展示10.2
プレースメントエージェンシー契約書
2024年10月 [●]、2024年
マイケル ウィンストン
最高経営責任者
Jet.AI株式会社
10845 グリフィス・ピーク・ドライブ、スイート200
Las Vegas, NV 89135
親愛なる マイケル:
この契約(以下、「契約”) constitutes the agreement between Maxim Group LLC (“Maximランブル配置 エージェント)とJet.人工知能インク、デラウェア法人(以下、「会社当Maximは、会社に対する提案されている調達に関連して、「商業的に合理的な努力」ベースで、独占的な配置エージェントとして奉仕することとします調達会社の特定の証券(以下、『証券』)の調達に関連して、会社、Maxim、および証券の購入者(各々、『購入者代理買い手その他の")"には、Maximが会社または購入者に拘束力を持つ権限や権限を有すると見なすものは何もない、または会社が証券を発行する義務があることを求めるものではありません。この契約書および証券発行に関連して会社および購入者が実施し提出した文書(以下、「購入契約」という)を総称してここに「取引文書。この「」に従い、証券の購入価格の支払いおよび引き渡しは、クロージング(以下、"終値」となる日付、クロージングが発生する日は、「中止日」とします。会社は、Maximの義務が商業的に合理的な努力に基づくものであることを明確に認識し、この契約の締結がMaximに証券を購入する法的または拘束力のある約束を果たさせるものではないこと、会社を投資家に紹介するものではなく、証券またはその一部の成功な誘致を保証せず、また会社の他の金融を確保するためのMaximの成功を保証しないことを明示的に認識および同意しています。販売代理店は、プレースメントに関連してその代理人または選定された販売代理店として他のブローカーまたは販売代理店を雇用してもよいです。いかなる購入者への証券の販売は、証券購入契約(以下、「購入契約書会社とその購入者との間の合意書を、会社とマクシムが合理的に受け入れ可能な形式で締結します。 購入契約で明示的に定義されていない大文字で表記された用語については、購入契約で規定される意味が適用されます。購入契約の締結前に、会社の役員は将来の購入者からの問い合わせに対応するために利用可能です。
セクション 1. 会社の表明と保証;会社の契約事項。
(a) 会社の表現取引所との取引に関連する購入契約において、会社が取引先に対して行った一切の表明および保証(その関連開示スケジュールを含む)および約束は、本契約に参照のため組み込まれ、全文がここに再掲されたものとして取り扱われ、本契約の日付および決済日時点で、兆.e取引所に対して行われたものとされる。上記に加え、会社は、自社の役員、取締役、または会社の十分の一(10.0%)以上の株主の中にFINRA加盟企業との関係がないことを表明および保証するものとし、会社が証券取引委員会に提出または提供した書類に記載されているものを除き委員会”).
(b) 会社は、以下の通り、マネージャーに対し契約する。会社は、以下の通り株式配当業者と契約し合意します。
(i) ブルースカイコンプライアンス。会社は、代表者が合理的に要求するかもしれない、そのような管轄区域の証券またはブルースカイ法の下で証券のセールスを要求する最善の努力をします。そのような要件がない場合、会社または任意の保証会社は(i)外国法人またはその他の事業体または証券ディーラーとしてなる必要がない管轄区域での認定を要求されない場合、(ii) いかなるそのような管轄区域でBreakany一般の訴訟に対する同意を提出する必要がない場合、または(iii)本来そこに含まれていない証券の販売に対して課税されていない場合、そのような管轄区域に課税される必要はありません。必要に応じて、会社はプレースメントエージェントおよび購入者と協力して、米国および外国の証券法の下で有価証券を販売するための資格を取得するように努めることに協力し、プレースメントエージェントおよび購入者が合理的に要請する各管轄区域で、その目的のために必要な資格取得申請、書類提出、情報提供を行いますが、会社は外国法人としての資格を取得する必要はなく、現在そのように要求されていない管轄区域で一般的な訴訟代理権に関する同意を提出する必要はありません。また、会社は新しい開示書類を提出する必要はありません。必要に応じて、会社は定期的に証券の流通期間をプレースメントエージェントが合理的に要請する期間だけ有効な状態に維持するために必要な報告書や他の書類を作成し、提出します。必要に応じて、会社はいつでも、証券の販売、取引または売買を停止するための資格または登録(またはそれに関連する免除)の一時停止、またはそれらの目的のための訴訟の開始または脅威について、プレースメントエージェントに迅速に通知します。また、そのような資格、登録、または免除の一時停止の発行があれば、会社は早急な時点でこれを取り下げるために最善の努力を払います。
(ii) 譲渡代理店会社は、費用を負担して有価証券のための登録機関および譲渡代理人を維持します。
