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股权投资条款清单（中英文版）
要点
公司、
投资人及实际控制人拟定的最终协议等相关文件进一步约定，
各方无需承担进一步拟定和
执行最终协议的责任和义务。
TERM SHEET FOR PURCHASE OF EQUITY IN
股权投资条款清单
This
Term Sheet summarizes the principal terms with
respect to anticipated investments
by
the Investors (as defined hereunder) in
(the “Company”) and is
qualified in its entirety by the more
detailed provisions to be set forth in the
Definitive
Agreements (as defined
hereunder) which may be entered into by and
between the
Company, the Investors and
the Actual Controller (as defined hereunder). The
parties
understand and acknowledge
that, except for the sections captioned
“Confidentiality”,
“No Shop”,
“Expenses”, and “Governing Law”, this Term Sheet
is not legally binding and
that failure
to execute and deliver the Definitive Agreements
shall impose no liability on
the
parties. This Term Sheet does not constitute
either an offer to sell or an offer to
purchase shares of the Company. THIS
PREAMBLE IS AN INTEGRAL PART OF THIS TERM
SHEET. This Term Sheet is executed by
all parties as of the date of
.
本投资条款清单概述了投资人（如下文定义）拟
（简称
“
公司
”
）的主要条
款。本条款完整及
其详尽地说明将于公司、投资人及实际控制人（如下文定义）将要拟定的
最终协议（如下
文定义）等相关文件中进一步约定。各方了解并承认除标题为
“
保密
”
、
“
排
他性
”
、
“<
/p>
费用
”
和
“
适用法律
”
之外的其他条款不具有法律约束
力。
各方无需承担进一步拟定和
执行最终协议的责任和义务。<
/p>
本条款清单不构成买卖公司股权的效力。
该导言是本条款清单
必不可少的一部分。本投资条款清单由各方于
年
月
日签署。
The Company
公司
Investor
投资人
Actual
Controller
实际控制人
and/or its affiliates
英飞尼迪创业投资中心（有限合伙）及
/
或其关联方
“Actual
Controller” means any person or group of persons
acting in
concert that controls the
Company, including
.
“Person”
includes individual and entity.
“Control” means the possession,
directly or indirectly, of the power
to
cause the
direction of
the
management or policies
of the
Company,
by
voting
、
contract
or otherwise.
“实际控制人”指控制公司的任何人或一致行动人，包<
/p>
括
。
“人”包括自然人和实体。
“控制”
指通过行使投票权，合同或以其它方式直接或间接的拥有指示或决定
公司经营方向或公司
的政策。
Existing
Shareholders
“Existing
Shareholders”means any individuals and entities
who hold
shares
of the
Company at
the
signing day of
this term
sheet,
including:
现有股东
Pre-money
Evaluation
融资前估值
Investment
Amounts
投资金额
Pre-money
and
Post-money
Capital
Tables
公司融资前后股
权变化
Shareholders
Register
capital
Proportions
“现有股东”指在本投资条款清单签署之日持有公司股权的自
然人及企业，包
括
股东
出资额（人民币元）
持股比例
RMB
, based on
times after tax net income
of the Company for the fiscal year
.
人民币
元，即公司
年度税后净利润
的
倍
The
Investors intend to invest RMB
in the Company to
purchase
newly issued shares of the Company and will
hold
%of
the
Company’s
registered
capital
after
completion
of the Closing.
投资人有意向公司投资人民币
元，
其将持有交割完成后公司全
部注册
资本总额之
%
。
Pre-money
Post-money
投资前
投资后
%
%
%
%
%
%
%
%
Total
%
%
总计
Target Closing
The
Closing
Date
is
expected
to
take
place
within
business
Date
days
from
the
effective
date
of
the
Definitive
Agreements.
The
Investors
will wire transfer
all of their investment sum to the newly opened
交割日
capital-
verification account of the Company.
交割预计将于最终协议生效之日起
个工作日内进行，
届时投资
人向公司新
开立的验资账户支付全部投资款项。
Qualified IPO
“
Qualified IPO
”
means the closing of a firm commitment
underwritten
合格的首次公开
public
offering of common shares of the Company at
Shanghai/Shenzhen
Stock Exchange, the
Main Board of the Hong Kong Stock Exchange, NYSE,
发行
NASDAQ or
other internationally recognized stock exchanges,
with the
Company’s
market
capitalization
at
least
RMB
and
funding
size no less than RMB
.
The Actual Controller and the Company
undertake to use their best
endeavors
to achieve a Qualified IPO in any case
by
,
and
to
make
the
Company’s
shares
have reasonable liquidity after the
Qualified IPO.
“
合格的首次公开发行
”指在上海
/
深圳证券交易所、香港证券交易
所主板、
NYSE
、
NASDAQ
或其它得到国际认可的证券交易所进行的一次承销的公开招股，
且公
司的市场价值至少达到
亿人民币，并且融资规模不少
于
亿人民币。
实际控制人和公司承诺尽最大努力
在
年
月
日前实现首次公开发行，
并且在公开发行后保持公司股票足够的
流动性。
Net Profit
Guarantee
业绩承诺
The Company undertakes and guarantees
that its after tax net profit of
financial year
is
not less than RMB
,
and
its
after
tax
net
profit
of
financial
year
is
not
less
than
RMB
.
