本公司于本条款第二节所载的注册责任,包括提交注册声明、取得注册声明的效力及维持已宣布生效的任何注册声明的持续效力的责任,应自注册声明生效之日起计,并持续至(I)投资者已出售所有 注册证券之日及(Ii)购买协议终止之日(如投资者于该终止日期并无持有注册证券)(“注册期”),两者以较早者为准。
(B) 在遵守本协议的条款和条件的情况下,公司应(I)在切实可行的范围内尽快(但在任何情况下不得迟于提交 截止日期)以S-3表格(或如果本公司当时不符合资格,则以S-1表格的形式)或任何后续表格向美国证券交易委员会编制并提交一份初步注册说明书,其中涵盖投资者根据适用的 美国证券交易委员会规则转售所需注册金额的内容。法规和解释,以允许投资者根据规则415以当时的市场价格(而不是固定价格)转售该等应登记证券。注册说明书应包含“出售股东”和“分配计划”部分。公司应尽其商业上合理的努力,在切实可行的范围内尽快使美国证券交易委员会宣布注册声明生效,但在任何情况下不得晚于生效截止日期。在生效日期后的下一个营业日上午9:30之前,本公司应根据证券法 下的第424条向美国证券交易委员会提交根据该注册说明书用于销售的最终招股说明书。在向美国证券交易委员会提交注册说明书之前,公司应将注册说明书的草稿提交给投资者审阅和评论。 投资者应在收到公司的注册说明书后24小时内向公司提交对注册说明书的意见。
(C) 足够数量的股份登记。如果在任何时候,由于第2(E)节或其他原因,根据第2(A)节提交的注册声明 未涵盖所有应注册证券,公司应尽其商业合理努力向美国证券交易委员会提交一份或多份额外的注册声明,以涵盖该 初始注册声明未涵盖的所有应注册证券,在每一情况下,应在可行范围内尽快(考虑到美国证券交易委员会工作人员在工作人员允许向美国证券交易委员会提交该额外注册声明之日(S)和美国证券交易委员会规章制度 之前的任何立场)。本公司应尽其商业上合理的努力,使每份该等新的注册说明书在填写美国证券交易委员会后,在合理的切实可行范围内尽快生效。
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(D) 在注册期内,本公司应(I)迅速编制并向美国证券交易委员会提交根据证券法颁布的第424条规则将提交的招股说明书和与注册声明及招股说明书相关的必要修订(包括生效后的 修订)和招股说明书,以使该注册声明在注册期内始终有效 ;(Ii)编制并向美国证券交易委员会提交额外的注册声明以根据证券法登记 所有应注册证券;(Iii)促使相关招股说明书在生效后通过任何所需的修订或补充(在符合本协议条款的情况下)进行修订或补充 ,并根据规则424提交修订或补充。(Iv)在合理可能范围内,尽快回应美国证券交易委员会就注册声明或其任何修订或补充提出的任何意见,并在合理可能范围内尽快向投资者提供美国证券交易委员会发出并与注册声明有关的所有函件的真实及 完整副本(前提是公司可删除其中所载的任何资料,而该等资料会构成任何未与本公司签订保密协议的投资者的重大非公开资料);及(V)遵守证券法有关处置该注册声明所涵盖的本公司所有应注册证券的规定,直至所有该等应注册证券已按照该注册声明所载的一名或多名卖方拟采用的处置方法处置为止。如果因公司根据交易法提交表格10-K、表格10-Q或表格8-K或任何类似报告而需要根据本协议 (包括根据本第2(C)节)提交登记声明的修订和补充,公司应在允许的情况下通过引用将该报告纳入注册声明中, 或应在交易所法案报告提交后,在合理可行的情况下尽快向美国证券交易委员会提交有关修订或补充 ,从而要求本公司修改或补充注册说明书。
(e) 减少登记声明中包含的可登记证券。尽管本文中包含任何内容,如果 SEC要求公司减少登记声明中包含的可登记证券的数量,以便 允许公司在登记声明中依赖规则415,则公司应减少该登记声明中所包含的可登记证券的数量(在与投资者协商将从中删除的具体可登记证券 后),最大数量为SEC允许登记的证券。如果根据本段的规定减少 可登记证券,公司应尽其商业上的合理努力,按照第2(c)节的规定向证监会提交一份或多份新的 登记声明,直至所有可登记证券都被 列入已宣布生效的登记声明中,且其中所载的有效性可供投资者使用。
(f) Failure to File or Obtain Effectiveness of the Registration Statement or Remain Current. If: (i) a Registration Statement is not filed on or prior to its Filing Date, or (ii) a Registration Statement is not declared effective on or prior to the Effectiveness Deadline, or the Company fails to file with the SEC a request for acceleration in accordance with Rule 461 promulgated under the Securities Act, within five business days of the date that the Company is notified (orally or in writing, whichever is earlier) by the SEC that a Registration Statement will not be “reviewed,” or not subject to further review, or (iii) after the effectiveness, a Registration Statement ceases for any reason to remain continuously effective as to all Registrable Securities for which it is required to be effective (subject to Section 3(d)), or (iv) the Investor is not permitted to utilize the Prospectus therein to resell such Registrable Securities for more than 315 consecutive calendar days or more than an aggregate of 30 calendar days during any 12-month period (which need not be consecutive calendar days), or (v) if after the date that is six months from the date hereof, the Company does not have available adequate current public information as set forth in Rule 144(c) (any such failure or breach being referred to as an “Event”), then in addition to any other rights the Investor may have hereunder or under applicable law, such Event shall constitute a breach of the term and conditions of this Agreement and such Event shall be deemed an event of default for so long as such Event remains uncured. During the period of the existence of an uncured Event, the Investor shall have no obligation to accept an Advance Notice or accept or purchase any Advance Shares (other than any Advance Shares purchased by the Investor prior to the occurrence of the Event).
