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or amendments to any of the foregoing, and other documents (and pay the costs of filing or recording the same in all public offices deemed necessary by the Agent) and do such other acts and things, all as the Agent may from time to time request to establish and maintain a valid perfected pledge and first priority security interest in the Collateral. The Pledgor hereby constitutes and appoints the Agent (and any of its officers) as its attorney-in-fact with full power and authority to execute and deliver all documents necessary to perfect and keep perfected the security interests created hereby, which power of attorney may only be exercised in the event the Pledgor fails to execute and deliver any document necessary to perfect or keep perfected the security interest created hereby within five (5) business days after being requested to do so. This power of attorney hereby granted is a special power of attorney coupled with an interest and shall be irrevocable by the Pledgor.\n(b) If Pledgor shall, as a result of its ownership of the Collateral, become entitled to receive or shall receive any stock or other certificate (including, without limitation, any certificate representing a dividend or a distribution in connection with any reclassification, increase or reduction of capital or any certificate issued in connection with any reorganization), option or rights, whether in addition to, in substitution of, as a conversion of, or in exchange for any portion of the Collateral, or otherwise in respect thereof, Pledgor shall accept the same as the agent of the Agent, hold the same in trust for the Agent and deliver the same forthwith to the Agent in the exact form received, together with an undated stock power covering such certificate duly executed in blank by such Pledgor, and with, if the Agent so requests, signature guaranteed, to be held by the Agent, subject to the terms hereof, as additional collateral security for the Secured Obligations. In addition, any sums paid upon or in respect of the Collateral upon the liquidation or dissolution of any Issuer shall be held by the Agent as additional collateral security for the Secured Obligations. If any sums of money or property so paid or distributed in respect of any Collateral shall be received by Pledgor, Pledgor shall, until such money or property is paid or delivered to the Agent, hold such money or property in trust for the Agent, segregated from other funds of Pledgor, as additional collateral securing the Secured Obligations.\n(c) Without the prior written consent of the Agent, Pledgor will not (i) vote to enable, or take any other action to permit, any Issuer to issue any stock or other equity securities of any nature or to issue any other securities convertible into or granting the right to purchase or exchange for any stock or other equity securities of any nature of such Issuer, (ii) sell, assign, transfer, exchange, or otherwise dispose of, or grant any option with respect to, the Collateral, or (iii) create, incur or permit to exist any Lien or option in favor of, or any claim of any Person with respect to, any of the Collateral, or any interest therein, except for the lien provided for by this Agreement. 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"clause", "offset": [8509, 8528]}, {"key": "to-file", "type": "definition", "offset": [8534, 8541]}, {"key": "required-by", "type": "definition", "offset": [8745, 8756]}, {"key": "requested-by", "type": "clause", "offset": [8779, 8791]}, {"key": "business-days", "type": "definition", "offset": [9263, 9276]}, {"key": "pursuant-to-section-13", "type": "clause", "offset": [9429, 9451]}, {"key": "documents-and-reports", "type": "clause", "offset": [9549, 9570]}, {"key": "time-periods", "type": "definition", "offset": [9600, 9612]}, {"key": "by-the-exchange", "type": "clause", "offset": [9622, 9637]}, {"key": "exchange-act-regulations", "type": "definition", "offset": [9650, 9674]}, {"key": "directors-and", "type": "clause", "offset": [9739, 9752]}, {"key": "directly-or-indirectly", "type": "clause", "offset": [9782, 9804]}, {"key": "termination-of-the", "type": "clause", "offset": [9814, 9832]}, {"key": "underwriting-syndicate", "type": "clause", "offset": [9833, 9855]}, {"key": "contemplated-by-this-agreement", "type": "clause", "offset": [9856, 9886]}, {"key": "to-stabilize", "type": "definition", "offset": [9908, 9920]}, {"key": "security-of-the", "type": "clause", "offset": [9952, 9967]}, {"key": "the-future", "type": "clause", "offset": [10028, 10038]}, {"key": "stabilization-or-manipulation", "type": "clause", "offset": [10089, 10118]}, {"key": "the-sale", "type": "clause", "offset": [10178, 10186]}, {"key": "pay-anyone", "type": "definition", "offset": [10267, 10277]}, {"key": "compensation-for", "type": "clause", "offset": [10384, 10400]}, {"key": "pay-to", "type": "definition", "offset": [10476, 10482]}, {"key": "any-person", "type": "clause", "offset": [10483, 10493]}, {"key": "other-securities", "type": "clause", "offset": [10552, 10568]}, {"key": "net-proceeds", "type": "definition", "offset": [10694, 10706]}, {"key": "sale-of-the", "type": "clause", "offset": [10716, 10727]}, {"key": "received-by-the-company", "type": "definition", "offset": [10875, 10898]}, {"key": "to-register", "type": "clause", "offset": [10990, 11001]}, {"key": "an-investment-company", "type": "clause", "offset": [11005, 11026]}, {"key": "investment-company-act", "type": "definition", "offset": [11037, 11059]}, {"key": "with-respect-to", "type": "clause", "offset": [11117, 11132]}, {"key": "securities-by", "type": "definition", "offset": [11150, 11163]}, {"key": "applicable-rating-agency", "type": "definition", "offset": [11168, 11192]}, {"key": "furnishing-of-documents", "type": "clause", "offset": [11217, 11240]}, {"key": "actions-by-the-company", "type": "clause", "offset": [11262, 11284]}, {"key": "other-actions", "type": "definition", "offset": [11421, 11434]}], "snippet": "The Company hereby agrees with each Underwriter:\n(a) That the Company shall