Subscription协议
聚焦影响收购公司。
帕克大道250号,911号套房
New York, NY 10177
专注影响赞助商,有限责任公司
帕克大道250号,911号套房
New York, NY 10177
女士们,先生们:
本订阅协议(以下简称“本协议”)系在下文所述日期由内华达州公司Know Labs, Inc.(以下简称“公司”)与投资者订立。协议”) is being entered into as of the date set forth on the signature page hereto, by and among Focus Impact Acquisition Corp., a Delaware
corporation (the “公司“”或“”FIAC”),重点影响赞助人,一家特拉华州有限责任公司(以下简称“赞助商”),以及签署的投资者(以下简称“投资者”),涉及业务合并
协议,日期为2023年9月12日,由2024年5月1日修订的第一修正协议修订,和截至2024年8月10日的第二修正协议进一步修订(如有进一步修订,则简称为“业务
合并协议”和其中规定的交易,“业务组合公司,Focus Impact Amalco 子公司有限公司(Amalco子公司),一家根据不列颠哥伦比亚省法律成立的公司,以及 DevvStream Holdings Inc.(DevvStream),一家根据不列颠哥伦比亚省法律成立的公司,根据该协议,公司预计将根据德拉华州《德拉华州一般公司法》继续在
有关企业组合,公司正在寻求有兴趣的投资者承诺购买一定数量的公司A类普通股,每股面值 $0.0001(“A类普通股”),如本页签名页所述(“定向增发股”) for the
purchase price set forth on the signature page hereto (the “认购额度”). In exchange for the Investor’s agreement to purchase the PIPE Shares, the Sponsor has agreed to transfer a number of shares of Class A Common Stock as set
forth on the signature page hereto (the “赞助商股份”) substantially concurrently with the execution of this Agreement. For purposes of this Agreement, “business day” shall mean any day other than a Saturday, Sunday or a day on which
commercial banking institutions in New York, New York are authorized or required to close for business. Upon the closing of the Business Combination, the Class A Common Stock, including the PIPE Shares and Sponsor Shares, will automatically convert
into common shares of the Company (as continued as an Alberta, Canada corporation) pursuant to the terms of the Business Combination Agreement and the formula described on the signature page hereto (with the converted PIPE Shares of the continued
Company sometimes referred to herein as the “New PIPE Shares” and the converted Sponsor Shares of the continued Company sometimes referred to herein as the “新赞助股份”).
在此情况下,考虑到前述互相陈述、担保和契约,并根据此处规定的条件,意图在此受法律约束,投资者和公司各自确认并同意如下:
1. 认购.
(a) 尽快自本协议日期(“赞助商股份转让日期”)之后,赞助商应将赞助商股份转让给投资者,并使这些股份以簿记形式登记,不受任何留置权(除了依法产生的证券法律所规定的留置权)的约束,在公司的股份登记簿上以投资者的名义登记。如果在业务组合结束之前的任何时间,而且不是与业务组合相关,请汇通常股票的发行数量通过合并、组合、细分或股票再分类等事件而增加或减少,那么在上述合并、组合、细分或股票再分类或类似事件的生效日期,赞助商股份将按照常规调整。此外,投资者对赞助商股份或新赞助股份不应因任何原因而受到没收、退回、收回、转让、处置、交换或分期赎回。
(b) 本协议拟议的 PIPE 股份的出售、购买和发行的结束(“结盘control控件于实质上同时进行的交易Sentio的闭幕将以交易所交易所交易所的闭幕为前提(让交易所的发生日期,"结束日期。)。在公司向投资者(或代表公司)发出的书面通知(“封闭通知),公司合理预计根据交易合同有关对交易所进行交割的所有条件将在交割通知递交给投资者的日期后不少于五(5)个工作日内满足或放弃,投资者应在交割通知指定的预计交割日期向公司交付认购额度(通过电汇等方式支付给公司指定的账户的美元立即到账的资金),(该账户不得为托管账户),以及应在交割通知中合理要求的其他任何信息,以便向投资者发行PIPE股票,包括但不限于将发行证券的合法持有人的姓名和已经签署的美国国内税收局W-9或W-8表格。在交割日,公司将PIPE股票发放给投资者,并随后导致PIPE股票以账簿形式登记,不受任何留置权的约束(除了适用证券法律下产生的留置权),注明投资者的名称已被纳入公司的股东登记簿; 在每种情况下,该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时;, 公司对于以下情况,不应承担责任:根据第10(b)部分书面信息可靠地提供。,公司向投资者发行PIPE股票的义务取决于公司根据本 冲突矿物披露。如果交割日期并非按照交割通知中指定的预期交割日期的一个(1)个工作日内发生,则公司应在收到投资者认购额度后及时但不迟于随后的下一个工作日将认购额度退还给投资者;但前提是,除非根据本协议已被终止,否则款项退还将不会终止本协议或免除投资者根据公司根据本协议发送的随后交割通知购买PIPE股权的义务。 第6节 公司根据本协议发送符合本协议规定的后续交割通知后,无论如何资金退还都不会终止本协议或免除投资者购买PIPE股票的义务。 冲突矿物披露。.