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(g) Piggy-Back Registrations. If at any time there is not an effective Registration Statement covering all of the Registrable Securities and the Company proposes to register the offer and sale of any Common Shares under the Securities Act (other than a registration (i) pursuant to a Registration Statement on Form S-8 ((or other registration solely relating to an offering or sale to employees or directors of the Company pursuant to any employee stock plan or other employee benefit arrangement), (ii) pursuant to a Registration Statement on Form S-4 (or similar form that relates to a transaction subject to Rule 145 under the Securities Act or any successor rule thereto), or (iii) in connection with any dividend or distribution reinvestment or similar plan), whether for its own account or for the account of one or more stockholders of the Company and the form of Registration Statement to be used may be used for any registration of Registrable Securities, the Company shall give prompt written notice (in any event no later than five days prior to the filing of such Registration Statement) to the holders of Registrable Securities of its intention to effect such a registration and, shall include in such registration all Registrable Securities with respect to which the Company has received written requests for inclusion from the holders of Registrable Securities; provided, however, that, the Company shall not be required to register any Registrable Securities pursuant to this Section 2(g) that have been sold or may permanently be sold without any restrictions pursuant to Rule 144, as determined by the counsel to the Company pursuant to a written opinion letter to such effect, addressed and acceptable to the Company’s transfer agent.
(h) 不包括其他证券。在任何情况下,本公司不得在根据第2(a)或第2(c)条的任何 登记声明中包括除可登记证券以外的任何证券,在向SEC提交此类 登记声明之前,未经与投资者协商。
3. 相关义务。
(a) 公司应在提交每份登记声明书前不少于三个营业日,以及提交所有登记声明书的任何相关修订和补充的不少于一个营业日 ,(10—K表格的年度报告除外, 更新注册声明的补充和修订,仅用于在公司年度报告中反映的信息 表格10—K,表格10—Q的季度报告或表格8—K的当前报告),向每个投资者提供建议 提交所有该等文件的副本,这些文件(不包括以引用方式并入或视为以引用方式并入的文件)将受到该投资者的合理 和迅速审查。本公司不得提交注册声明或任何此类招股说明书或其任何修订或补充,投资者应善意合理反对; 提供在向投资者提供登记声明副本后的两(2)个工作日内,以书面形式通知本公司该反对。
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(b) 本公司应免费向每名投资者提供其可登记证券包含在任何登记声明中的可登记证券的副本(i) SEC宣布生效的注册声明及其任何修订 ,包括财务报表和附表、以引用方式纳入其中的所有文件、所有证物和每份初步 招股说明书,(ii)该登记声明中包含的最终招股说明书的至少一份(可以是电子形式)及其所有修订和补充,以及(iii)投资者 为便于处置该投资者拥有的可登记证券而不时合理要求的任何文件,这些文件不能通过EDGAR公开获得。
(c) The Company shall use its commercially reasonable efforts to (i) register and qualify the Registrable Securities covered by a Registration Statement under such other securities or “blue sky” laws of such jurisdictions in the United States as any Investor reasonably requests, (ii) prepare and file in those jurisdictions, such amendments (including post-effective amendments) and supplements to such registrations and qualifications as may be necessary to maintain the effectiveness thereof during the Registration Period, (iii) take such other actions as may be necessary to maintain such registrations and qualifications in effect at all times during the Registration Period, and (iv) take all other actions reasonably necessary or advisable to qualify the Registrable Securities for sale in such jurisdictions; provided, however, that the Company shall not be required in connection therewith or as a condition thereto to (w) make any change to its articles of incorporation or by-laws, (x) qualify to do business in any jurisdiction where it would not otherwise be required to qualify but for this Section 3I, (y) subject itself to general taxation in any such jurisdiction, or (z) file a general consent to service of process in any such jurisdiction. The Company shall promptly notify each Investor who holds Registrable Securities of the receipt by the Company of any notification with respect to the suspension of the registration or qualification of any of the Registrable Securities for sale under ecurityrities or “blue sky” laws of any jurisdiction in the United States or its receipt of actual notice of the initiation or threat of any proceeding for such purpose.