cooperate with the Lead Underwriter and legal counsel for the Underwriters and furnish such information as may be required to qualify or register the Underwritten Securities for sale under (or obtain exemptions from the application of) the state securities or blue sky laws of those jurisdictions designated by the Lead Underwriter; that the Company shall comply with such laws and shall continue such qualifications, registrations and exemptions in effect so long as required for the distribution of the Underwritten Securities; provided that the Company shall not be required to qualify as a foreign corporation or to take any action that would subject it to general service of process in any such jurisdiction where it is not presently qualified or where it would be subject to taxation as a foreign corporation; and that the Company shall use its best efforts to prevent the suspension of the qualification or registration of (or any such exemption relating to) the Underwritten Securities for offering, sale or trading in any jurisdiction and will advise the Lead Underwriter promptly of such suspension or any initiation or threat of any proceeding for any such purpose, and that in the event of the issuance of any order suspending such qualification, registration or exemption, the Company shall use its best efforts to obtain the withdrawal thereof at the earliest possible moment;\n(b) That if, at the time this Agreement is executed and delivered, it is necessary for a post-effective amendment to the Registration Statement to be declared effective before the offering of the Underwritten Securities may commence, the Company will endeavor to cause such post-effective amendment to become effective as soon as possible;\n(c) To prepare the Prospectus in a form approved by the Underwriters and to cause to be transmitted to the Commission for filing pursuant to Rule 424(b) of the Securities Act Regulations by means reasonably calculated to result in filing with the Commission pursuant to such Rule; which Prospectus and Issuer Free Writing Prospectus and any amendments or supplements thereto furnished to the Underwriters will be identical to the version transmitted to the Commission for filing via EDGAR, except to the extent permitted by Regulation S-T;\n(d) The Company will furnish to each Underwriter, from time to time during the period when a prospectus relating to the Underwritten Securities is required to be delivered under the Securities Act, such number of copies of the Prospectus and each Free Writing Prospectus (as amended or supplemented) as such Underwriter may reasonably request for the purposes contemplated by the Securities Act or the Exchange Act or the respective applicable rules and regulations of the Commission thereunder;\n(e) To furnish a copy of each proposed Free Writing Prospectus to the Lead Underwriter and counsel for the Underwriters and obtain the consent of the Lead Underwriter prior to referring to, using or filing with the Commission any Free Writing Prospectus pursuant to Rule 433(d) under the Securities Act, other than the free writing prospectus constituting part of the Time of Sale Information;\n(f) To comply with the requirements of Section 3 hereof and Rules 164 and 433 of the Securities Act Regulations applicable to any Issuer Free Writing Prospectus, including timely filing pursuant to Rule 433(d) with the Commission (by means reasonably calculated to result in filing with the Commission pursuant to such Rule), legending and record keeping, as applicable;\n(g) That, for a period of 90 days after the date of this Agreement or such earlier date as each Underwriter shall have resold all of the Underwritten Securities underwritten by it, the Company shall promptly advise the Lead Underwriter in writing (i) of the receipt of any comments of, or requests for additional or supplemental information from, the Commission or any request by the Commission for amendments or supplements to the Registration Statement, any Issuer Free Writing Prospectus or the Prospectus, (ii) of the time and date of any filing of any post-effective amendment to the Registration Statement or any amendment or supplement to any Issuer Free Writing Prospectus or the Prospectus, (iii) of the time and date that any post-effective amendment to the Registration Statement becomes effective and (iv) of the issuance by the Commission of any stop order suspending the effectiveness of the Registration Statement or any post-effective amendment thereto or of any order preventing or suspending the use of any Issuer Free Writing Prospectus or the Prospectus; and, if the Commission shall enter any such stop order at any time, the Company will use its best efforts to obtain the lifting of such order at the earliest possible moment; the Company shall, within such period, advise the Lead Underwriter promptly of any proposal to prepare, use, authorize, approve or file any amendment or supplement to the Registration Statement, any Issuer Free Writing Prospectus or the Prospectus, shall furnish to the Lead Underwriter for review a copy of each proposed amendment or supplement a reasonable amount of time prior to such proposed filing or use, as the case may be, and the Company will not prepare, use, authorize, approve, refer to or file any such Issuer Free Writing Prospectus or file any such amendment or supplement or use any such Prospectus to which the Lead Underwriter shall reasonably object; additionally, the Company agrees that it shall comply with the provisions of Rules 424(b) under the Securities Act and will use its reasonable efforts to confirm that any filings made by the Company under such Rule 424(b) were received in a timely manner by the Commission;\n(h) To furnish to the Lead Underwriter for a period of five years from the date of this Agreement (i) as soon as available, copies of all annual, quarterly and current reports or other communications supplied to holders of Underwritten Securities, (ii) as soon as practicable after the filing thereof, copies of all reports filed by the Company with the Commission or any securities