-
AGREEMENT OF SECURITIES PLEDGE
目
录
SECTION 1
第一条
DEFINITION
定义
SECTION
2
第二条
PLEDGE
质押
SECTION 3
NATURE OF LOAN AND PLEDGE
第三条
贷款和抵押的性质
SECTION
4 SCOPE OF PLEDGE AND REDELIVERY OF THE PLEDGED
COLLATERAL
第四条
承诺抵押品的抵押范围及重新发运
SECTION 5 REPRESENTATIONS AND
WARRANTIES
第五条
陈述与保证
SECTION 6
AFFIRMATIVE COVENANTS
第六条
肯定性条款
SECTION 7
APPOINTMENT OF AGENTS AND ACTIONS BY
LENDER
第七条
代理人指定及贷方行为
SECTION 8 SALE AND TREATMENT OF PLEDGED
COLLATERAL
第八条
承诺抵押品的出售及处理
SECTION 9 DIVIDENDS AND VOTING RIGHTS
第九条
股息及表决权
SECTION 10
RIGHTS AND REMEDIES
第十条
权利及赔偿
SECTION 11
APPLICATION OF PROCEEDS OF PLEDGED COLLATERAL IN
EVENT OF
DEFAULT
第十一条
违约情况下承诺抵押品的收益应用
SECTION 12 COMPLIANCE WITH SECURITIES
LAWS
第十二条
有价证券法律的遵守
SECTION
13 MONETARY RELIEF
第十三条
货币补偿
SECTION 14
MISCELLANEOUS
第十四条
其他款项
SECTION
1
第一条
DEFINITION
定义
1.1 Use of
Defined Terms. Unless otherwise expressly
specified herein, defined terms denoting
the singular number shall, when in the
plural form, denote the plural number of the
matter or item
to which such defined
terms refer, and vice-versa. The Section, Schedule
and Exhibit headings
used in this
Pledge Agreement are descriptive only and shall
not affect the construction or
meaning
of any provisio
n of this Agreement.
Unless otherwise specified, the words “hereof,”
“herein,” “hereunder” and other similar
words refer to this Pledge Agreement as a whole
and not
just to the Section, subsection
or clause in which they are used; and the words
“this Agreement”
refer to this Pledge
Agreement. Unless otherwise specified, references
to Sections, Recitals,
Schedules and
Exhibits are references to Sections of, and
Recitals, Schedules and Exhibits to this
Agreement.
定义术语的使用。
除非在此另作明确详细说明，
表示单数的定义术语，
如果以
复数形式出现，
则表示此定义术语所指的事宜或事项的复数，
反
之亦然。
本抵押协议中使用的条，
附件以及
附件标题仅具有描述性，不得对本协议中任何条款的构建和意义造成影响。除非另作说明，
< br>“本协议中”，
“依据本协议”，
“在本协议内”这样的
词以及其他类似的词语系指此质押
协议的整体，
而不仅仅是使用
这些词语的节，
小节或条；
“本协议”
这些词系指本抵押协议。
除非明确表示另有所指，
本协议中在使
用节、
陈述、附表及证明时，所指涉的均系本协议之
节、陈述、
附表及证明。
1.2 Statements as to
Knowledge. Any statements, representations or
warranties which are based
upon the
knowledge of the Pledgor shall be deemed to have
been made after due inquiry with
respect to the matter in question.
认知声明。
在抵押人认知基础上的任何声明，
陈
述或保证均应被视为在对所涉及事宜进行正
当询问之后做出。
SECTION 2
第二条
PLEDGE
质押
2.1 Pledge by
Pledgor. The Pledgor hereby pledges, and assigns
to the Lender, and hereby
transfers to
the Lender all right, title, ownership and
interest in and to (all the foregoing herein
called the “Pledge”), the following
described property hereinafter called the “Pledged
Collateral”:
the ______ shares of
______ ( ), together with any certificates,
whether physical or electronic,
evidencing such shares (collectively,
the “Pledged Shares”) and all cash, instruments,
securities or
other property
representing a dividend or other distribution on
any of the Pledged Shares, or
representing a distribution or return
of capital upon or in respect of the Pledged
Shares, or
resulting from a split-up,
revision, reclassification or other like change of
the Pledged Shares or
otherwise
received in exchange therefore, and any warrants,
rights or options issued to the holders
of, or otherwise in respect of, the
Pledged Shares, and all proceeds thereof
(collectively, the
“Pledged
Collateral”).