2. 配置エージェントの表現。 配置代理人は、(i) FINRAの有効なメンバーであることを代表し、保証します。 、(ii) 証券取引法(1934年改正版)に基づきブローカー/ディーラーとして登録されていること、(iii) 該当の証券の提供および販売に関する州の法律に基づきブローカー/ディーラーとしてライセンスされていること、(iv) 法人として有効に設立された法律に従って存在し、存在するであろうこと、および(v) 本覚書の義務を遂行するための完全な権限と権限を有することを代表し、保証します。 配置代理人は、その地位の変更があった場合には、会社にすみやかに通知することを約束します。 配置代理人は、本覚書の規定および適用法の要件に準拠して、この配置を行うために合理的な最善の努力を行うことを約束します。取引所法従って、配置代理人は(i)FINRAの有効なメンバーであることを代表し、保証します。、(ii)証券取引法(1934年改正版)に基づきブローカー/ディーラーとして登録されていること、(iii)その起業地の法律に従い、該当証券の提供および販売を行うための最新の優先株証券売買合意書の条件と適用法の要件に準拠して仲介物としてライセンスされています。、(iv)法人として存在すること、実際の適用州の法律に従って適切に設立されています。 そして(v) この契約の義務を果たすためのパワーと権限があります。配置代理人は、その地位に変更があった場合は、すぐに書面により会社に通知することを約束します。配置代理人は、この覚書の規定および適用法の要件に準拠し、取引を適切に行うために合理的な最善の努力を使用することを約束します。
セクション 3. 補償。 こちらに提供されるサービスを考慮して、会社はプレイスメントエージェントまたはそれらの各々の指定者に、以下の補償に関して、配置された有価証券に基づいて、配置された有価証券について支払います。
2 |
(a) 現金手数料(「現金手数料」)は、調達された総収入の合計の7パーセント(7.0%)に相当します プレースメント。現金手数料はクロージング時に支払います。
(b) FINRA規則5110(f)(2)(D)の準拠を前提として、会社はまた、プレースメントエージェントに、クロージング後直接、プレースメントで調達された総収益よりも$25,000を超えない金額で、旅行費などの実費として発生する全セクターの費用、弁護士の合理的な料金、費用および支出などを全額返済することに同意します。
(c) The Placement Agent reserves the right to reduce any item of its compensation or adjust the terms thereof as specified herein in the event that a determination shall be made by FINRA to the effect that such Placement Agent’s aggregate compensation is in excess of FINRA rules or that the terms thereof require adjustment.
Section 4. Indemnification. The Company agrees to the indemnification and other agreements set forth in the Indemnification Provisions (the “Indemnification”) attached hereto as Addendum A, the provisions of which are incorporated herein by reference and shall survive the termination or expiration of this Agreement.
Section 5. Engagement Term.
(a) The Placement Agent’s engagement hereunder shall be until the earlier of (i) the Closing Date and (ii) December 31, 2024 (the period of time during which this Agreement remains in effect is referred to herein as the “Term”). Notwithstanding anything to the contrary contained herein, the provisions concerning confidentiality and indemnification and contribution contained herein and the Company’s obligations contained in the Indemnification Provisions will survive any expiration or termination of this Agreement. The Placement Agent agrees not to use any confidential information concerning the Company provided to the Placement Agent by the Company for any purposes other than those contemplated under this Agreement.