exchange and (iii) such other information as the Lead Underwriter may reasonably request regarding the Company;\n(i) To advise the Lead Underwriter promptly of the happening of any event known to the Company within the time during which a Prospectus relating to the Underwritten Securities (or in lieu thereof the notice referred to in Rule 173(a) under the Securities Act Regulations) is required to be delivered under the Securities Act Regulations which, in the judgment of the Company or in the reasonable opinion of the Lead Underwriter or legal counsel for the Underwriters, (A) would require the making of any change in the Prospectus or the Time of Sale Information then being used so that the Prospectus or Time of Sale Information would not, at the time it is delivered to a purchaser, include an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading, (B) as a result of which any Issuer Free Writing Prospectus conflicted or would conflict with the information contained in the Registration Statement relating to the Underwritten Securities, or (C) if it is necessary at any time to amend or supplement the Prospectus or the Time of Sale Information to comply with any law and, during such time, to promptly prepare and furnish to the Underwriters copies of the proposed amendment or supplement before filing any such amendment or supplement with the Commission and thereafter promptly furnish at the Company's own expense to the Underwriters and to dealers, copies in such quantities and at such locations as the Lead Underwriter may from time to time reasonably request of an appropriate amendment or supplement to the Prospectus or the Time of Sale Information so that the Prospectus or the Time of Sale Information as so amended or supplemented will not, in the light of the circumstances when it (or in lieu thereof the notice referred to in Rule 173(a) under the Securities Act Regulations) is so delivered, be misleading, or in the case of any Issuer Free Writing Prospectus, conflict with the information contained in the Registration Statement, or so that the Prospectus or the Time of Sale Information, as amended or supplemented, will comply with the law;\n(j) To file promptly with the Commission any amendment or supplement to the Registration Statement, any Free Writing Prospectus or the Prospectus that may, in the judgment of the Company or the Lead Underwriter, be required by the Securities Act or requested by the Commission;\n(k) That, prior to filing with the Commission any amendment or supplement to the Registration Statement, any Issuer Free Writing Prospectus or the Prospectus, the Company shall furnish to the Lead Underwriter for review a copy of each such proposed amendment or supplement, and the Company shall not file any such proposed amendment or supplement to which the Lead Underwriter reasonably objects;\n(l) To furnish to the Lead Underwriter, not less than two business days before filing with the Commission during the period referred to in paragraph (g) above, a copy of any document proposed to be filed with the Commission pursuant to Section 13, 14, or 15(d) of the Exchange Act and during the period of five years hereafter to file all such documents and reports in the manner and within the time periods required by the Exchange Act and the Exchange Act Regulations;\n(m) Not to, and to use its best efforts to cause its officers, directors and affiliates not to, (A) take, directly or indirectly prior to termination of the underwriting syndicate contemplated by this Agreement, any action designed to stabilize or manipulate the price of any security of the Company, or which may cause or result in, or which might in the future reasonably be expected to cause or result in, the stabilization or manipulation of the price of any security of the Company, to facilitate the sale or resale of any of the Underwritten Securities, (B) sell, bid for, purchase or pay anyone (other than the Underwriters as disclosed in the each of the Time of Sale Information and Prospectus) any compensation for soliciting purchases of the Underwritten Securities or (C) pay or agree to pay to any person any compensation for soliciting any order to purchase any other securities;\n(n) That the Company will comply with all of the provisions of any undertakings in the Registration Statement and apply the net proceeds from the sale of the Underwritten Securities in the manner set forth therein and in the Prospectus;\n(o) That the Company shall not invest or otherwise use the proceeds received by the Company from its sale of the Underwritten Securities in such a manner as would require the Company to register as an investment company under the Investment Company Act; and\n(p) To the extent, if any, that any rating provided with respect to the Underwritten Securities by the applicable rating agency is conditional upon the furnishing of documents or the taking of any actions by the Company or any of its affiliates, the Company, shall furnish, or cause to be furnished, such documents and take, or cause to be taken, any such other actions.", "samples": [{"hash": "9OppL5arCkC", "uri": "/contracts/9OppL5arCkC#certain-covenants", "label": "Underwriting Agreement (Luminent Mortgage Trust 2006-7)", "score": 16.0, "published": true}, {"hash": "445FqSNt0HG", "uri": "/contracts/445FqSNt0HG#certain-covenants", "label": "Underwriting Agreement (Luminent Mortgage Trust 2007-2)", "score": 16.0, "published": true}, {"hash": "2iJ24LNWFjs", "uri": "/contracts/2iJ24LNWFjs#certain-covenants", "label": "Underwriting Agreement (Luminent Mortgage Trust 2007-1)", "score": 16.0, "published": true}], "size": 181, "hash": "ee0b732309ce5cc3b712d4b92142bee4", "id": 2}, {"snippet_links": [{"key": "borrower-covenants", "type": "clause", "offset": [0, 18]}, {"key": "benefit-of-lender", "type": "clause", "offset": [50, 67]}, {"key": "title-to-all", "type": "clause", "offset": [129, 141]}, {"key": "each-case", "type": "definition", "offset": [186, 195]}, {"key": "from-time-to-time", "type": "clause", "offset": [199, 216]}, {"key": "collateral-free-and-clear", "type": "clause", "offset": [261, 