抵押人的抵押。抵押人在此向贷
方抵押，转让，转移所有权利，所有权和利息（本协议中所
有前述事项均称为“抵押”）
，以下描述的财产简称为“承诺抵押品”：
______
的股份
，连
同任何证明这种股份的物质或电子凭证（统称为“抵押股份”）以及所有现金，工具
，有价
证券，
或者其他代表股息或其他抵押股份任何分配的财产
，
或者代表根据或有关抵押股份的
资金分配或返回，或者由于对
抵押股份进行股本分割，修正，
重新分类或其他类似改变，或
者
相反，因此作为交换而接收，以及对持有人发放的任何抵押股份或反之与其有关的保证，
权利，或选择，以及本协议中的所有收益（统称“承诺抵押品”）。
SECTION 3 NATURE OF LOAN AND
PLEDGE
第三条
贷款和抵押的性质
3.1 Non-
Recourse Loan and Pledge. The Lender agrees, for
itself, its representatives, successors
and assigns that: (i) neither the
Pledgor, nor any representative, successor, assign
or affiliate of the
Pledgor, shall be
personally liable for the Principal Loan Amount;
and (ii) the Lender, and any
such
representative, successor or assignee, shall look
only to the property identified in this Pledge
Agreement for payment of the
Obligations and will not make any claim or
institute any action or
proceeding
against the Pledgor, or any representatives,
successors, assigns or affiliate of the
Pledgor, for any deficiency remaining
after collection upon the Pledged Collateral,
except as
provided below.
<
/p>
无追索权贷款及抵押。贷方为自己，其代表，继承人及受让人，同意：（
< br>1
）抵押人，或者
抵押人的任何代表，
< br>继承人，
受让人或附属者中任何一方不得个人对主要贷款金额负责；
（
2
）
贷方，
以及任何代表，
继承人或受托人仅能将本抵押协议中定义的财产作为支付债务
，
不得
以获得承诺抵押品后仍有任何损失为由向抵押人，
或者抵押人的任何代表，
继承人，
受让人
或附属者提出任何索赔，采取任何行动或起诉，除非有下述情况。
Provided, however, notwithstanding the
foregoing, the Pledgor is and will remain
personally liable
for any deficiency
remaining after collection of the Pledges
Collateral to the extent of any loss
suffered by Lender, or its
representatives, successors, endorsees or assigns,
is caused by Pledgor
based in whole or
in part upon damages arising from any fraud,
misrepresentations or the breach
of any
representation, warranty or agreement in the Loan
Documents.
尽管如前述事项，
但如果抵押人个人正
在并保持对获得承诺抵押品之后依然存在的任何贷方，
或者其代表，
继承人，
被背书人或受让人蒙受的任何程度的损失负责，
及
任何由抵押人对陈
述，保证或贷款文件中的协议进行任何欺骗，歪曲引起的整体或部分损
失。
SECTION 4 SCOPE OF PLEDGE
AND REDELIVERY OF THE PLEDGED
COLLATERAL
第四条
承诺抵押品的抵押范围及重新发运
4.1 Pledge Absolute. The Pledgor hereby
agrees that this Pledge Agreement shall be binding
upon
the Pledgor and that the Pledge of
the Pledged Collateral hereunder shall be binding
upon the
Pledgor and that the Pledge of
the Pledged Collateral hereunder shall be
irrevocable and
unconditional,
irrespective of the validity, legality or
enforceability of the Loan Agreement and
any other Loan Document, even in the
absence of any action to enforce the same, the
waiver or
consent by the Lender with
respect to any provision thereof, or any action to
enforce the same or
any other similar
circumstances. The Pledgor hereby waives
diligence, presentment, demand of
payment, filing of claims with a court
in the event of merger or bankruptcy of the
Pledgor, any
notice to require a
proceeding first against the Pledgor or any other
Person, protest or notice with
respect
to indebtedness evidenced hereby and all demands
whatsoever, and covenants that this
Agreement will remain in full force and
effect so long as any Obligations under the Loan
Agreement remains unpaid.