(b) For a period until January 31, 2025, the Company grants the Placement Agent the right of first refusal to act as sole agent or sole managing underwriter and sole book runner for any and all future public and private equity and public debt offerings during such period of the Company, or any successor to or any subsidiary of the Company. Placement Agent shall notify the Company within ten (10) days of its receipt of the written offer contemplated above as to whether or not it agrees to accept such retention. If Placement Agent should decline such retention, the Company shall have no further obligation to the Placement Agent with respect to the offering for which it has offered to retain the Placement Agent, except as specifically provided for herein. If, however, the terms of such financing proposal are subsequently modified in any material respect, the preferential right referred to herein shall apply to such modified proposal as if the original proposal had not been made. The Placement Agent’s failure to exercise its preferential right with respect to any particular proposal shall not affect its preferential rights relative to future proposals. Notwithstanding the foregoing, the right of first refusal shall be subject to FINRA Rule 5110(g)(5)(B), including that the right of first refusal may be terminated by the Company for “cause,” which shall include the Placement Agent’s material failure to provide the services contemplated in this Agreement, and the Company’s exercise of its right of “termination for cause” eliminates any obligations with respect to the payment of any termination fee or provision of the right of first refusal.
3 |
Section 6. Placement Agent Information. The Company agrees that any information or advice rendered by the Placement Agent in connection with this engagement is for the confidential use of the Company only in their evaluation of the Placement and, except as otherwise required by law, the Company will not disclose or otherwise refer to the advice or information in any manner without the Placement Agent’s prior written consent.
Section 7. No Fiduciary Relationship. This Agreement does not create, and shall not be construed as creating rights enforceable by any person or entity not a party hereto, except those entitled hereto by virtue of the Indemnification Provisions hereof. The Company acknowledges and agrees that the Placement Agent is not and shall not be construed as a fiduciary of the Company and shall have no duties or liabilities to the equity holders or the creditors of the Company or any other person by virtue of this Agreement or the retention of such Placement Agent hereunder, all of which are hereby expressly waived.
Section 8. Closing. The obligations of the Placement Agent, and the closing of the sale of the Securities hereunder are subject to the accuracy, when made and on the Closing Date, of the representations and warranties on the part of the Company and its subsidiaries contained herein and in the Purchase Agreement, to the accuracy of the statements of the Company and its subsidiaries made in any certificates pursuant to the provisions hereof, to the performance by the Company and its subsidiaries of their obligations hereunder, and to each of the following additional terms and conditions, except as otherwise disclosed to and acknowledged and waived by the Placement Agent to the Company:
(a) As applicable, the Placement Agent shall have received from outside counsel to the Company such counsel’s written opinions, addressed to the Placement Agent and the Purchasers and dated as of the Closing Date, in form and substance reasonably satisfactory to the Placement Agent, the Purchasers, and Placement Agent’s legal counsel.
(b) Neither the Company nor any of its subsidiaries (i) shall have sustained since the date of the latest audited financial statements included in the Company’s filings with the Commission pursuant to the reporting requirements of the Exchange Act (the “SEC Filings”), any loss or interference with its business from fire, explosion, flood, terrorist act or other calamity, whether or not covered by insurance, or from any labor dispute or court or governmental action, order or decree, otherwise than as set forth in or contemplated by the SEC Filings, (ii) since such date there shall not have been any change in the capital stock or long-term debt of the Company or any of its subsidiaries or any change, or any development involving a prospective change, in or affecting the business, general affairs, management, financial position, stockholders’ equity, results of operations or prospects of the Company and its subsidiaries, otherwise than as set forth in the Purchase Agreement (including the schedules thereto), and (iii) since such date there shall not have been any new or renewed inquiries by the Commission, FINRA or any other regulatory body regarding the Company, the effect of which, in any such case described in clause (i), (ii) or (iii), is, in the judgment of the Placement Agent, so material and adverse as to make it impracticable or inadvisable to proceed with the sale or delivery of the Securities on the terms and in the manner contemplated by the Transaction Documents.