2. 条件.
各方的义务受以下条件的约束:
(i) 没有适用的政府机构应当当时生效并使本协议所涉交易的完成非法或以其他方式下令、限制或禁止进行本协议所涉交易的暂时性、初步性或永久性判决、命令、法律、规则或法规。
(ii) 业务结合协议规定的所有关闭前提条件均已满足(如果由适用于业务结合协议的各方共同决定满足,则应视为已满足,但不包括那些根据业务结合协议而须在关闭业务结合时满足的条件,包括在本协议达成的前提下才能满足的任何该等条件或者适用于业务结合协议的相关各方根据其规定所放弃的那些条件)。
(b) 投资者履行本协议约定的交易的义务应受以下条件的约束(投资者可以通过书面方式(电子邮件足够)放弃这些条件):(i) 公司和发起人在本协议中所包含的所有陈述与保证均应于股东股份转让日期和交割日前完全保证属实(但不包括:A.涉及重大性(如下所定义)作为条件的陈述与保证,这些陈述与保证应在各方面均完全属实;B.以特定较早日期作为确定的陈述与保证,这些陈述与保证应于该特定较早日期前完全保证属实(或者如果陈述与保证包含重大性修饰词,应在所有方面保证属实));(ii) 公司和发起人应已在交割日或交割之前全面履行、满足并遵守本协议规定由其履行、满足或遵守的一切义务、契约、协议和条件;(iii) 新PIPE股份和新发起人股份已获得纳斯达克在业务结合关闭时的上市批准;和(iv) 投资者将已从公司处自行决定获得令其满意的证据,证明新发起人股份在业务结合关闭时将不受任何限制性标签的约束。
(c) 公司和赞助商履行本协议所规定交易的义务应受以下控件的约束(公司可以书面放弃,电子邮件足够):(i) 投资者在本协议中所含声明和担保在交割时应在所有重大方面属实并正确(除了(A) 牵涉到重大性的声明和担保,此类声明和担保应在各个方面均属实并正确(B) 那些根据特定较早日期作出的声明和担保,在此类特定较早日期属实并正确(或者如果以重大性作为条件,则在各个方面均属实并正确));和(ii) 投资者应该在交割前或交割时已在所有重大方面履行、完成并符合本协议要求的所有义务、契约、协议和控件。
3. 进一步保证. 在交割前或交割时,本方应执行和交付,或导致执行和交付,任何额外文件并采取任何可能必要的额外行动,以便完成本协议规定的交易。
4. 公司的陈述和担保3. 公司向投资者声明和担保:
(a) 公司是依照特拉华州法律合法成立、有效存在并保持良好地位的公司。公司具有一切权力(公司或其他方式)和权限拥有、租赁和运营其现在进行的业务以及根据本协议进入、交付和履行其义务。
(b) PIPE股份已获得妥善授权,根据本协议发行、交付和支付时,将被有效发行,全部支付且无需追索。 赞助商股份已经得到妥善授权,有效发行,全部支付且无需追索。 新PIPE股份和新赞助商股份已经获得妥善授权,并将根据业务组合协议的条款发行、交付和支付时,将被有效发行,全部支付且无需追索。
(c) This Agreement has been duly authorized, validly executed and delivered by the Company and the Sponsor and is enforceable against the Company and the Sponsor in accordance with its
terms, except as may be limited or otherwise affected by (i) bankruptcy, insolvency, fraudulent conveyance, reorganization, moratorium or other laws relating to or affecting the rights of creditors generally, or (ii) principles of equity, whether
considered at law or equity.