The after tax net profit
should be audited by an auditor permitted by
the
Investors
in
writing,
and
should
not
include
extraordinary
gains
or
losses.
公司承诺其
年税后净利润不低于人民币
万
元，
其
年税后净利润不低于人民币
万元。
（分
别称为“
”）
税后净利润须经投资人书面认可的会计师事务所进行审计，且
应扣除非经常性
损益。
Valuation
Adjustment
估值调整
If the
Company fails to achieve its net profit guarantee
in the year
of
,
each
of
the
Investors
shall
have
the
right
to
adjust
its
share
proportion
by
requesting
the
Actual
Controller
to
transfer
shares
Preferred
Participation
Right
优先参与权
voluntarily
based on the following formula:
The
Investor’s
adjusted
share
proportion
=
(
Net
Profit
Guarantee /
actual after-tax net profit) * the
Investor’s pre
-adjusted
share proportion
The
after-
tax
net
profit
in
the
year
of
should
be
audited
by an auditor
permitted by the Investors in writing, and should
not
include extraordinary gains or
losses.
If, however
, the
Actual Controller hasn’t conducted such share
adjustment in previous year, if any,
then it should compensate share
adjustment
in
that
year
in
prior,
then
based
on
such
adjustment,
should
it continue to compensate the Investors
with share adjustment in the
following
year.
如果
年度公司未实现当年业绩承诺，
则
每一投资人的持股比例将按照
如下公式进行调整，并通过实际控制人向每一投资人无偿转
让股权的方式进行
操作：
调整后的投
资人持股比例
=
（
年度业绩承诺
/
年度实际税后净利润）
*
调整前投资人的持股比例
年度实际税后净利润为该年度公司
经投资人书面认可的会计
事务所审计且已扣除非经常性损益的税后净利润。
若实际控制人对每一投资人进行该年度股权补偿时其尚未实施对投资人的上
一
年度股权补偿（若有），则须按照上述公式计算先行计算上一年度的股权补偿
数额，再在其基础上计算该年度的股权补偿数额。
To the fullest extent of applicable
laws, the Investors will have the
right
of first refusal to subscribe for future issuance
of the shares
by
the
Company
prior
to
a
Qualified
IPO,
pro
rata
in
proportion
to
their
respective
shareholding in the Company, except the issuance
regarding
ESOP.
For the
avoidance of doubt, such right of first refusal
will
terminate upon, and shall not
include, the Company’s Qualified IPO.
<
/p>
在适用法律允许的范围内，每一投资人有权按照其持有的公司股权的比例以第
一顺序认购公司未来新发行的股权，但公司为实施员工股权激励计划而新增发
行股权的除外。本权利自公司发生合格的首次公开发行时终止。
Preemptive
Until occurrence
of Qualified IPO, if any Existing Shareholder of
the
Right & Co-sale
Company
other
than Investors intends
to transfer any
part
or
all
of
its
Right
equity
in the Company to any third party, each Investor
shall
优先购买权和共
(i) have a
preemptive right and
同出售权
(ii)
be
entitled
to
co-sale
its
shareholding
of
the
Company
on
a
pro-rata
basis.
在合格的首次公开发行前，如果投资人以外的任何现有股东拟出售其持有的公
司全部或部分股权，每一位投资人均
(i)
有优先购买权和
(ii)
有权按届时其持股比例共同出售其持有的公司股权。
Preferred
The Company may
determine payment of dividends from time to time
in
Dividend Right
accordance
to the Articles of Association, each of Investors
has a
preferred dividend right to
receive dividend prior to any other
优先分红权
shareholders on a pro-rata basis.
公司根据公司章程有权决定是否分红，每一投资者均有权按照其持股比例优先
于其他股东取得相应的分红。
Preferred
Disposition
Right
处置权
Each
of
the
Investors
has
a
preferred
right
to
transfer,
sell
or
dispose
of all or parts of
its equity in the Company at its sole discretion
at
any time.
每一投资人均有权在任何时间依其
独立判断优先地向第三方转让、出售或处置
其持有的全部或部分公司股权。
Information
Rights
信息披露
Until
occurrence of Qualified IPO, the Company shall
deliver, and the
Actual Controllers
shall cause the Company to deliver, to each of the
Investors
(i) annual audited
financial statements by no later than 90 days
following the end of its fiscal year,
audited by an accounting firm
reasonably acceptable to the Investors,
(ii)
quarterly
unaudited
financial
statements
(including
balance
sheet,
income statement and statement of cash
flow) within 45 days following
the end
of each quarter;
(iii) an annual
operating plan and budget at least 30 days prior
to the
first
day
of
the
year
covered
by
such
plan
and
budget,
and
(iv)
any
other
report or information
reasonably required. In addition, the Investors
shall also be entitled to customary
inspection and visitation rights.