绝对
承诺。
抵押人在此同意本抵押协议对抵押人构成约束，
在本协议
内对抵押品的承诺应对
抵押人构成约束，
本协议内对抵押品的承
诺应为不可撤销，
无条件的，
不论贷款协议或者其
他贷款文件的有效性，
合法性和强制性，
甚至无论任
何相同行为的执行，
贷方有关协议中的
任何条款的弃权或同意，
或者执行任何相同或类似情况的行为。
在此，
< br>如果抵押人面对并购
和破产，
对抵押人或者其他人首先提
出诉讼要求的任何通知，
与协议中证实的债务相关的声
明及通知
，以所有要求，将放弃在法庭上的注意程度，陈述，支付索取和索赔的提出，保证
本协议
保持完全有效，并且在贷款协议下尚有任何未偿还债务时均保持有效。
4.2 Termination and Redelivery of the
Pledged Collateral. This Agreement shall terminate
when
all of the Pledgor’s Obligations
have been paid in full. Within five business days
of the Pledgor’s
satisfaction of the
Obligations, the Lender shall reassign all right,
title, ownership and interest in
identical securities, as described in
IRC §
1058 to the Pledgor and redeliver
the Pledged Collateral,
without
recourse or warranty, at the sole expense of the
Lender. The Lender shall also deliver
appropriate instruments of reassignment
and release. Provided, however, that this
Agreement shall
be reinstated if any
payment in respect of the Obligations is
rescinded, invalidated, declared to be
fraudulent or preferential or otherwise
required to be restored or returned by the Lender
for any
reason, including without
limitation by reason of the insolvency or
bankruptcy of the Pledgor or
any other
person. For the purpose of this Pledge Agreement
and the Loan Documents, a return of
identical securities means a return of
the Pledged Shares as modified as a result of any
split-up,
revision, reclassification or
other like change of the Pledged Shares. Any cash
or shares tendered
to buy down the Loan
due to the occurrence of an Event of Default are
not subject to redelivery
and do not
become part of the Pledged Collateral.
协议终止及承诺抵押品的重新发运。
本协议于抵押人所有债务完全付清之后终止。
在抵押人
付清债务的五个工作日内，贷方应如
IRC
§
1058
中的描述向抵押人重新分配相同有价证
券中的一切权利，
所有权和利益，
无追索权或保证的情况下重新运送承诺抵押品，
费用仅由
贷方支付。
贷方也应采取适当方法，
重新转让和让与。
然而，
如任何有关债务的支付被撤销
，
失效，
宣告具有欺骗性，
偏颇或相反
被贷方以任何理由要求恢复或退回，
包括抵押人因资不
抵债或破
产或其他无限制的任何原因，则本协议应得到重申。在本抵押协议及贷款文件中，
相同有
价证券的退回意味着以抵押股份的任何股本分割，
重新修改，
重
新分类或其他类似改
变为由依照修改退回抵押股份。
任何购买因
发生违约贷款偿付的现金或股份均不受制于重新
发运，也不会变成承诺抵押品的一部分。
4.3 Risk of Loss. This
Pledge Agreement and the Loan Documents are not
intended to, nor do they,
reduce the
risk of loss or opportunity for gain for either
the Pledgor or Lender, as transferor of the
shares, at any given time, in the
securities transferred. See, IRC §
1058(b) (3). The Pledgor, as
transferor
of the securities (specifically, the Pledged
Collateral), retains all opportunity for gain or
loss on the securities over the term of
the Agreement and at its maturity and termination.
损失风险。
本抵押协议以及所有贷款
文件无打算，
也并不会在任何特定时间作为股份转让人
降低抵押
人或贷方中任何一方在转移的有价证券中的损失风险或者收益机会。请见
IRC
§
1058(b) (3)
。作为有价证券（特别是承诺抵押品）的转移者，抵押人根据协议条款，以及在
< br>到期和终止时保留有价证券的一切收益或损失的机会。
SECTION 5 REPRESENTATIONS AND
WARRANTIES
第五条
陈述与保证
5.1
Representations and Warranties. The Pledgor hereby
represents and warrants as follows:
陈述与保证。抵押人在此做出如下陈述和保证：
(a) The Pledgor has legal title to the
Pledged Shares and is the sole record and
beneficial owner of
the Pledged Shares.