(d) As promptly as practicable after becoming aware of such event or development, the Company shall notify each Investor in writing of the happening of any event, as a result of which the Prospectus included in a Registration Statement, as then in effect, includes an untrue statement of a material fact or omission to state a material fact required to be stated therein or necessary to make the statements therein, in light of the circumstances under which they were made, not misleading (provided that in no event shall such notice contain any material, nonpublic information), and promptly prepare a supplement or amendment to such Registration Statement to correct such untrue statement or omission and deliver one electronic copy of such supplement or amendment to the Investor. The Company shall also promptly notify each Investor in writing (i) when a Prospectus or any Prospectus supplement or post-effective amendment has been filed, and when a Registration Statement or any post-effective amendment has become effective (notification of such effectiveness shall be delivered to each Investor by email on the same day of such effectiveness), (ii) of any request by the SEC for amendments or supplements to a Registration Statement or related prospectus or related information, and (iii) of the Company’s reasonable determination that a post-effective amendment to a Registration Statement would be appropriate. The Company shall respond as promptly as reasonably practicable to any comments received from the SEC with respect to a Registration Statement or any amendment thereto. The right to delay or suspend any filing, initial effectiveness or continued use of a Registration Statement pursuant to this Section 3(d) shall be exercised by the Company, in the aggregate, for not more than ninety (90) consecutive calendar days or more than one hundred and twenty (120) total calendar days in each case, during any twelve (12)-month period, provided that for so long as the Promissory Note remains outstanding, the such right to delay or suspend pursuant to this Section 3(d) shall not exceed twenty (20) consecutive calendar days.
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(E) 公司应尽最大努力阻止发出任何停止令或以其他方式暂停注册声明的效力,或暂停在美国境内任何司法管辖区出售的任何可注册证券的资格,如果发布了此类命令或暂停令,应尽快撤回该命令或暂停销售,并通知持有正在出售的可注册证券的每一名投资者该命令的发布及其决议,或其收到为此目的启动或威胁任何法律程序的实际通知。
(F) 在不限制本公司在购买协议下的任何责任的情况下,本公司应作出商业上合理的努力 促使每份注册声明涵盖的所有须注册证券在主板市场上市。公司应支付与履行本第3(F)条规定的义务相关的所有费用和开支。
(g) 本公司应保密,不得披露提供给本公司的有关投资者的任何信息,除非 (i)披露此类信息是遵守联邦或州证券法所必需的,(ii)披露此类信息是避免或纠正任何登记声明中的错误陈述或遗漏所必需的,(iii)根据法院或具有管辖权的政府机构发出的传票或其他最终的、不可上诉的命令,或(iv)该等 信息已被公众普遍获取,而非违反本协议或任何其他协议的披露。 本公司同意,在获悉有关投资者的此类信息被要求向法院 或有管辖权的政府机构或通过其他方式披露时,应立即向该投资者发出书面通知,并允许该投资者 采取适当行动防止此类信息的披露或获得保护令,费用由投资者承担。
(h) 公司应与可登记证券持有人合作,以促进及时准备和交付代表根据该登记声明或规则144出售的可登记证券的簿记 登记,不含任何限制性 图例,并代表可登记证券持有人合理 的普通股数量和名称进行登记在根据该登记声明或规则转售可登记证券后,立即提出要求;条件是,公司 可履行其在本协议项下的义务,而无需使用存管信托公司的 直接登记系统发布实体记账报表。
(i) 公司应尽其商业上的合理努力,使可登记证券在完成该等可登记证券处置合理必要的其他政府机构或机关登记或批准。
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(j) 公司应在其他方面尽其商业上合理的努力,遵守SEC关于 任何注册的所有适用规则和条例。
(k) 在美国证券交易委员会宣布涵盖可登记证券的登记声明生效后的两个工作日内,公司 应交付,并应安排公司的法律顾问交付,该等可登记证券的过户代理人(将 副本送交投资者,其可登记证券包含在该登记声明中)确认该登记 该声明已由SEC宣布生效。
(l) 本公司应采取所有其他必要的合理行动,以加速和便利每位投资者根据登记声明处置可登记 证券。
4. 投资者的义务。
(a) 投资者同意,在收到本公司关于发生第 3(d)节所述任何事件的通知后,投资者应在合理可行的范围内尽快根据涵盖该等可登记证券的任何登记声明停止处置可登记证券,直至投资者收到第3节所考虑的补充或修订的招股说明书 的副本为止(d)或收到不需要补充或修改的通知。尽管有任何相反的规定, 在遵守证券法的前提下,公司应促使其过户代理人根据《购买协议》的条款,将普通股的未登记簿记登记 交付给投资者的受让人,收到 公司关于发生第3(d)条所述类型且投资者尚未解决的任何事件的通知。
(b) 投资者承诺并同意其将遵守适用于 的《证券法》的招股说明书交付要求或根据《登记声明》销售可登记证券的豁免。
(c) 投资者通过接受可登记证券,同意按照公司合理要求与公司合作 ,以编制和存档本协议下的每份登记声明,除非投资者已书面通知公司 投资者选择将投资者的所有可登记证券排除在该登记声明之外。
5. 注册费用。
公司在履行本协议项下的义务以及与注册 和处置可登记证券有关的所有 费用应由公司支付,包括但不限于所有注册、上市和 资格费、打印费,公司律师和会计师的费用和开支(投资者律师与审核注册声明相关的律师费用除外)。
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6. 赔偿。
关于本协议项下的登记声明中包含的可登记证券:
(a) To the fullest extent permitted by law, the Company will, and hereby does, indemnify, hold harmless and defend the Investor, the directors, officers, partners, employees, agents, representatives of, and each Person, if any, who controls any Investor within the meaning of the Securities Act or the Exchange Act (each, an “Indemnified Person”), against any losses, claims, damages, liabilities, judgments, fines, penalties, charges, costs, reasonable attorneys’ fees, amounts paid in settlement or expenses, joint or several (collectively, “Claims”) incurred in investigating, preparing or defending any action, claim, suit, inquiry, proceeding, investigation or appeal taken from the foregoing by or before any court or governmental, administrative or other regulatory agency, body or the SEC, whether pending or threatened, whether or not an indemnified party is or may be a party thereto (“Indemnified Damages”), to which any of them may become subject insofar as such Claims (or actions or proceedings, whether commenced or threatened, in respect thereof) arise out of or are based upon: (i) any untrue statement or alleged untrue statement of a material fact in a Registration Statement or any post-effective amendment thereto or in any filing made in connection with the qualification of the offering under the securities or other “blue sky” laws of any jurisdiction in which Registrable Securities are offered (“Blue Sky Filing”), or the omission or alleged omission to state a material fact required to be stated therein or necessary to make the statements therein not misleading; (ii) any untrue statement or alleged untrue statement of a material fact contained in any final prospectus (as amended or supplemented, if the Company files any amendment thereof or supplement thereto with the SEC) or the omission or alleged omission to state therein any material fact necessary to make the statements made therein, in light of the circumstances under which the statements therein were made, not misleading; or (iii) any violation or alleged violation by the Company of the Securities Act, the Exchange Act, any other law, including, without limitation, any state securities law, or any rule or regulation there under relating to the offer or sale of the Registrable Securities pursuant to a Registration Statement (the matters in the foregoing clauses (i) through (iii) being, collectively, “Violations”). The Company shall reimburse the Investors and each such controlling person promptly as such expenses are incurred and are due and payable, for any legal fees or disbursements that are reasonably incurred by them or other reasonable expenses incurred by them in connection with investigating or defending any such Claim. Notwithstanding anything to the contrary contained herein, the indemnification agreement contained in this Section 6(a): (x) shall not apply to a Claim by an Indemnified Person arising out of or based upon a Violation that occurs in reliance upon and in conformity with information furnished in writing to the Company by such Indemnified Person expressly for use in connection with the preparation of the Registration Statement or any such amendment thereof or supplement thereto; (y) shall not be available to the extent such Claim is based on a failure of the Investor to deliver or to cause to be delivered the prospectus made available by the Company, if such prospectus was timely made available by the Company pursuant to Section 3(c); and (z) shall not apply to amounts paid in settlement of any Claim if such settlement is effected without the prior written consent of the Company, which consent shall not be unreasonably withheld. Such indemnity shall remain in full force and effect regardless of any investigation made by or on behalf of the Indemnified Person.