(d) A copy of each form, report, statement, schedule, proxy and other document filed by the Company with the U.S. Securities and Exchange Commission (the “SEC”) on or prior to the
Closing (the “SEC报告”) is available to the Investor (including via the SEC’s EDGAR system). As of their respective filing dates all SEC Reports complied in all material respects with the requirements of the Exchange Act and the rules
and regulations of the SEC promulgated thereunder applicable to the SEC Reports. None of the SEC Reports filed under the Exchange Act (except to the extent that information contained in any SEC Report has been superseded by a later timely filed SEC
Report) contained, when filed or, if amended, as of the date of such amendment with respect to those disclosures that are amended, any untrue statement of a material fact or omitted 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. The financial statements of FIAC included in the SEC Reports, as applicable, comply in all material respects with applicable
accounting requirements and the rules and regulations of the SEC with respect thereto as in effect at the time of filing, or, if amended, as of the date of such amendment, and fairly present in all material respects the financial position of FIAC
as of and for the dates thereof and the results of operations and cash flows for the periods presented, subject to (i) in the case of unaudited statements, to normal, year-end audit adjustments, and such consolidated financial statements have been
prepared in conformity with United States generally accepted accounting principles applied on a consistent basis during the periods involved (“通用会计原则(GAAP)”) (except as may be disclosed therein or in the notes thereto, and except that the unaudited
financial statements may not contain all footnotes required by GAAP), and (ii) changes to historical accounting policies of FIAC in connection with any order, directive, guideline, comment or recommendation from the SEC that is applicable to FIAC.
There are no outstanding or unresolved comments in comment letters from the staff of the SEC with respect to any of the SEC Reports. For the avoidance of doubt, any restatement of the financial statements of the Company and any amendments to
previously filed SEC Reports or delays in filing SEC Reports, in connection with any guidance from the SEC following the date of this Agreement, shall not be deemed to constitute a breach of this 第4(d)节. Additionally, for avoidance of
doubt, any amendment or modification of any SEC Report (or any agreement filed as an exhibit to any SEC Report) from its initial filing date in a subsequent filing shall not be deemed to constitute a breach of this 第4(d)节.
(e) The Company is authorized to issue up to 551,000,000 shares of capital stock, consisting of 550,000,000 shares of common stock, including (i) 500,000,000 shares of Class A Common Stock
and 50,000,000 shares of Class b common stock, par value $0.0001 per share (“B类普通股”), and (ii) 1,000,000 undesignated shares of preferred stock (“优先股”). As of the date of this Agreement, the Company has
2,452,731 shares of common stock issued and outstanding, including 1,702,731 shares of Class A Common Stock and 750,000 shares of Class b Common Stock, and no shares of Preferred Stock issued or outstanding. There are no shareholder agreements,
voting trusts or other agreements or understandings to which the Company is a party or by which it is bound relating to the voting of any securities of the Company, other than (1) as set forth in the SEC Reports and (2) as contemplated by the