The Pledgor has good and lawful authority to
Pledge all of the Pledged Shares
in the
manner hereby done or contemplated. The Pledged
Shares are not now subject to any Liens,
security interests, charges or
encumbrances of any kind or nature. The Pledged
Shares are not
subject to any
contractual statutory or regulatory or other
restriction upon the transfer thereof, and
no right, warrant or option to acquire
any of the Pledged Shares exists in favor of any
other
Person.
抵押
人对抵押股份拥有法定权利，
是抵押股份的唯一记录和收益所有人。
抵押人拥有良好及
合法权威以协议内完成或预期的手段来保证所有抵押股份。
抵押股份目前不受制于任何扣留，
抵押权益，
费用或任何性质或种类的财产留置权。
抵押股份不受制于任何契约的，
< br>法定或规
定或协议中对转移的其他限制，
不得存在有利于
任何其他方的任何取得抵押股份的权利，
保
证或选择。
(b) The Pledged Shares are
freely tradable and transferable securities and do
not bear any
restrictive legend. No
authorizations, approvals and consents, and no
filings or registrations with
any
governmental or regulatory authority or agency or
any other Person are necessary for the
execution, delivery or performance by
the Pledgor of this Agreement or for the validity
or
enforceability hereof.
抵押
股份系可以自由买卖和转让的有价证券，
不具有任何限制性说明。
本协议中抵押人的执
行，
交付或行为或本协议的有效性或可执
行性不需要任何授权，
批准或同意，
不需要向任何
政府或管理机构，代理或任何其他方存档或注册。
(c) The execution, delivery and
performance of this Agreement by the Pledgor, the
Pledge of the
Pledged Collateral
pursuant hereto and the incurrence and performance
of the obligations provided
for herein
will not (1) violate any law or regulation
applicable to the Pledgor or any of its assets,
(2) violate or constitute (with due
notice or lapse of time or both) a default under
any provision of
any indenture,
agreement, license or other instrument to which
the Pledgor is a party or by which
he
or any of his properties may be bound or affected,
(3) violate any order of any court, tribunal or
governmental agency binding upon the
Pledgor or any of its properties or (4) result in
the creation
or imposition of any lien
or encumbrance of any nature whatsoever upon any
assets or revenues of
the Pledgor.
抵押人对此协议的执行，
交付或行为，
根据本协
议对抵押品的承诺以及本协议规定的义务履
行将不会
(1) <
/p>
与适用于抵押人或其任何资产的法律或规定相悖，
（
2
）
触犯任何契约，
协议，
许可或其他抵押人作为一方的工具或者其或其任何财产可能受约束或影响下的任何条款或
导致（得到到期通知或时效终止或双方）违约。（
3
）与抵押人或其任何财产构成约束的任
何法庭，裁决或政府机构的命令相悖
，或者（
4
）导致对抵押人的任何资产或收益构成或施
加任何性质的任何留置权。
(d) The
Pledgor is not in violation of any applicable
United States federal or state applicable law
or regulation, or in default with
respect to any order, writ, injunction or decree
of any court, or in
default under any
order, license, regulation or demand of any
governmental agency, which
violation or
default could affect the validity or
enforceability of this Agreement or any related
document or prevent the Pledgor from
performing any of his obligations hereunder or
under any
related documents.
抵押人不得违反任何适用与美国联邦或适用于州的法律或法规，
或者对任何法庭的任何
有关
命令，法令，劝告或判决构成违约，或者对任何政府机构下的命令，许可，法规或要
求构成
违约，
其违反或违约会对本协议或任何相关文件的有效性
或可执行性造成影响，
或对抵押人
履行其在本协议或任何相关文
件内的义务构成阻碍。
(e) if any
additional item of collateral other than the
Pledged Shares is pledged hereunder, the
Pledgor represents and warrants that
additional collateral is subject to and conforms
to the
aforementioned representations
and warranties, §
5.1(a)
–
(d) herein.