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(B) 就注册声明而言,投资者同意以与第6(A)节规定相同的程度和方式,对本公司、其每名董事、其每名高管、员工、代表或代理人,以及根据证券法或交易法意义控制本公司的每一人(每个人均为“受保障方”),就其根据证券法、交易所法或其他规定可能受到的任何索赔或赔偿损失进行赔偿、保持无害和抗辩。如果该索赔或弥偿损害赔偿是由于或基于任何违反行为而产生的,且在每种情况下,违反行为的程度均为 ,且仅在以下范围内发生:(I)依赖并符合该投资者向公司提供的与该注册声明相关的书面信息,或(Ii)投资者违反《证券法》、《交易法》、任何其他法律(包括但不限于任何州证券法)下招股说明书交付要求,或任何规则或规章,涉及根据注册声明要约或出售可注册证券 ;除第6(D)款另有规定外,投资者应在发生并到期支付此类费用时,迅速报销因调查或抗辩任何此类索赔而合理产生的任何法律或其他费用;但如果未经该投资者事先书面同意,则第6(B)款中包含的赔偿协议和第7款中关于分担的协议不适用于为解决任何索赔而支付的金额, 不得无理拒绝、附加条件或拖延同意;然而,此外,如无欺诈或严重疏忽,投资者只须根据本条第6(B)条就不超过因根据注册声明出售可注册证券而向该投资者收取的款项净额的索偿或获弥偿损害赔偿承担责任。无论受补偿方或其代表进行任何调查,该赔偿应保持完全效力和效力。尽管本文有任何相反规定,如果招股说明书中包含的不真实陈述或遗漏的重大事实得到纠正,且新的招股说明书已在投资者使用与索赔相关的招股说明书之前交付给每一名投资者,则本条第6(B)条中包含的关于招股说明书的赔偿协议不应 对任何受保障方有利。
(c) Promptly after receipt by an Indemnified Person or Indemnified Party under this Section 6 of notice of the commencement of any action or proceeding (including any governmental action or proceeding) involving a Claim, such Indemnified Person or Indemnified Party shall, if a Claim in respect thereof is to be made against any indemnifying party under this Section 6, deliver to the indemnifying party a written notice of the commencement thereof, and the indemnifying party shall have the right to participate in, and, to the extent the indemnifying party so desires, jointly with any other indemnifying party similarly noticed, to assume control of the defense thereof with counsel reasonably mutually satisfactory to the indemnifying party and the Indemnified Person or the Indemnified Party, as the case may be; provided, however, that an Indemnified Person or Indemnified Party shall have the right to retain its own counsel with the fees and expenses of not more than one (1) counsel for such Indemnified Person or Indemnified Party to be paid by the indemnifying party, if, in the reasonable opinion of counsel retained by the indemnifying party, the representation by such counsel of the Indemnified Person or Indemnified Party and the indemnifying party would be inappropriate due to actual or potential differing interests between such Indemnified Person or Indemnified Party and any other party represented by such counsel in such proceeding. The Indemnified Party or Indemnified Person shall cooperate fully with the indemnifying party in connection with any negotiation or defense of any such action or claim by the indemnifying party and shall furnish to the indemnifying party all information reasonably available to the Indemnified Party or Indemnified Person which relates to such action or claim. The indemnifying party shall keep the Indemnified Party or Indemnified Person fully apprised at all times as to the status of the defense or any settlement negotiations with respect thereto. No indemnifying party shall be liable for any settlement of any action, claim or proceeding effected without its prior written consent; provided, however, that the indemnifying party shall not unreasonably withhold, delay or condition its consent. No indemnifying party shall, without the prior written consent of the Indemnified Party or Indemnified Person, which consent shall not be unreasonably withheld, conditioned or delayed, consent to entry of any judgment or enter into any settlement or other compromise which does not include as an unconditional term thereof the giving by the claimant or plaintiff to such Indemnified Party or Indemnified Person of a release from all liability in respect to such claim or litigation. Following indemnification as provided for hereunder, the indemnifying party shall be subrogated to all rights of the Indemnified Party or Indemnified Person with respect to all third parties, firms or corporations relating to the matter for which indemnification has been made. The failure to deliver written notice to the indemnifying party within a reasonable time of the commencement of any such action shall not relieve such indemnifying party of any liability to the Indemnified Person or Indemnified Party under this Section 6, except to the extent that the indemnifying party is prejudiced in its ability to defend such action.