286]}, {"key": "to-lender", "type": "clause", "offset": [326, 335]}, {"key": "borrower-will", "type": "clause", "offset": [337, 350]}, {"key": "claims-and-demands", "type": "clause", "offset": [381, 399]}, {"key": "liens-in-the-collateral", "type": "clause", "offset": [488, 511]}, {"key": "cost-and-expense", "type": "clause", "offset": [533, 549]}, {"key": "the-request", "type": "clause", "offset": [665, 676]}, {"key": "proper-filing", "type": "clause", "offset": [820, 833]}, {"key": "documents-and-notices", "type": "clause", "offset": [864, 885]}, {"key": "including-without-limitation", "type": "clause", "offset": [887, 915]}, {"key": "financing-statements", "type": "clause", "offset": [916, 936]}, {"key": "continuation-statements", "type": "clause", "offset": [941, 964]}, {"key": "lender-may", "type": "definition", "offset": [969, 979]}, {"key": "in-order-to", "type": "clause", "offset": [1026, 1037]}, {"key": "such-other-acts", "type": "clause", "offset": [1114, 1129]}, {"key": "other-instruments-and-documents", "type": "clause", "offset": [1193, 1224]}, {"key": "further-security-agreements", "type": "clause", "offset": [1255, 1282]}, {"key": "assignments-and-notices", "type": "clause", "offset": [1307, 1330]}, {"key": "security-interest-in-the-collateral", "type": "clause", "offset": [1484, 1519]}, {"key": "rights-of", "type": "clause", "offset": [1533, 1542]}, {"key": "other-persons", "type": "clause", "offset": [1547, 1560]}, {"key": "consent-of-lender", "type": "clause", "offset": [1632, 1649]}, {"key": "any-person", "type": "clause", "offset": [1672, 1682]}, {"key": "loan-to-borrower", "type": "clause", "offset": [1731, 1747]}, {"key": "pursuant-to-this-agreement", "type": "clause", "offset": [1760, 1786]}, {"key": "with-respect-to", "type": "clause", "offset": [1843, 1858]}, {"key": "levy-or-attachment", "type": "clause", "offset": [1899, 1917]}, {"key": "relating-to", "type": "definition", "offset": [1989, 2000]}, {"key": "on-file", "type": "definition", "offset": [2062, 2069]}, {"key": "in-favor-of", "type": "clause", "offset": [2137, 2148]}], "snippet": "Borrower covenants and agrees with Lender for the benefit of Lender that:\n3.4.1 Borrower has and will have good and merchantable title to all of its assets, including the Collateral, in each case as from time to time owned or acquired by it, and shall keep the Collateral free and clear of all Liens, other than those granted to Lender. Borrower will defend such title against the claims and demands of all Persons whomsoever.\n3.4.2 Borrower will faithfully preserve and protect Lender's Liens in the Collateral and will, at its own cost and expense, cause said Liens to be perfected and continued perfected, and for such purpose Borrower will from time to time at the request of Lender and at the expense of Borrower, make, execute, acknowledge and deliver, and file or record, or cause to be filed or recorded, in the proper filing places, all such instruments, documents and notices, including without limitation financing statements and continuation statements, as Lender may deem necessary or advisable from time to time in order to perfect and continue perfected said security interest. Borrower will do all such other acts and things and make, execute, acknowledge and deliver all such other instruments and documents, including without limitation further security agreements, pledges, endorsements, assignments and notices, as Lender may deem necessary or advisable from time to time in order to perfect and preserve the priority of said Liens as a first and only Lien on and security interest in the Collateral prior to the rights of all other Persons therein or thereto.\n3.4.3 Borrower will not, without the prior written consent of Lender, (i) borrow or permit any Person to borrow against the Collateral other than the Loan to Borrower from Lender pursuant to this Agreement; (ii) create, incur, assume or suffer to exist any Lien with respect to any of the Collateral; (iii) permit any levy or attachment to be made against any of the Collateral except any levy or attachment relating to this Agreement; or (iv) permit any financing statement to be on file with respect to any of the Collateral, except financing statements in favor of Lender.", "samples": [{"hash": "iSr1n9glG7y", "uri": "/contracts/iSr1n9glG7y#certain-covenants", "label": "Loan and Security Agreement (Bell Technology Group LTD)", "score": 18.0, "published": true}, {"hash": "hel8BSrp7y5", "uri": "/contracts/hel8BSrp7y5#certain-covenants", "label": "Loan and Security Agreement (Vista Gold Corp)", "score": 18.0, "published": true}], "size": 140, "hash": "d25ad6f7bcc8ba2855277ffb47cceec4", "id": 3}, {"snippet_links": [{"key": "transaction-party", "type": "definition", "offset": [32, 49]}, {"key": "with-respect-to", "type": "clause", "offset": [55, 70]}, {"key": "such-information", "type": "definition", "offset": [152, 168]}, {"key": "blue-sky-laws", "type": "definition", "offset": [286, 299]}, {"key": "the-representative", "type": "clause", "offset": [353, 371]}, {"key": "to-maintain", "type": "clause", "offset": [390, 401]}, {"key": "in-effect", "type": "definition", "offset": [422, 431]}, {"key": "requested-by", "type": "clause", "offset": [443, 455]}, {"key": "distribution-of-the-shares", "type": "clause", "offset": [483, 509]}, {"key": "provided-that", "type": "definition", "offset": [511, 524]}, {"key": "neither-the-company", "type": "definition", "offset": [525, 544]}, {"key": "other-transaction", "type": "definition", "offset": [553, 570]}, {"key": "foreign-corporation", "type": "definition", "offset": [611, 630]}, {"key": "service-of-process", "type": "definition", "offset": [652, 670]}, {"key": "the-laws", "type": "definition", "offset": [677, 685]}, {"key": "in-respect-of", "type": "clause", "offset": [713, 726]}, {"key": "company-only", "type": "clause", "offset": [731, 743]}, {"key": "offering-and-sale-of-the-shares", "type": "clause", "offset": [784, 815]}, {"key": "at-the-time", "type": "definition", "offset": [826, 