Business Combination Agreement. Except as set forth in the SEC Reports or as contemplated by the Business Combination Agreement and the other agreements and arrangements referred to therein, as of the date hereof, there are no outstanding options,
warrants or other rights to subscribe for, purchase or acquire from the Company any equity interests in the Company, or securities convertible into or exchangeable or exercisable for such equity interests.
(f) As of the date hereof, there is no suit, action, proceeding or investigation pending or, to the knowledge of the Company, threatened against the Company by Nasdaq or the SEC,
respectively, to prohibit the listing of the PIPE Shares, or the registration of the PIPE Shares under the Exchange Act of 1934, as amended (the “使拥有公司注册证券类别10%以上股权的官员、董事或实际股东代表签署人递交表格3、4和5(包括修正版及有关联合递交协议),符合证券交易法案第16(a)条及其下属规则规定的要求;”).
(g) Assuming the accuracy of the Investor’s representations and warranties set forth in 第6节, no registration under the Securities Act of 1933, as amended (the “1933年证券法本协议规定,转让PIPE股份或特许人股份给投资者需要获得”。而这些PIPE股份和特许人股份既不是以任何形式进行一般招揽或广告向投资者提供的,也不是以违反《证券法》或任何州证券法规定的公开发行方式向投资者提供的。
在业务整合完成交割时,特许人股份将根据业务整合协议的规定进行换股,并在依照《证券法》登记的新特许人股份发行中。业务整合完成后,新特许人股份将无限制,并且无需附加标签。供避免疑虑,在业务整合完成后,新特许人股份将不再受限于《信函协议》第5条或特许方附属信函第1.4(a)和(b)条中包含的转让限制。公司将要求其律师在交割日向过户代理(下文将定义)出具法律意见,以去除新特许人股份上的所有标签。
5. 赞助方的陈述和保证特许方向投资者保证并声明:
(a)特许方是特许人股份的名义和受益所有者,并拥有特许人股份的完全和可转让所有权,并将在将特许人股份转让给投资者之时,成为特许人股份的名义和受益所有者,以上述情况,特许人股份将不受任何种类的留置、质押、抵押、让与、债权、约定、选择权、投票信托、代理或其他安排或限制的约束,而且在按照本协议规定转让给投资者时,将完全无任何留置、质押、抵押、让与、债权、约定、选择权、投票信托、代理或其他安排或限制的约束(其他限制和适用于特许人股份的通用条款和适用证券法除外)。
(b) 此协议的执行、交付和履行以及赞助方根据此协议拟议的交易不违反、不与其《组织证明书》或《经营协议》(i)、赞助方作为一方或受其约束的任何协议或文书,包括信函协议和赞助方附侧信(即)发生冲突,或构成违约;
在(iii)、赞助方受制于的任何法律、法规、规章或任何相关法令、裁定或法令下,赞助方不受联邦、州或地方法律、规章或法规的规定必须获得任何法院或政府机构或自律实体的任何同意、授权或命令或进行任何提交或注册,以便其根据此协议执行其任何义务,包括根据本协议条款转让赞助股份,而不涉及向SEC提交有益所有权的申报。
6. 投资者声明和担保投资者向公司和赞助方声明并保证:
(a) 投资者或投资者代表的或与投资者有关的每一个基金,作为投资者行使提名权,如适用,(i) 是《证券法》144A条款下规定的“合格机构买家”,或者是《证券法》规则D条款501(a)(1)、(2)、(3)、(7)、(8)、(9)、(12)或(13)项定义的“认定投资者”,并满足本由此定义的适用要求;(ii) 仅为自身取得PIPE股份和赞助股份,而不是为他人帐户取得,或者如果投资者作为一个或多个投资者帐户的受托人或代理人来取得PIPE股份或赞助股份,每个这样的帐户的所有者是《证券法》144A条款下规定的“合格机构买家”,或者是《证券法》规则D条款501所定义的“认定投资者”的(1)、(2)、(3)或(7)项,并且投资者对每个这样的帐户享有充分的投资决定权,并有完全的权力和权限代表每个这样的帐户的所有者在此作出确认、声明和协议;(iii) 此《证券法》或美国任何其他司法管辖区的任何证券法违反的情况下,投资者不是为了以违反《证券法》或美国或其他司法管辖区的任何证券法的分布情况,而取得PIPE股份或赞助股份。 附表A 投资者将提供所要求的信息,如下所示: 附表A 在此签署页后以及其中包含的信息准确完整。投资者不是为了获得PIPE股份或发起人股份的特定目的而设立的实体。术语“关联公司“”或“”隶属”在本协议中使用时,将表示对于任何个人、合伙企业、公司、有限责任公司、股份公司、不设立法人资格的组织或协会、信托、合资企业或其他类似实体,无论是否为法律实体或政府实体(“人员。”),直接或间接通过一个或多个中间人,控制、受控于或与该人处于共同控制之下的其他任何人。术语“控制,本协议中的"”"一词表示直接或间接拥有指导或导致指导某人的管理和策略的权力,无论是通过拥有投票证券,合同或其他方式,术语"如果一个指定的人被另一个人或两个或多个人共同或协同控制,则该人被“控制”。”和“控制权“具有对应含义。”则含有相应的含义。
(b) 投资者兹承认并同意管道(由公司发行)和赞助商股份(由赞助商转让)的发行均不构成《证券法》所指的公开发行,并且管道股份的发行和赞助商股份的转让未在《证券法》或任何其他适用的证券法律下注册。投资者承认并同意,除非(一)向公司或其子公司、(二)根据《证券法》下的第S条规定外国人的要约和销售或(三)根据《证券法》的另一适用豁免情况,否则在"业务组合"结束前,管道股份和赞助商股份不得被投资者提供、转售、转让、抵押或以其他方式处置,并且必须根据美国各州和其他司法管辖区的适用证券法的规定,该等规定包括(i)和(iii)中的任何排除交易所需进行书面登记的有效登记记录标有限制性标签以证明该事实。投资者承认并同意,管道股份和赞助商股份将受到转让限制的约束,由于这些转让限制,投资者可能无法轻松地提供、转售、转让、抵押或以其他方式处置管道股份和赞助商股份,并可能被要求承担管道股份和赞助商股份投资的金融风险长达无限的时间。投资者承认并同意,管道股份和赞助商股份将不会立即符合《证券法》下颁布的第144条规定进行要约、转售、转让或处置的资格 ("规则144投资者承认并同意,在进行任何PIPE股票或赞助股票的报价、转售、转让、质押、转移或处置之前,应在交易完成前咨询法律顾问以及税务和会计顾问。投资者承认,在业务合并交割之前,赞助股票受限于《某个赞助人侧信函》中规定的转让和赎回限制,该信函于2023年9月12日由公司与赞助人签订,如有修改,投资者明确同意在业务合并交割之前遵守该协议的条款,做出相关声明,以确保在业务合并交割之后,投资者不受到此类转让和赎回限制的约束,公司不需要在任何投资者赞助股票的报价、转售、转让、质押、转移或处置方面再次批准或同意。