4 |
(c) No action shall have been taken and no statute, rule, regulation or order shall have been enacted, adopted or issued by any governmental agency or body which would, as of the Closing Date, prevent the issuance or sale of the Securities or materially and adversely affect or potentially and adversely affect the business or operations of the Company; and no injunction, restraining order or order of any other nature by any federal or state court of competent jurisdiction shall have been issued as of the Closing Date which would prevent the issuance or sale of the Securities or materially and adversely affect or potentially and adversely affect the business or operations of the Company.
(d) The Company shall have prepared and filed with the Commission a Form 8-K with respect to the Placement.
(e) The Company shall have entered into a Purchase Agreement with each of the Purchasers and such agreements shall be in full force and effect and shall contain representations, warranties and covenants of the Company as agreed between the Company and the Purchasers.
(f) If applicable, FINRA shall have raised no objection to the fairness and reasonableness of the terms and arrangements of this Agreement. In addition, the Company shall, if requested by the Placement Agent, make or authorize Placement Agent’s counsel to make on the Company’s behalf, any filing with the FINRA Corporate Financing Department pursuant to FINRA Rule 5110 with respect to the Placement and pay all filing fees required in connection therewith.
If any of the conditions specified in this Section 8 shall not have been fulfilled when and as required by this Agreement, or if any of the certificates, opinions, written statements or letters furnished to the Placement Agent or to Placement Agent’s counsel pursuant to this Section 8 shall not be reasonably satisfactory in form and substance to the Placement Agent and to Placement Agent’s legal counsel, all obligations of the Placement Agent hereunder may be cancelled by the Placement Agent at, or at any time prior to, the consummation of the Closing. Notice of such cancellation shall be given to the Company in writing or orally. Any such oral notice shall be confirmed promptly thereafter in writing.
Section 9. Governing Law. This Agreement will be governed by, and construed in accordance with, the laws of the State of New York applicable to agreements made and to be performed entirely in such State, without regard to the conflicts of laws principles thereof. This Agreement may not be assigned by either party without the prior written consent of the other party. This Agreement shall be binding upon and inure to the benefit of the parties hereto, and their respective successors and permitted assigns. Any right to trial by jury with respect to any dispute arising under this Agreement or any transaction or conduct in connection herewith is waived. Any dispute arising under this Agreement may be brought into the New York Supreme Court, County of New York or into the United States District Court for the Southern District of New York and, by execution and delivery of this Agreement, the Company hereby accepts for itself and in respect of its property, generally and unconditionally, the jurisdiction of aforesaid courts. Each party hereto hereby irrevocably waives personal service of process and consents to process being served in any such suit, action or proceeding by delivering a copy thereof via overnight delivery (with evidence of delivery) to such party at the address in effect for notices to it under this Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. Nothing contained herein shall be deemed to limit in any way any right to serve process in any manner permitted by law. If either party shall commence an action or proceeding to enforce any provisions of a Transaction Document, then the prevailing party in such action or proceeding shall be reimbursed by the other party for its attorney’s fees and other costs and expenses incurred with the investigation, preparation and prosecution of such action or proceeding. This paragraph shall survive any termination of this Agreement, in whole or in part.
5 |
Section 10. Entire Agreement/Misc. This Agreement (including the attached Indemnification Provisions) embodies the entire agreement and understanding between the parties hereto, and supersedes all prior agreements and understandings, relating to the subject matter hereof. If any provision of this Agreement is determined to be invalid or unenforceable in any respect, such determination will not affect such provision in any other respect or any other provision of this Agreement, which will remain in full force and effect. This Agreement may not be amended or otherwise modified or waived except by an instrument in writing signed by both Placement Agent and the Company. The representations, warranties, agreements and covenants contained herein shall survive the closing of the Placement and delivery of the Securities. This Agreement may be executed in two or more counterparts, all of which when taken together shall be considered one and the same agreement and shall become effective when counterparts have been signed by each party and delivered to the other party, it being understood that both parties need not sign the same counterpart. In the event that any signature is delivered by facsimile transmission or a .pdf format file, such signature shall create a valid and binding obligation of the party executing (or on whose behalf such signature is executed) with the same force and effect as if such facsimile or .pdf signature page were an original thereof.