All
the financial statements must be prepared in
accordance to Chinese
GAAP.
合格的首次公开发行之前，公司应向（或实际控制人应促使公司）投资人提供
下列信息：
1
、在会计年度结束之后的
90
天内提供年度财务审计报告，该中介机构应经投
资人认可，并应考虑节约审计成本；
2
< br>、每季度结束后
45
天内提供季度资产负债表，利润表，
现金流量表；
3
、在下一财务年度开
始前的
30
天内提供下年度预算报告和业务计划；
4
、其它合理所需信息和报告。
此外，投资人也有资格进行例行检查及行使探访权。
所有的财务报告必须根据中国的通用会计准则准备。
Lock-up Period
Within
months from occurrence of Qualified IPO
at domestic
stock
exchange
or
within
months
from
occurrence
of
Qualified
锁定期
IPO at NASDAQ
or any other internationally recognized stock
exchanges,
or
within
any
other
Lock-up
Period
formulated
by
relevant
stock
exchange
and agreed and
undertook by the people hereinafter (together the
“Lock
-
up
Period”), none o
f Actual Controllers
and family members
thereof
may sell
any part
of its equity in the Company.
After
the
end
of the Lock-up Period, as long as any
of the Investors remain holding
no
less
than
%
equity
in
the
Company,
neither
Actual
Controllers
nor the family
member thereof may sell more than
% of his/her
entire equity in the Company within any
calendar year and in the
aggregate,
more
than
%
of
his/her
entire
equity
in
the
Company.
The Equity interest
hold by the Investors will not subject to lock-up
period
clause
in
any
form,
each
of
the
Investors
has
a
right
to
sell
all
or any of its shareholding to any third
party at its sole discretion.
自在国内证券市场发生合格的首次公开发行起
个月内或在纳斯达克
或上文中提及的其他证券交易所发生合格的首次公开发行起
个月内
（简
称“锁定期”），或在相关证券市场规定并由下文中提及的人员同意且承诺的
锁定期内，实际控制人、核心管理层及他们各自的家庭成员均不得出售公司的
< br>任何股权。在锁定期结束后，只要任何一位机构投资人仍然持有公司
%
以上的股权，实际控制人、管
理层及他们各自的家庭成员在任何一个年度不得
出售超过其持有的公司股权的
%
，并且累计不
得超过其持有的公司股权
的
%
。
投资人所持有的股权不受任何形
式的锁定期限制，任一投资人均有权依其独立
判断向第三方转让其持有的全部或部分公司
股权。
Anti-dilution
Provided
that
the
Company
issues
any
Equity
Securities
at
a
price
lower
Right
than the price Investors paid, the
price Investors paid should be
adjusted
so
that
the
after-adjusted
price
of
shares
hold
by
the
Investors
反稀释权
equals
to
that
of
the
Equity
Securities
newly
issued
to
the
third
party.
Such
right should not be exercised in circumstances of
issuances of
shares regarding ESOP.
如果公司发行的任何权益证券的价格低于投资人支付的购买价格，每一位投资
< br>人均有权在全面稀释的基础上对持股价格进行调整，以使得调整后的价格等于
Fu
lly Diluted
Basis
全面稀释原则
Redemption
Right
赎回权
向第三方发行的新的权益证券的价格。但是根据员工股权激励计划发行的股权
不
在此限。
“Fully Diluted Basis”
means, in determining the number of shares of
the
Company’s
capital stock deemed
to be
outstanding
as
of
any
date
of
determination, that such determination
assumes the conversion,
exercise,
issuance or exchange, as the case may be, of all
Equity
Securities that are then
outstanding and are convertible, exercisable
or exchangeable for the Company’s
capital stock.
“Equity
Securities”
mean
all
of
the
Company’s
issued
and
outstanding
securities
and
all
rights
to
acquire
such
securities,
including
but
not
limited
to all outstanding warrants, options (whether
allocated or
unallocated,
promised
or
un-
promised,
vested
or
unvested),
or
any
other
right granted to any
third party to receive securities of the Company
or anti-dilution rights of existing
shareholders.
“充分稀释基础” 是指：
假设
公司已发行的所有可转换、
可行权、
可交易的权
益证券均被全部转换、行权或交易，并在此基础上计算出公司已发行的权益证
券
的数量。
“权益证券”是指，
所有已
发行并流通在外的股权以及所有获取此股权的权利，
包括但不限于发行在外的期证、选择
权（无论是已分配还是未分配，承诺还是
未承诺的，兑现还是未兑现），或授予第三方取
得此类证券，或现有股东享有
的反稀释权。
If
any of
the
following
events occurs, each
of the Investors
shall
have
a right to require
Actual Controllers to repurchase all or part of
its
equity in the Company on a pro-rata
basis at a redemption price:
i.
the Company does not achieve the Net
Profit Guarantee
of
or
;
ii.
the
Company
does
not
take
place
a
Qualified
IPO
by
;
iii.
Actual
Controllers has material credit problems,
particularly,
there’re
off
-balance-sheet sales revenue and
expenses.
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