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(d) 本第6条所要求的赔偿应在调查过程中 或辩护过程中,在收到账单或发生赔偿损害时,定期支付赔偿金额。
(E) 本合同中包含的赔偿协议应附加于(I)被赔偿方或被赔偿人针对赔偿方或其他人提起诉讼的任何理由或类似权利,以及(Ii)根据法律规定赔偿方可能承担的任何责任。
7. 贡献。
如果 赔偿方的任何赔偿受到法律禁止或限制,赔偿方同意在法律允许的最大范围内,就其根据第6条应承担的任何金额作出最大 赔偿;但是, 条件是:(i)任何可予登记证券的销售人,(在证券法第 第11(f)节的含义内)应有权从任何未犯欺诈性 虚假陈述罪的可登记证券卖方获得出资;及(ii)任何可登记证券卖方的出资额应限于该卖方从出售该可登记证券中收到的收益净额 。
8. 根据《交易法》提交的报告。
为了向投资者提供根据《证券法》颁布的规则144或证券交易委员会任何类似规则或条例 的利益,该规则或条例可能随时允许投资者在未经登记的情况下向公众出售公司证券,并作为投资者购买本票的重要诱因 ,公司声明、保证和承诺如下:
(a) 本公司须遵守《交易法》第13条或第15(d)条的报告要求,并已在本报告日期之前的12个月内(或发行人被要求 提交此类报告的较短期限内)提交了《交易法》第13条或第15(d)条规定的所有报告,但表8—K报告除外。
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(b) 在注册期内,公司应及时向证券交易委员会提交根据《交易法》第13条或第15条(d)款所要求的所有报告 (应理解,此处的任何内容均不限制公司在《购买协议》下的义务) ,并且此类报告应符合《交易法》和证券交易委员会在所有重要方面的要求。
(c) 只要投资者拥有可登记证券,公司应根据要求迅速向投资者提供(i)公司的书面 声明,说明其已遵守规则144的报告要求,(ii)公司最近的年度或季度 报告以及公司如此提交的此类其他报告和文件的副本,及(iii)为允许投资者根据第144条未经登记而出售该等证券而合理要求的其他资料。
9. 注册权的修订。
只有在获得公司和投资者的书面同意的情况下,本协议的条款 可以修改和放弃遵守(一般或在特定情况下,追溯 或预期)。根据 本第9条作出的任何修改或放弃均应对投资者和公司具有约束力。任何此类修正案 适用于少于所有可登记证券持有人的范围内均无效。不得向任何人提供或支付任何代价以修改 或同意放弃或修改本协议任何条款,除非本协议的所有 方也提供了相同的代价。
10. 其他。
(a) 当某人拥有或被视为记录拥有该等可登记证券 或拥有接收该等可登记证券的权利时,该人即被视为该等可登记证券的持有人。如果本公司收到来自两个或多个人的关于同一可登记证券的指示、通知或选择 ,本公司应根据从该可登记证券的登记所有人收到的指示、通知 或选择采取行动。
(b) 没有其他注册。除非投资者另行同意,否则本公司不得将任何其他证券包括在登记声明中,其中包括可登记证券 ,此类同意不得被无理拒绝、附加条件或延迟。
(c) 任何通知、同意、根据本协议条款要求或允许提供的放弃或其他通信必须以 为书面形式,并将被视为已根据采购协议的通知条款交付,或送达收件人通过书面通知指定的其他地址 和/或电子邮件地址和/或收件人的其他人 在该变更生效前五(5)天内向对方发送。(A)收件人 发出的此类通知、同意、放弃或其他通信的书面收到确认,(B)发件人的电子邮件服务提供商以电子方式生成的包含 时间、日期和收件人电子邮件的,或(C)快递或隔夜快递服务提供的个人服务的可驳回证据,通过电子邮件或国家认可的隔夜快递服务的收据根据本节。