(c)投资者对PIPE股票和赞助股票的获取和持有将不构成或导致违反《1974年修订的雇员退休收入保障法》第406条、《1986年修订的内部税收法》第4975条或任何适用的类似法律的禁止交易。
(d)投资者承认并同意,投资者已收到投资PIPE股票和赞助股票所需的信息,包括公司及DevvStream的业务和业务合并相关信息。不限制前述内容的广泛性,投资者承认已审阅了SEC报告。投资者承认并同意投资者及投资者的专业顾问(如果有)已充分询问相关问题、得到解答并获得了投资PIPE股票和赞助股票所需的信息,以作出相关投资决定。
(e) 投资者仅通过与公司或代表公司直接联系而获悉本协议拟议的交易。投资者并未通过其他方式获悉本协议拟议的交易,PIPE股份或赞助商股份也未向投资者提供,也没有公司或其代表或任何代表投资者的人充当投资顾问、经纪人或经销商。投资者承认PIPE股份和赞助商股份(i)未通过任何形式的一般招揽或广告宣传提供,以及(ii)未以牵扯公开发行或违反《证券法》或任何州证券法的方式提供。投资者承认并同意,投资者直接从赞助商处接收赞助商股份。投资者进一步承认,投资者没有对公司或赞助商或任何其相关联公司或任何实际控制人、官员、董事、雇员、合作伙伴、代理人或代表或任何其他人或实体明示或暗示作出的,除公司在本协议第五部分明确载明的,的陈述、担保、契约和协议有任何依赖。 (a)委员会负责管理本《2023年计划》,并可以将其职责和权力全部或部分委托给任何子委员会。 委员会可以制定本《2023年计划》的规则和条例。 委员会应按其所确定的时间和地点召开会议。 委员会成员中的多数人构成法定人数。 of this Agreement and of the Sponsor set forth in Section 5 of this Agreement.
(f) 投资者承认,购买和持有PIPE股份和赞助商股份存在重大风险,包括但不限于SEC报告中所列明的风险。投资者在财务和商业事务方面具有足够的知识和经验,能够评估购买PIPE股份和赞助商股份的利弊和风险,并已有机会寻求并已经寻求了认为有必要做出知情投资决策所需的会计、法律、商业和税务建议,并已就其购买PIPE股份和赞助商股份感到满意。投资者(i)是根据FINRA规则4512(c)规定的机构账户,(ii)是一位精明的投资者,在私募股权交易投资方面经验丰富,能够独立评估投资风险,无论是总体上还是与涉及任何证券或证券的所有交易和投资策略有关,以及(iii)在评估其参与购买PIPE股份和赞助商股份的过程中行使了独立判断。投资者能够承受对其在PIPE股份和赞助商股份的投资完全损失,对其在PIPE股份和赞助商股份的投资并不需要流动性,并且没有理由预见将导致或要求其出售或分配PIPE股份和赞助商股份的任何全部或部分资产的情况,无论是财务上的或其他方面的。
(g)独自或与任何专业顾问一起,投资者已充分分析并充分考虑了对PIPE股和赞助者股票的投资风险,并确定PIPE股和赞助者股票对投资者是合适的投资,而且投资者在此时和可预见的未来能够承担其对公司的投资存在全部损失的经济风险。投资者特别承认存在全部损失的可能性。
(h)在决定收购PIPE股和赞助者股票时,投资者仅依赖于投资者作出的独立调查。在不限制前述的情况下,投资者没有依赖任何配售代理或其任何关联方,也没有依赖任何控股人、公司高管、董事、员工、合作伙伴、代理人或前述任何人员就公司、DevvStream、业务组合、业务组合协议、本协议或所示交易或PIPE股和赞助者股票提供的任何声明或其他信息。
(i)投资者承认并同意,联邦或州政府机构尚未审核或认可PIPE股或赞助方股票的发行优点,也未做出任何关于此投资是否公平的裁定或结论。
(j)如果投资者不是个人,那么该投资者已依法成立或注册,并在成立或注册的司法管辖区合法存在且正常经营,有权力和权威签署、交付并履行本协议项下的义务。投资者有足够的资金支付认购额度。
(k)投资者执行、交付及履行本协议及本协议所示交易的行为在投资者的权力范围内均得到授权,不会构成或导致违反或违约,或与任何法院或其他法院或任何政府委员会或机构的任何命令、裁决或法规冲突,也不会与投资者参与或受约束的任何协议或其他承诺冲突或违反,如果投资者不是个人,则不会与投资者的组织文件的任何规定冲突或违反,包括但不限于其公司组织文件、公司秘书、信托合同或合伙制或经营协议等。签署本协议是真实的,如果投资者是个人则签署本协议的签字人具有合法能力和签署能力,或者如果投资者不是个人,则签署人已被授权签署本协议,本协议已由投资者或投资者已委托投资决策权的投资顾问签署和交付,本协议构成投资者的合法、有效和有约束力的义务,根据其条款对投资者可强制执行,除非受(i)破产、无力偿还债务、欺诈转让、重组、停止支付或其他与普遍债权人权利有关的法律,以及(ii)在法律或公平原则下考虑是否受到制约或其他影响。
(l) The Investor is not (i) a person or entity named on the List of Specially Designated Nationals and Blocked Persons, the Executive Order 13599 List, the Foreign Sanctions Evaders List,
or the Sectoral Sanctions Identification List, each of which is administered by the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”) or in any Executive Order issued by the President of the United States and administered
by OFAC (“OFAC清单”), or a person or entity prohibited by any OFAC sanctions program, (ii) owned, directly or indirectly, or controlled by, or acting on behalf of, one or more persons that are named on the OFAC Lists; (iii) organized,
incorporated, established, located, resident or born in, or a citizen, national or the government, including any political subdivision, agency or instrumentality thereof, of Cuba, Iran, North Korea, Russia, Syria, the Crimea, Donetsk or Luhansk
regions of Ukraine or any other country or territory embargoed or subject to substantial trade restrictions by the United States, (iv) a Designated National as defined in the Cuban Assets Control Regulations, 31 C.F.R. Part 515, or (v) a non-U.S.
shell bank or providing banking services indirectly to a non-U.S. shell bank (each, a “受限制的投资者”). The Investor agrees to provide law enforcement agencies, if requested thereby, such records as required by applicable law, provided