837]}, {"key": "executed-and-delivered", "type": "clause", "offset": [856, 878]}, {"key": "necessary-for", "type": "definition", "offset": [886, 899]}, {"key": "amendment-to-the", "type": "clause", "offset": [917, 933]}, {"key": "offering-of-the-shares", "type": "clause", "offset": [1004, 1026]}, {"key": "the-second-merger", "type": "clause", "offset": [1043, 1060]}, {"key": "become-effective", "type": "clause", "offset": [1173, 1189]}, {"key": "as-soon-as-possible", "type": "definition", "offset": [1190, 1209]}, {"key": "in-writing", "type": "definition", "offset": [1320, 1330]}, {"key": "by-the-underwriters", "type": "clause", "offset": [1438, 1457]}, {"key": "term-sheet", "type": "definition", "offset": [1489, 1499]}, {"key": "rule-434", "type": "clause", "offset": [1516, 1524]}, {"key": "pursuant-to-rule", "type": "clause", "offset": [1546, 1562]}, {"key": "the-securities-act", "type": "clause", "offset": [1576, 1594]}, {"key": "new-york-city-time", "type": "clause", "offset": [1622, 1640]}, {"key": "the-day", "type": "definition", "offset": [1646, 1653]}, {"key": "agreement-or", "type": "definition", "offset": [1699, 1711]}, {"key": "the-parties", "type": "clause", "offset": [1733, 1744]}, {"key": "mutually-agree", "type": "definition", "offset": [1749, 1763]}, {"key": "initial-delivery", "type": "clause", "offset": [1813, 1829]}, {"key": "copies-of-the-prospectus", "type": "clause", "offset": [2039, 2063]}, {"key": "as-amended", "type": "definition", "offset": [2086, 2096]}, {"key": "the-company-shall", "type": "clause", "offset": [2116, 2133]}, {"key": "amendments-or-supplements", "type": "clause", "offset": [2148, 2173]}, {"key": "effective-date-of-the-registration-statement", "type": "definition", "offset": [2192, 2236]}, {"key": "for-the-purposes", "type": "clause", "offset": [2322, 2338]}, {"key": "securities-act-regulations", "type": "definition", "offset": [2359, 2385]}, {"key": "except-to-the-extent", "type": "clause", "offset": [2575, 2595]}, {"key": "regulation-s", "type": "clause", "offset": [2609, 2621]}, {"key": "required-by-law", "type": "definition", "offset": [2632, 2647]}, {"key": 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{"key": "similar-to", "type": "definition", "offset": [15011, 15021]}, {"key": "market-price-of-the-common-stock", "type": "definition", "offset": [15342, 15374]}, {"key": "is-likely", "type": "definition", "offset": [15387, 15396]}, {"key": "materially-affected", "type": "definition", "offset": [15403, 15422]}, {"key": "amendment-of-the", "type": "clause", "offset": [15511, 15527]}, {"key": "written-notice", "type": "definition", "offset": [15550, 15564]}, {"key": "concerning-the", "type": "clause", "offset": [15695, 15709]}, {"key": "substance-of", "type": "clause", "offset": [15710, 15722]}, {"key": "press-release", "type": "clause", "offset": [15742, 15755]}, {"key": "public-statement", "type": "definition", "offset": [15765, 15781]}, {"key": "responding-to", "type": "clause", "offset": [15830, 15843]}, {"key": "the-company-will", "type": "clause", "offset": [15904, 15920]}, {"key": "requirements-to-qualify", "type": "clause", "offset": [15966, 15989]}, {"key": "days-after", "type": "definition", "offset": [16162, 16172]}], "snippet": "Each of the Company, each Aames Transaction Party and, with respect to (a) and (x) below only, SFP, hereby agrees with each Underwriter:\n(a) to furnish such information as may be required and otherwise to cooperate in qualifying the Shares for offering and sale under the securities or blue sky laws of such jurisdictions (both domestic and foreign) as the Representative may designate and to maintain such qualifications in effect as long as requested by the Representative for the distribution of the Shares, provided that neither the Company nor any other Transaction Party shall be required to qualify as a foreign corporation or to consent to the service of process under the laws of any such state (except, in respect of the Company only, service of process with respect to the offering and sale of the Shares);\n(b) if, at the time this Agreement is executed and delivered, it is necessary for a post-effective amendment to the Registration Statement or the S-4 to be declared effective before the offering of the Shares may commence or the Second Merger may close, the Company and each Aames Transaction Party will endeavor to cause such post-effective amendment to become effective as soon as possible and will advise the Representative promptly and, if requested by the Representative, will confirm such advice in writing, when such post-effective amendment has become effective;\n(c) to prepare the Prospectus in a form approved by the Underwriters and file such Prospectus (or a term sheet as permitted by Rule 434) with the Commission pursuant to Rule 424(b) under the Securities Act not later than 10:00 a.m. (New York City time), on the day following the execution and delivery of this Agreement or on such other day as the parties may mutually agree and to furnish promptly (and with respect to the initial delivery of such Prospectus, not later than 10:00 a.m. (New York City time) on the day following the execution and delivery of this Agreement or on such other day as the parties may mutually agree) to the Underwriters copies of the Prospectus (or of the Prospectus as amended or supplemented if the Company shall have made any amendments or supplements thereto after the effective date of the Registration Statement) in such quantities and at such locations as the Underwriters may reasonably request for the purposes contemplated by the Securities Act Regulations, which Prospectus and any amendments or supplements thereto furnished to the Underwriters will be identical to the version created to be transmitted to the Commission for filing via \u2587\u2587\u2587\u2587\u2587, except to the extent permitted by Regulation S-T; unless required by law, prior to filing with the Commission any amendment or supplement to the Registration \u2587\u2587\u2587\u2587\u2587\u2587\u2587\u2587\u2587, \u2587-\u2587 or Prospectus, to furnish a copy thereof to the Representative and