Section 11. Confidentiality. The Placement Agent (i) will keep the Confidential Information (as such term is defined below) confidential and will not (except as required by applicable law or stock exchange requirement, regulation or legal process (“Legal Requirement”), without the Company’s prior written consent, disclose to any person any Confidential Information, and (ii) will not use any Confidential Information other than in connection with the Placement. The Placement Agent further agrees, severally and not jointly, to disclose the Confidential Information only to its Representatives (as such term is defined below) who need to know the Confidential Information for the purpose of the Placement, and who are informed by the Placement Agent of the confidential nature of the Confidential Information. The term “Confidential Information” shall mean, all confidential, proprietary and non-public information (whether written, oral or electronic communications) furnished by the Company to the Placement Agent or its Representatives in connection with such Placement Agent’s evaluation of the Placement. The term “Confidential Information” will not, however, include information which (i) is or becomes publicly available other than as a result of a disclosure by a Placement Agent or its Representatives in violation of this Agreement, (ii) is or becomes available to the Placement Agent or any of its Representatives on a non-confidential basis from a third-party, (iii) is known to the Placement Agent or any of its Representatives prior to disclosure by the Company or any of its Representatives, or (iv) is or has been independently developed by a Placement Agent and/or the Representatives without use of any Confidential Information furnished to it by the Company. The term “Representatives” shall mean the Placement Agent’s directors, board committees, officers, employees, financial advisors, attorneys and accountants. This provision shall be in full force until the earlier of (a) the date that the Confidential Information ceases to be confidential and (b) two (2) years from the date hereof or, with respect to any Confidential Information that constitutes a trade secret under applicable law, until such information no longer constitutes a trade secret. Notwithstanding any of the foregoing, in the event that the Placement Agent or any of their respective Representatives are required by Legal Requirement to disclose any of the Confidential Information, such Placement Agent and their respective Representatives will furnish only that portion of the Confidential Information which such Placement Agent or their respective Representative, as applicable, is required to disclose by Legal Requirement as advised by counsel, and will use reasonable efforts to obtain reliable assurance that confidential treatment will be accorded the Confidential Information so disclosed.
Section 12. Notices. Any and all notices or other communications or deliveries required or permitted to be provided hereunder shall be in writing and shall be deemed given and effective on the earliest of (a) the date of transmission, if such notice or communication is sent to the email address specified on the signature pages attached hereto prior to 5:30 p.m. (New York City time) on a business day, (b) the next business day after the date of transmission, if such notice or communication is sent to the email address on the signature pages attached hereto on a day that is not a business day or later than 5:30 p.m. (New York City time) on any business day, (c) the third (3rd) business day following the date of mailing, if sent by U.S. internationally recognized air courier service, or (d) upon actual receipt by the party to whom such notice is required to be given. The address for such notices and communications shall be as set forth on the signature pages hereto.
Section 13. Press Announcements. The Company agrees that the Placement Agent shall, from and after the Closing, have the right to reference the Placement and the Placement Agent’s role in connection therewith in the Placement Agent’s marketing materials and on its website and to place advertisements in financial and other newspapers and journals, in each case at its own expense.
[The remainder of this page has been intentionally left blank.]
6 |
Please confirm that the foregoing correctly sets forth our agreement by signing and returning to Maxim the enclosed copy of this Agreement.