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(d) 任何一方未能行使本协议项下的任何权利或补救措施,或任何一方延迟行使该等权利或补救措施 或补救措施,不应视为放弃。
(E) 纽约州的法律将管辖与公司和投资者作为其股东的相对权利有关的所有问题。 关于本协议的解释、有效性、执行和解释的所有其他问题应受纽约州国内法律的管辖,不适用于任何可能导致适用纽约州以外任何司法管辖区的法律的法律选择或法律冲突条款或规则(无论是纽约州还是任何其他司法管辖区)。每一方在此不可撤销地接受纽约州最高法院(纽约州纽约县开庭 )和纽约南区联邦法院(在纽约纽约开庭)的非专属管辖权,以裁决本协议项下或与本协议相关的任何争议,或与本协议预期或讨论的任何交易有关的任何争议,并在此不可撤销地放弃,并同意不在任何诉讼、诉讼或诉讼中主张其本人不受任何此类法院的管辖权管辖,该诉讼,诉讼或诉讼程序是在不方便的法院提起的,或者该诉讼、诉讼或诉讼程序的地点不当 。每一方在此不可撤销地放弃以面交方式送达程序文件,并同意在任何此类诉讼、诉讼或诉讼程序中将程序文件的副本邮寄到根据本协议向其发出该等通知的地址,并同意 该等送达应构成对程序文件及其通知的充分有效的送达。此处包含的任何内容均不得视为以任何方式限制以法律允许的任何方式送达过程的任何权利。如果本协议的任何条款在任何司法管辖区无效或不可执行 ,则该无效或不可执行性不应影响本协议的其余部分在该司法管辖区的有效性或可执行性 或本协议的任何条款在任何其他司法管辖区的有效性或可执行性。各方在此 不可撤销地放弃其可能拥有的任何权利,并同意不要求对本协议项下或与本协议有关或因本协议或本协议预期进行的任何交易引起的任何争议进行陪审团审判。
(F) 本协议适用于本协议双方允许的继承人和受让人的利益,并对其具有约束力。
(G) 本协议中的标题仅供参考,不得限制或以其他方式影响本协议的含义。
(H) 本协议可以相同的副本签署,两者应被视为同一份协议,并在双方签署副本并交付给另一方后生效。电子扫描并交付的签名 (包括美国联邦2000年ESIGN法案、统一电子交易法案、电子签名和记录法案或其他适用法律(例如www.docusign.com)所涵盖的任何电子签名),应被视为已正式且有效地交付,并且在本协议的所有目的下均有效。
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(I) 各方应作出和履行,或促使作出和履行所有该等进一步的行为和事情,并应签署和交付另一方可能合理要求的所有其他协议、证书、文书和文件,以实现本协议的意图、实现本协议的目的和完成本协议预期的交易。
(J) 本协议中使用的语言将被视为各方为表达其相互意向而选择的语言,严格的解释规则将不适用于任何一方。
(K) 本协议的目的是为了本协议双方及其各自允许的继承人和受让人的利益,而不是为了任何其他人的利益,也不能由任何其他人执行本协议的任何规定。
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兹证明,投资者与本公司在本登记权协议上的签字页已于上文首次写明的日期正式签署。
公司: | ||
CELULARITY Inc. | ||
发信人: | /S/ David啤酒 | |
名称: | David啤酒 | |
标题: | 首席财务官 |
投资者: | ||
YA II PN,Ltd. | ||
发信人: | 约克维尔 Advisors Global,LP | |
ITS: | 投资经理 | |
发信人: | 约克维尔 Advisors Global II,LLC | |
ITS: | 普通合伙人 | |
发信人: | /s/ 马修·贝克曼 | |
名称: | 马修·贝克曼 | |
标题: |
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