counsel for the Underwriters and make no such filing to which the Representative shall reasonably object;\n(d) to advise the Representative promptly and (if requested by the Representative) to confirm such advice in writing, when the Registration Statement has become effective and when any post-effective amendment thereto becomes effective under the Securities Act Regulations;\n(e) to advise the Representative immediately, confirming such advice in writing, of (i) the receipt of any comments from, or any request by, the Commission for amendments or supplements to the Registration \u2587\u2587\u2587\u2587\u2587\u2587\u2587\u2587\u2587, \u2587-\u2587 or Prospectus or for additional information with respect thereto, or (ii) the issuance by the Commission of any stop order suspending the effectiveness of the Registration \u2587\u2587\u2587\u2587\u2587\u2587\u2587\u2587\u2587, \u2587-\u2587 or of any order preventing or suspending the use of any Preliminary Prospectus or the Prospectus, or consummation of the Second Merger, or of the suspension of the qualification of the Shares for offering or sale in any jurisdiction, or of the initiation or threatening of any proceedings for any of such purposes and, if the Commission or any other government agency or authority should issue any such order, to make every reasonable effort to obtain the lifting or removal of such order as soon as possible;\n(f) to furnish to the Representative for a period of three years from the date of this Agreement (i) as soon as available, copies of all annual, quarterly and current reports or other communications supplied to holders of shares of Common Stock in the form so supplied, (ii) as soon as practicable after the filing thereof, copies of all reports filed by the Company with the Commission or the NASD and any material reports filed by the Company with any securities exchange, in each case, in the form so filed (it being understood that any report which upon filing shall be available through \u2587\u2587\u2587\u2587\u2587 shall be deemed furnished in accordance with this subclause (ii)) and (iii) such other information as the Representative may reasonably request regarding the Company and the Subsidiaries; provided, if applicable in the case of subclauses (ii) and (iii) above, that any information that is reasonably deemed by the Company to be confidential will be subject to the execution and delivery of customary non-disclosure agreements in favor of the Company that are reasonably satisfactory to the Representative;\n(g) to advise the Representative promptly of the happening of any event known to the Company within the time during which a Prospectus relating to the Shares is required to be delivered under the Securities Act Regulations which, in the judgment of the Company or in the reasonable opinion of the Representative or counsel for the Underwriters, would require the making of any change in the Prospectus then being used so that the Prospectus would not include an untrue statement of a material fact or omit to state a material fact required to be stated therein or necessary to make the statements therein, in the light of the circumstances under which they were made, not misleading, or if it is necessary at any time to amend or supplement the Prospectus to comply with the Securities Act and the Securities Act Regulations and, during such time, to promptly prepare and furnish to the Representative copies of the proposed amendment or supplement before filing any such amendment or supplement with the Commission and thereafter promptly furnish at the Company\u2019s own expense to the Underwriters and to dealers, copies in such quantities and at such locations as the Representative may from time to time reasonably request of an appropriate amendment to the Registration Statement or supplement to the Prospectus so that the Prospectus as so amended or supplemented will not, in the light of the circumstances when it is so delivered, be misleading, or so that the Prospectus will comply with the Securities Act and the Securities Act Regulations;\n(h) to file promptly with the Commission any amendment to the Registration Statement, S-4 or the Prospectus or any supplement to the Prospectus that may, in the judgment of the Company or the Representative, be required by the Securities Act or requested by the Commission;\n(i) to furnish promptly to the Representative a signed copy of the Registration Statement and S-4, as initially filed with the Commission, and of all amendments or supplements thereto (including all exhibits filed therewith or incorporated by reference therein) and such number of conformed copies of the foregoing as the Representative may reasonably request;\n(j) to furnish to the Representative, not less than two business days before filing with the Commission subsequent to the effective date of the Prospectus and during the period referred to in paragraph (f) above, a copy of any document proposed to be filed with the Commission pursuant to Section 13, 14 or 15(d) of the Exchange Act and during such period to file all such documents in the manner and within the time periods required by the Exchange Act and the Exchange Act Regulations;\n(k) to apply the net proceeds of the sale of the Shares in accordance with its statements under the caption \u201cUse of Proceeds\u201d in the Prospectus;\n(l) to make generally available to its security holders and to deliver to the Representative as soon as practicable, but in any event not later than the end of the fiscal quarter first occurring after the first anniversary of the effective date of the Registration Statement, an earnings statement complying with the provisions of Section 11(a) of the Securities Act (in form, at the option of the Company, complying with the provisions of Rule 158 of the Securities Act Regulations) covering a period of 12 months beginning after the effective date of the Registration Statement;\n(m) to furnish to the Representative as early as practicable prior to the Closing Time and any Date of Delivery, as the case may be, but not later than two