如果不包括抵押股份的抵押品的任何附加项在协议下做出承诺，
则抵押人需表示及保
证附加
的抵押品受制于及遵照前述的声明及保证，见本协议的§
5.1(a)
–
(d)
。
(f) Any information,
schedules, exhibits and reports furnished by the
Pledgor to the Lender in
connection
with the negotiation and preparation of this
Agreement did not contain any omissions
or misstatements of fact which would
make the statements contained therein misleading
or
incomplete in any material respect.
任何由抵押人向贷方提供的与本协议的协商和准备有关的信息，
附表，
附件和报告不包含使
对本协议内文件造成误导或不完整的
事实省略和误述。
(g) This Agreement
constitutes the legal, valid and binding
obligation of the Pledgor, enforceable
against the Pledgor in accordance with
its terms.
本协议对抵押人构成法定，有效，约束力的义务，可根据条款对
抵押人进行执行。
SECTION 6
AFFIRMATIVE COVENANTS
第六条
肯定性条款
6.1 Title
and Liens. The Pledgor hereby agrees that, unless
the Lender shall otherwise agree in
writing, until the payment in full of
the Obligations the Pledgor (i) shall defend its
title to the
Pledged Collateral against
all claims and demands whatsoever that are adverse
to the Lender, (ii)
shall not create,
incur, assume or suffer to exist any Liens,
security interests, charges or
encumbrances of any kind or nature
(other than those created hereunder) in any
Pledged Collateral
and (iii) shall not
sell, assign, transfer, exchange or otherwise
dispose of, or grant any option or
other right with respect to, any
Pledged Shares. The Pledgor shall, upon demand of
the Lender, do
the following: furnish
further assurances of title, execute any written
agreement or do any other
act(s)
necessary to effectuate the purposes and
provisions of this Pledge Agreement, execute any
instrument, document or statement
required by law or otherwise in order to perfect,
continue or
preserve the interests of
the Lender in the Pledged Collateral and pay all
filing or other costs
incurred in
connection therewith.
权利及留置权。
抵押人在此同意，
除非贷方以书面形式另外表示同意，
在完全
付清债务之前，
抵押人（
1
）应维护其
对于承诺抵押品的权利，对反对贷方的任何索赔和要求。
（
2<
/p>
）不得制
造，引起，
假定或蒙受以存在任
何承诺抵押品中的任何留置权，抵押权益，
费用或任何种类
或性
质的财产留置权（不包括那些在本协议内制造的），
(3)
不
得出售，转让，转移，交换
或另外处理或授予与任何抵押股份相关的任何选择或其他权利
。
抵押人应当在贷方要求下做
出如下：
提供权利的保证，
执行任何书面协议或其他任何实行本抵押协议目的和条款的必要
行为，
使用任何法律或另外要求的手段，
文件
或声明以完善，
继续或保留贷方在承诺抵押品
中的利益，支付随
后所有相关的诉讼提出或其他费用。
6.2
Perfection of Interest. Upon the Lender’s request
the Pledgor will make, execute, acknowledge
and deliver, and file and record in the
proper filing and recording places, all such
instruments
(including, without
limitation, duly executed blank stock powers and
other instruments of transfer
or
assignment satisfactory in form and substance to
the Lender), and take all such action, as the
Lender may reasonably deem necessary or
advisable to carry out the intent and purpose of
this
Pledge Agreement and to establish
and maintain in favor of the Lender a valid and
enforceable
interest in the Pledged
Collateral and that are superior and prior to the
rights and interests of all
other
persons or entities.
利益的完善。
在贷方提出要求时，抵押人将在恰当的归档和记载地方制造，执行，承认，交
付，
归档和记载一切这种文件
（包括无限制按时执行股票转让授权书及其他
在形式和实质上
让贷方满意的转移或转让工具）
，
采取所有诸如贷方合理视为必要或明智的行为将本抵押协
议的意图和目的付诸
行动，
建立并保持承诺抵押品中有利于贷方的有效而可行，
优越
于及优
先于所有其他个人及实体权益的利益。
SECTION 7 APPOINTMENT OF AGENTS AND
ACTIONS BY LENDER
第七条
代理人指定及贷方行为
7.1
Lender’s Appointment of Agent and Lender’s Rights.