that the Investor is permitted to do so under applicable law. If the Investor is a financial institution subject to the Bank Secrecy Act (31 U.S.C. Section 5311 et seq.) (the “BSA”),根据2001年《美国爱国者法案》,该法案对BSA进行了修改爱国者法案”),以及其实施条例(统称为“BSA/PATRIOT法案),投资方制定的政策和程序合理设计,以遵守根据BSA/PATRIOT法案的适用义务。在必要范围内,投资方制定的政策和程序合理设计,用于对其投资者进行OFAC制裁方案的筛查,包括但不限于OFAC名单。根据适用法律的要求,投资方制定的政策和程序合理设计,以确保用于支付认购额度的资金来源合法,并且不是直接或间接从被禁止的投资者处获得的。
(m) 投资方截至本合同日期,及在此日期之前三十(30)天内,未持有任何按照证券交易法16a-1规定定义的“看跌等价头寸”,或涉及公司或DevvStream证券的空头头寸。投资方目前不是(并且在交割日前始终会避免成为)根据证券交易法第13(d)(3)条或第14(d)(2)条或任何后续规定的“组”的成员,旨在取得、持有、投票或处置公司股票权益(根据证券交易法规则13d-5(b)(1)的定义),除了由投资方及其关联公司组成的组。
7. 终止本协议应在以下最早的日期终止并自行作废,各方在本协议下的所有权利和义务应终止,且任何一方对此均不承担进一步责任:(a)各方书面协议终止本协议,(b)如果交割自本协议日期起60天内未发生,则投资方向公司和赞助商交付终止本协议的通知,以及(c)业务合并协议的终止;但不应免除本协议项下在终止时之前的任何有意和实质性违约的任何一方的责任,每一方应有权采取法律或公平救济措施来追偿因任何此类有意和实质性违约而产生的损失、责任或损害。公司应在业务合并协议终止后尽快通知投资方。
8. 信托账户豁免. The Investor acknowledges that FIAC is a blank check company with the powers and privileges to effect a merger, asset acquisition, reorganization or
similar business combination involving FIAC and one or more businesses or assets. The Investor further acknowledges that, as described in FIAC’s final prospectus relating to its initial public offering dated October 27, 2021 (the “Final
Prospectus”) available at www.sec.gov, substantially all of FIAC’s assets consist of the cash proceeds of FIAC’s initial public offering and private placement of its securities, and substantially all of those proceeds have been deposited in a
trust account (the “Trust Account”) for the benefit of FIAC, its public shareholders and the underwriters of FIAC’s initial public offering. Except with respect to interest earned on the funds held in the Trust Account that may be released to FIAC
to pay its tax obligations, if any, the cash in the Trust Account may be disbursed only for the purposes set forth in the Final Prospectus. For and in consideration of FIAC entering into this Agreement, the receipt and sufficiency of which are
hereby acknowledged, the Investor, on behalf of itself and its representatives, hereby irrevocably waives any and all right, title and interest, or any claim of any kind it has or may have in the future, in or to any monies held in the Trust
Account (or distributions therefrom to FIAC’s public shareholders or to the underwriters of FIAC’s initial public offering in respect of their deferred underwriting commissions held in the Trust Account), and agrees not to seek recourse against the
Trust Account as a result of, or arising out of, this Agreement or the transactions contemplated hereby regardless of whether such claim arises based on contract, tort, equity or any other theory of legal liability; provided, however, that nothing
in this 第8节。其他股票奖励。 shall be deemed to limit the Investor’s right, title, interest or claim to any monies held in the Trust Account by virtue of its record or beneficial ownership of publicly traded Class A Shares acquired in an open market
transaction, pursuant to a validly exercised redemption right with respect to any such Class A Shares, in accordance with FIAC’s Amended and Restated Certificate of Incorporation, as may be subsequently amended from time to time, and the Investment
Management Trust Agreement between Continental Stock Transfer & Trust Company and FIAC, dated November 1, 2021, except to the extent that the Investor has otherwise agreed in writing with FIAC or any of their respective affiliates to not
exercise such redemption right.