business days prior thereto, a copy of the latest available unaudited interim consolidated financial statements, if any, of the Company and the Subsidiaries which have been read by the Company\u2019s independent certified public accountants, as stated in their letter to be furnished pursuant to Section 6(e) hereof;\n(n) to comply with all provisions of any undertakings contained in the Registration Statement;\n(o) to use its best efforts to list the Shares on the NYSE and to maintain the listing of the Shares on the NYSE, and to file with the NYSE all documents and notices required by the NYSE of companies that have securities that are traded;\n(p) to engage and maintain, at its expense, a registrar and transfer agent for the Shares;\n(q) to refrain during a period of 180 days from the date of the Prospectus, without the prior written consent of the Representative, from, directly or indirectly, (i) offering, pledging, selling, contracting to sell, selling any option or contract to purchase, purchasing any option or contract to sell, granting any option for the sale of, or otherwise disposing of or transferring, or entering into any transaction or device which is designed to, or could be expected to, result in the disposition by any person at any time in the future of, any share of Common Stock or any securities convertible into or exercisable or exchangeable for Common Stock, or filing any registration statement under the Securities Act with respect to any of the foregoing, or (ii) entering into any swap or any other agreement or any transaction that transfers, in whole or in part, directly or indirectly, the economic consequence of ownership of the Common Stock, whether any such swap or transaction described in clause (i) or (ii) above is to be settled by delivery of Common Stock or such other securities, in cash or otherwise (each such event and action set forth in (i) and (ii) above, a \u201cTransfer\u201d). In respect of the Company only, the foregoing sentence shall not apply to (A) the Shares to be sold hereunder, (B) any shares of Common Stock issued by the Company upon the exercise of an option outstanding on the date hereof and referred to in the Prospectus, (C) the redemption by Aames Financial of its 5.5% convertible subordinated debentures or the issuances of shares of Common Stock upon the conversion of such debentures, (D) options and other interests and rights granted under the Company\u2019s Equity Incentive Plan, provided that the holder of such option or other interest or right may not, directly or indirectly, Transfer such options, interests and/or rights within such 180-day period or (E) the filing by the Company of a registration statement under the Securities Act pursuant to a request by (1) SFP in accordance with the Registration Rights and Governance Agreement (as in effect on the date hereof) and/or (2) affiliates of the Representative in accordance with registration rights granted in connection with any concurrent private placement of shares of the Company\u2019s common stock, in each case, on or after the 120-day anniversary of the First Merger so long as such registration statement is not declared effective until the 181-day anniversary of the date of the Prospectus;\n(r) not to, and to use its best efforts to cause its officers, directors and affiliates not to, (i) take, directly or indirectly prior to termination of the underwriting syndicate contemplated by this Agreement, any action designed to stabilize or manipulate the price of any security of the Company, or which may cause or result in, or which might in the future reasonably be expected to cause or result in, the stabilization or manipulation of the price of any security of the Company, to facilitate the sale or resale of any of the Shares, (ii) sell, bid for, purchase or pay anyone any compensation for soliciting purchases of the Shares or (iii) pay or agree to pay to any person any compensation for soliciting any order to purchase any other securities of the Company, except for securitizations of mortgage loans or sales by the Company of mortgage-backed securities. The Company shall, and shall cause each of its Subsidiaries to, comply with all applicable provisions of Regulation M, and shall not take any action which will directly or indirectly violate Regulation M;\n(s) to cause each 1% or greater stockholder, officer and director of the Company and Aames Financial I to furnish to the Representative, prior to the first Date of Delivery, a letter or letters, substantially in the form of Exhibit A hereto, pursuant to which each such person shall agree not to, directly or indirectly, (i) offer for sale, sell, pledge or otherwise dispose of (or enter into any transaction or device which is designed to, or could be expected to, result in the disposition by any person at any time in the future of) any shares of Common Stock or securities convertible into or exchangeable for Common Stock or (ii) enter into any swap or other derivatives transaction that transfers to another, in whole or in part, any of the economic benefits or risks of ownership of such shares of Common Stock, whether any such transaction described in clause (i) or (ii) above is to be settled by delivery of Common Stock or other securities, in cash or otherwise, in each case for a period of 180 days from the date of the Prospectus, without the prior written consent of the Representative; provided, however, that the letter agreement with SFP may permit SFP to exercise its demand registration rights under the Registration Rights and Governance Agreement (as in effect on the date hereof) and include Shares owned by SFP in a registration statement filed by the Company under the Securities Act so long as such registration statement complies with the restrictions thereon set forth in Section 4(q)(E) of this Agreement;\n(t) that the provisions of the letter agreement dated January 9, 2004, between the Company and the Representative shall survive the execution and delivery of this Agreement and the consummation of the transactions contemplated herein;\n(u) that