Very truly yours, | ||
Maxim Group LLC | ||
By: | ||
Name: | Cliff Teller | |
Title: | Co-President |
Address for notice: | ||
300 Park Avenue New York, New York 10022 | ||
Attention: | Clifford A. Teller and James Siegel, Esq. | |
Email: | jsiegel@maximgrp.com |
Agreed and accepted to as of the date first written above:
JET.AI INC. | ||
By: | ||
Name: | ||
Title: | ||
Address for notice: | ||
10845 Griffith Peak Dr., Suite 200 Las Vegas, NV 89135 |
||
Email: |
[Signature Page to October 2024 Placement Agency Agreement Between
Jet.AI Inc. and Maxim Group LLC]
7 |
ADDENDUM A
INDEMNIFICATION PROVISIONS
In connection with the engagement of Maxim Group LLC (the “Placement Agent”) by Jet.AI Inc. (the “Company”) pursuant to a placement agency agreement dated as of the date hereof, between the Company and the Placement Agent, as it may be amended from time to time in writing (the “Agreement”), the Company hereby agrees as follows:
1. To the extent permitted by applicable law, the Company will indemnify the Placement Agent and its affiliates, directors, officers, employees and controlling persons (within the meaning of Section 15 of the Securities Act of 1933, as amended, or Section 20 of the Securities Exchange Act of 1934, as amended) against all losses, claims, damages, expenses and liabilities, as the same are incurred (including the reasonable fees and expenses of counsel), relating to or arising out of its activities hereunder or pursuant to the Agreement, except, with regard to the Placement Agent, to the extent that any losses, claims, damages, expenses or liabilities (or actions in respect thereof) are found in a final judgment (not subject to appeal) by a court of law to have resulted primarily and directly from the Placement Agent’s fraud, willful misconduct or gross negligence in performing the services described herein, as the case may be.
2. Promptly after receipt by the Placement Agent of notice of any claim or the commencement of any action or proceeding with respect to which the Placement Agent is entitled to indemnity hereunder, the Placement Agent will notify the Company in writing of such claim or of the commencement of such action or proceeding, and the Company will assume the defense of such action or proceeding and will employ counsel reasonably satisfactory to the Placement Agent and will pay the fees and expenses of such counsel. Notwithstanding the preceding sentence, the Placement Agent will be entitled to employ counsel separate from counsel for the Company and from any other party in such action if counsel for the Placement Agent reasonably determines that it would be inappropriate under the applicable rules of professional responsibility for the same counsel to represent both the Company and the Placement Agent. In such event, the reasonable fees and disbursements of no more than one such separate counsel will be paid by the Company. The Company will have the exclusive right to settle the claim or proceeding provided that the Company will not settle any such claim, action or proceeding without the prior written consent of the Placement Agent, which will not be unreasonably withheld.
3. The Company agrees to notify the Placement Agent promptly of the assertion against it or any other person of any claim or the commencement of any action or proceeding relating to a transaction contemplated by the Agreement.
4. If for any reason the foregoing indemnity is unavailable to the Placement Agent or insufficient to hold the Placement Agent harmless, then the Company shall contribute to the amount paid or payable by the Placement Agent, as the case may be, as a result of such losses, claims, damages or liabilities in such proportion as is appropriate to reflect not only the relative benefits received by the Company on the one hand, and the Placement Agent on the other, but also the relative fault of the Company on the one hand and the Placement Agent on the other that resulted in such losses, claims, damages or liabilities, as well as any relevant equitable considerations. The amounts paid or payable by a party in respect of losses, claims, damages and liabilities referred to above shall be deemed to include any legal or other fees and expenses incurred in defending any litigation, proceeding or other action or claim. Notwithstanding the provisions hereof, the Placement Agent’s share of the liability hereunder shall not be in excess of the amount of fees actually received, or to be received, by the Placement Agent under the Agreement (excluding any amounts received as reimbursement of expenses incurred by the Placement Agent).
5. These Indemnification Provisions shall remain in full force and effect whether or not the transaction contemplated by the Agreement is completed and shall survive the termination of the Agreement, and shall be in addition to any liability that the Company might otherwise have to any indemnified party under the Agreement or otherwise.
[The remainder of this page has been intentionally left blank.]
A-1 |