9. 其他.
(a) Neither this Agreement nor any rights that may accrue to the Investor hereunder may be transferred or assigned. Notwithstanding the foregoing, after notifying the Company, Investor may
assign its rights and obligations under this Agreement to one or more of its affiliates or, with the Company’s prior written consent, to another person, provided that no such assignment shall relieve Investor of its obligations hereunder if any
such assignee fails to perform such obligations.
(b) The Investor acknowledges that the Company and the Sponsor will rely on the acknowledgments, understandings, agreements, representations and warranties contained in this Agreement,
including 附表A hereto. Prior to the Closing, the Investor agrees to promptly notify the Company in writing (email being sufficient) if any of the acknowledgments, understandings, agreements, representations or warranties set forth in
第6节 above are no longer accurate in any material respect (other than those acknowledgments, understandings, agreements, representations and warranties qualified by materiality, in which case the Investor shall notify the Company if
they are no longer accurate in any respect).
(c) The Investor agrees that, from the date hereof until the Closing or the earlier termination of this Agreement, none of the Investor or any person or entity acting on behalf of the
Investor or pursuant to any understanding with the Investor will engage in any hedging or other transactions or arrangements (including, without limitation, any short sale or the purchase or sale of, or entry into, any put or call option, or
combination thereof, forward, swap or any other derivative transaction or similar instrument, including without limitation equity repurchase agreements and securities lending arrangements, however described or defined) designed or intended, or
which could reasonably be expected to lead to or result in, a sale, loan, pledge or other disposition or transfer (whether by the Investor or any other person), in each case, solely to the extent it has the same economic effect as a “short sale”
(as defined in Rule 200 promulgated under Regulation SHO under the Exchange Act), of any economic consequences of ownership (excluding, for the avoidance of doubt, any consequences resulting solely from foreign exchange fluctuations), in whole or
in part, directly or indirectly, physically or synthetically, of any securities of the Company or DevvStream prior to the Closing, whether any such transaction or arrangement (or instrument provided for thereunder) would be settled by delivery of
securities of the Company or DevvStream, in cash or otherwise, or to publicly disclose the intention to undertake any of the foregoing.
(d) 投资者承认,其持有的任何赞助股在业务组合完成前不可赎回。
(e) 投资者同意,无论通过控制权变更、转让人或实际控制该转让人的任何人,以及转让人的权益证券发行或转让,或其他方式,均不得主动或被动地进行任何赞助股的转让、出售、抵押或其他处置(每一种方式均为“)。投资者可将赞助股分配给其成员或其他投资者的关联公司,但前提是,在转让前或同时,赞助股接收方成员或投资者的关联公司需根据可接受各方的书面协议同意作为本协议的一方受其约束。“转让”还将被视为发生在任何操作持有人(或该操作持有人的允许受让人)有B类普通股股份的非盈利机构(或该股份的任何受益人)持有该B类普通股股份的顶层支配权或独家投票权控制时,就该B类普通股股份而言,操作持有人(或其允许受让方)不再保留独立支配权(在操作持有人和其允许受让方之间)和其对该安全的投票或投票的独占支配权(包括通过委托、投票协议或其他方式),情况下(在这种情况下)。即使是这种情况,以下任何情况也不被视为“转让”:),或允许任何转让。投资者可将赞助股分配给其成员或其他投资者的关联公司,但前提是,在转让前或同时,赞助股接收方成员或投资者的关联公司需根据可接受各方的书面协议同意作为本协议的一方受其约束。 在每种情况下,该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时;, 那样的 投资者可将赞助股分发给其成员或直至投资者的关联方,只要在转让前或同时,收到赞助股的任何成员或投资者的关联方均签署一份合同,该合同需得到各方认可,同意按照本协议的条款受其约束,如同是本协议的一方。 在每种情况下,该B类股东和/或该B类股东的家庭成员需独立控制在此类帐户、计划或信托中持有的B类普通股实时;,
此外, 那样的 if such written agreement is not executed and delivered to the parties hereto, such distribution of the Sponsor Shares shall not be permitted hereunder.