the Company shall obtain or maintain, as appropriate, Directors and Officers liability insurance in amounts that are reasonable and customary for companies similar to the Company, which shall apply to the offering contemplated herein;\n(v) if at any time during the 60-day period after the Registration Statement becomes effective, any rumor, publication or event relating to or affecting the Company shall occur as a result of which, in the reasonable opinion of the Representative, the market price of the Common Stock has been or is likely to be materially affected (regardless of whether such rumor, publication or event necessitates a supplement to or amendment of the Prospectus) and after written notice from the Representative advising the Company to the effect set forth above, to forthwith prepare, consult with the Representative concerning the substance of, and disseminate a press release or other public statement, reasonably satisfactory to the Representative, responding to or commenting on such rumor, publication or event;\n(w) that the Company will continue to use its best efforts to meet the requirements to qualify as a REIT;\n(x) that the Company and each Transaction Party will use its best efforts to cause the Second Merger to be effected and completed no later than two (2) business days after the date of this Agreement, and shall not take any action, or refrain from taking any action, that would delay or prevent closing of the Second Merger;\n(y) that the Company and each Aames Transaction Party will ", "samples": [{"hash": "f1IfOzBr1UX", "uri": "/contracts/f1IfOzBr1UX#certain-covenants", "label": "Underwriting Agreement (Aames Investment Corp)", "score": 19.0, "published": true}, {"hash": "d6Fl5yxOFn", "uri": "/contracts/d6Fl5yxOFn#certain-covenants", "label": "Underwriting Agreement (Aames Investment Corp)", "score": 19.0, "published": true}, {"hash": "6x58GqhEfke", "uri": "/contracts/6x58GqhEfke#certain-covenants", "label": "Underwriting Agreement (Aames Investment Corp)", "score": 19.0, "published": true}], "size": 105, "hash": "60981f43007600ebb4853563847fa71b", "id": 4}, {"snippet_links": [{"key": "to-the-company", "type": "definition", "offset": [44, 58]}, {"key": "the-notes-are", "type": "definition", "offset": [81, 94]}, {"key": "nothing-in-this-article", "type": "clause", "offset": [108, 131]}, {"key": "rights-or-obligations", "type": "clause", "offset": [168, 189]}, {"key": "the-base-indenture", "type": "clause", "offset": [219, 237]}, {"key": "this-first-supplemental-indenture", "type": "clause", "offset": [241, 274]}], "snippet": "The following covenants shall be applicable to the Company for so long as any of the Notes are Outstanding. 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The Company also undertakes to maintain, as long as any Notes are outstanding, the effectiveness of a registration statement on Form F-6 relating to the ADSs and an adequate number of ADSs available for issuance thereunder such that ADSs can be delivered in accordance with the terms of this Indenture, the Notes and the Deposit Agreement upon conversion of the Notes.", "samples": [{"hash": "5bS4zubx32w", "uri": "/contracts/5bS4zubx32w#certain-covenants", "label": "Indenture (iQIYI, Inc.)", "score": 34.2183418274, "published": true}, {"hash": "2LxUcSlz5Hi", "uri": "/contracts/2LxUcSlz5Hi#certain-covenants", "label": "Indenture (Baidu, Inc.)", "score": 34.2183418274, "published": true}, {"hash": "2yTkZF7SqBk", "uri": "/contracts/2yTkZF7SqBk#certain-covenants", "label": "Indenture (Sea LTD)", "score": 32.2881584167, "published": true}], "size": 70, "hash": "45b26d11e0c61d6517d63b977ffdee53", "id": 7}, {"snippet_links": [{"key": "the-borrower-shall", "type": "clause", "offset": [0, 18]}, 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"Certain Covenants", "children": [["further-assurances", "Further Assurances"], ["confidentiality", "Confidentiality"], ["no-solicitation", "No Solicitation"], ["confidential-information", "Confidential Information"], ["cooperation", "Cooperation"]], "size": 7641, "id": "certain-covenants", "related": [["certain-covenants-of-the-parties", "Certain Covenants of the Parties", "<strong>Certain Covenants</strong> of the Parties"], ["certain-covenants-and-agreements", "Certain Covenants and Agreements", "<strong>Certain Covenants</strong> and Agreements"], ["certain-covenants-of-the-company", "Certain Covenants of the Company", "<strong>Certain Covenants</strong> of the Company"], ["certain-covenant-defaults", "Certain Covenant Defaults", "Certain Covenant Defaults"], ["certain-covenants-and-agreements-of-the-company", "Certain Covenants and Agreements of the Company", "<strong>Certain Covenants</strong> and Agreements of the Company"]], "related_snippets": [], "updated": "2026-05-16T05:47:53+00:00", "also_ask": ["What are the essential elements that must be included in 'Certain Covenants' to ensure enforceability?", "How can 'Certain Covenants' be strategically tailored to protect client interests during negotiations?", "What are the most common risks or loopholes in 'Certain Covenants' that could undermine their effectiveness?", "How do 'Certain Covenants' compare to similar provisions in other jurisdictions or standard contracts?", "What are the main factors courts consider when determining the enforceability of 'Certain Covenants'?"], "drafting_tip": "Specify each covenant's obligations, clarify duration and scope, and identify parties bound, to prevent ambiguity and ensure enforceability.", "explanation": "The \"Certain Covenants\" clause sets out specific promises or obligations that one or both parties must adhere to during the term of an agreement. These covenants may include requirements such as maintaining insurance, complying with laws, or refraining from certain activities that could harm the other party's interests. By clearly outlining these ongoing duties, the clause helps ensure that both parties act in accordance with agreed standards, thereby reducing the risk of disputes and promoting smooth contract performance."}, "json": true, "cursor": ""}}