The Lender shall have the right to
appoint one or more agents for the
purpose of receiving possession of the
certificates representing
or evidencing
the Pledged Collateral, which may be held in the
name of the Lender or any
nominee of
the Lender or any agent appointed by the Lender.
In addition to all other rights
possessed by the Lender, the Lender
may, at the Lender’s sole discretion and
witho
ut notice to the
Pledgor, take any or all of the
following actions: (a) sell some or all of the
Pledged Collateral and
take control of
any proceeds from the sale of the Pledged
Collateral; and (b) exchange certificates
or instruments representing or
evidencing Pledged Collateral for certificates or
instruments of
smaller or larger
denominations for any purpose consistent with its
rights under this Pledge
Agreement. All
powers of the Lender under this Section 7 shall be
in addition to, and not
supersede or
replace, the rights of the Lender under Section 8
hereof and the rights of the Lender
under the Loan Documents.
贷方
指定代理人及贷方的权利。
贷方应当有以接收代表或证明承诺抵押品证件所有权为目的<
/p>
而指定一个及多个代理人的权利，
将保留在贷方或贷方指定的任何
人或贷方指定的任何代理
的名义下。
除了贷方拥有的所有其他权
利之外，
贷方可以全权处理，
在不通知抵押人的情况
下采取下述任何或全部行动：
(1)
出售一些或
全部承诺抵押品，掌握承诺抵押品中获得的任
何收益；
(2)
以与本抵押协议中规定的权利一致的任何目的交换证件或代表或证明承诺抵押
品的工具或者面值更小或更大的工具。
第七条规定下贷方的所有权利应补充
，
代替或取代本
协议中第八条规定下贷方的权利，以及贷款文件
下贷方的权利。
SECTION 8 SALE AND
TREATMENT OF PLEDGED COLLATERAL
第八条
承诺抵押品的出售及处理
8.1
Authority and Right to Sell and Buy Pledged
Collateral. The Pledgor acknowledges that the
Lender has the absolute right to sell
and buy any or all of the Pledged Collateral
during the term of
the Loan and this
Agreement. However, the Lender shall be under no
obligation to sell or
otherwise dispose
of any Pledged Collateral or to cause any Pledged
Collateral to be sold or
otherwise
disposed of. In the event of a diminution in the
fair market value of the Pledged
Collateral, the failure of the Lender
to dispose of the Collateral shall under no
circumstances be
deemed a failure to
exercise reasonable care in the custody or
preservation of the Pledged
Collateral.
Any such sale or other disposition of any Pledged
Collateral shall be deemed to be
commercially reasonable under the
Uniform Commercial Code, fully authorized and
approved by
the Pledgor pursuant to
this Pledge Agreement and the Loan Documents, and
otherwise proper in
all respects.
出售和购买承诺抵押品的权威和权利。
抵押人承认贷方有在贷款和协议期间出售和购买任意
或所有承诺抵押品的绝对权利。<
/p>
然而，
贷方不得有义务出售或另外处理任何承诺抵押品或导
致任何承诺抵押品被销售或另外被处理。
如果出现承诺抵押品的公平市
价降低，
贷方处理抵
押品失败在任何情况下不得被视为未对承诺
抵押品进行合理精心的保管或保护。
任何这种出
售或对任何承诺
抵押品的其他处理应根据统一商法规定被视为商业上的合理，
根据本抵押协
议及其贷款文件完全被授权及批准，在各个方面另为适当。
8.2 Actions by Lender. Pledgor further
acknowledges and agrees that as long as the Loan
Principal
Amount or the Obligations
remain due and outstanding, Lender may take any
and all actions with
respect to the
Pledged Collateral as the Lender, in its sole and
absolute discretion, may deem to be
advisable, including, without
limitation, selling and buying some or all of the
Pledged Collateral,
utilizing the
Pledged Collateral as a part of hedging
transactions, transferring the Pledged
Collateral within or among one or more
depositary accounts, and creating and trading
derivative
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