(f) The Company, the Sponsor and DevvStream are entitled to rely upon this Agreement and each is irrevocably authorized to produce this Agreement or a copy hereof to any interested party
in any administrative or legal proceeding or official inquiry with respect to the matters covered hereby.
(g) All of the agreements, representations and warranties made by each party hereto in this Agreement shall survive the Closing.
(h) This Agreement may not be terminated other than pursuant to the terms of 第7节。受限制的股票和受限制的股票单位。 above. The provisions of this Agreement may not be modified, amended or waived except by an
instrument in writing, signed by each of the parties hereto. No failure or delay of either party hereto in exercising any right or remedy hereunder shall operate as a waiver thereof, nor shall any single or partial exercise of any such right or
power, or any abandonment or discontinuance of steps to enforce such right or power, or any course of conduct, preclude any other or further exercise thereof or the exercise of any other right or power. The rights and remedies of the parties
hereunder are cumulative and are not exclusive of any rights or remedies that they would otherwise have hereunder.
(i) 本协议及其附表构成整个协议,取代所有先前相关主题的其他书面和口头协议,了解,陈述和担保。本协议除交易双方及其各自的继承人、受让人外,不应赋予任何第三方权利或救济,但DevvStream应为本协议的第三方受益人。
(j) 除非本协议另有规定,否则本协议对交易双方及其继承人、执行人、管理人、继承人、法定代表人和许可受让人具有约束力,并且本协议中包含的协议、陈述、担保、契约和确认应被认为是由这些继承人、执行人、管理人、继承人、法定代表人和许可受让人作出并对其具有约束力。
(k) 如果本协议的任何条款经有管辖权的法院裁定为无效、非法或不可执行,则不应以任何方式影响或损害本协议其他条款的有效性、合法性或可执行性,这些条款应继续完全有效。
(l) 本协议可由一方或多方在一个或多个副本中签署并交付(包括但不限于传真、电子邮件或.pdf格式),并由不同的方当事人在单独的副本中签署,具有与所有当事人签署同一文件相同的效力。应将所有如此签署并交付的副本一并解释构成同一协议。
(m) 各方承认并同意,如果未按照具体条款执行本协议的任何规定或违反了该等规定可能造成不可弥补的损害。因此,各方有权请求法院下令禁止违反本协议,无需提供保证金或承诺并无需证明损害,以强制执行本协议的条款。除了在法律、衡平法、合同、侵权行为或其他情形下享有的任何其他救济外,各方承认并同意,各方有权寻求根据本协议在此规定的条件和条款下具体强制履行其他各方的义务。
(n) 任何要求或允许向投资者发出的通知或沟通应以书面形式进行,并通过个人递送、通过电子邮件发送,或通过著名隔夜快递寄出或通过挂号信寄出,已付邮资,寄至本页签名处所载地址或电子邮件地址,视为已送达和已接收(i)当出现个人递送时,(ii)当发送时,如果通过电子邮件发送且无邮件无法投递或其他拒收通知,或(iii)邮寄日期后的三(3)个工作日送达到以下地址或通过投资者以后在此通过通知指定的其他地址或地址:
(i) 如果发给投资者,则应发送至本页签名处载明的地址或地址;
(ii) 如果发给公司:
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聚焦影响收购公司。
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帕克大道250号,911号套房
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New York, NY 10177
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Attn: Carl Stanton
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电子邮件: cstanton@focus-impact.com
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并抄送(不构成通知)至:
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Kirkland & Ellis LLP
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601 Lexington Avenue
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纽约,NY 10022
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注意:Peter Seligson,P.C。
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电子邮件:peter.seligson@kirkland.com
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(iii) 如果发给
保荐方:
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专注影响赞助商,有限责任公司
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帕克大道250号,911号套房
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New York, NY 10177
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请注意:卡尔·斯坦顿
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电子邮件:cstanton@focus-impact.com
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并抄送(不构成通知)至:
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Kirkland & Ellis LLP
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601 Lexington Avenue
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纽约,NY 10022
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注意:Peter Seligson律师
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邮箱:peter.seligson@kirkland.com
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