ContractPurchase Warrant Agreement • June 26th, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice • New York
THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY (180) DAYS FOLLOWING THE COMMENCEMENT OF SALES OF THE OFFERING TO ANYONE OTHER THAN (I) JOSEPH STONE CAPITAL, LLC, OR A REPRESENTATIVE OR A SELECTED DEALER IN CONNECTION WITH THE OFFERING, OR (II) A BONA FIDE OFFICER OR PARTNER OF JOSEPH STONE CAPITAL, LLC, OR OF ANY SUCH UNDERWRITERS OR SELECTED DEALER.
ESCROW AGREEMENT (PUBLIC OFFERING)Escrow Agreement • June 26th, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice • New York
THIS AGREEMENT (this “Agreement”) is made this _______________, 2018 by and among Puhui Wealth Investment Management Co., Ltd. (the “Issuer”) and the Underwriter whose name and address appears on the Information Sheet (as defined herein) attached to this Agreement and Continental Stock Transfer & Trust Company, 1 State Street, 30th Floor, New York, New York 10004 (the “Escrow Agent”).
Equity Option AgreementEquity Option Agreement • May 21st, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
This Equity Option Agreement (this “Agreement”) is executed by and among the following Parties as of January, 30th, 2018 in Beijing, the People’s Republic of China (“China” or the “PRC”):
Lock-Up Agreement for Officers, Directors and 10% or Greater ShareholdersLock-Up Agreement • June 26th, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice • New York
This Lock-Up Agreement (this “Agreement”) is being delivered to Joseph Stone Capital, LLC (the “Underwriter”) in connection with the proposed Underwriting Agreement (the “Underwriting Agreement”) between Puhui Wealth Investment Management Co., Ltd., a Cayman Islands company (the “Company”), and the Underwriter, relating to the proposed public offering (the “Offering”) of ordinary shares, par value $0.001 per share (the “Ordinary Shares”), of the Company.
September 20, 2017 Leasing Agreement Between Beijing Oriental Plaza Co., Ltd. And Qingdao Puhui Excellent Investment Co., Ltd. OnLeasing Agreement • May 21st, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
Some details are listed in this Attached List. Unless otherwise specified, the words and phrases specified in this Attached List shall have the meaning as follows.
EMPLOYMENT contractEmployment Contract • May 21st, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
This Contract is made and entered into by and between Long Yan (hereinafter the “Employee”) and Puhui Wealth Investment Management (Beijing) Co.,Ltd (hereinafter the “Company”) on Beijing.
SUBSCRIPTION AGREEMENT Ordinary Shares of Puhui Wealth Investment Management Co., Ltd.Subscription Agreement • June 26th, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
This subscription agreement (this “Subscription”) is dated ___________, 2018, by and between the investor identified on the signature page hereto (the “Investor”) and Puhui Wealth Investment Management Co., Ltd., a Cayman Islands company (the “Company”). The parties agree as follows:
Capital increase agreement of Puhui Wealth Investment Management (Beijing) Co., Ltd.Capital Increase Agreement • May 21st, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
Capital increase party (Party A): Beijing Xietong Shifu Asset Management Co., Ltd. (“Xietong Shifu”) (as the fund manager of Seven-month Fund “Hanmeng Shengshi Danyu Xietong Shifu private equity investment fund, makes investment on behalf of the fund. Registered address: Room 219, Building 12, No. 8, Xinjiekou Outer Street, Xicheng District, Beijing
Technical Consultation and Service AgreementTechnical Consultation and Service Agreement • May 21st, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
This Technical Consulting and Services Agreement (the “Agreement”) is entered into as of January 30th ,2018 in Beijing between the following two parties:
Equity Pledge AgreementEquity Pledge Agreement • May 21st, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
This Equity Pledge Agreement (this “Agreement”) has been executed by and among the following parties on January 30th ,2018 in Beijing, the People’s Republic of China (“China” or the “PRC”):
UNDERWRITING AGREEMENT between PUHUI WEALTH INVESTMENT MANAGEMENT CO., LTD. (the “Company”) and JOSEPH STONE CAPITAL, LLC (the “Underwriter”) PUHUI WEALTH INVESTMENT MANAGEMENT CO., LTD. UNDERWRITING AGREEMENTUnderwriting Agreement • June 26th, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice • New York
The undersigned, PUHUI WEALTH INVESTMENT MANAGEMENT CO., LTD., a Cayman Islands company (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement (as hereinafter defined) as being subsidiaries, affiliates or variable interest entities of the Company, the “Company”), hereby confirms its agreement with JOSEPH STONE CAPITAL, LLC (hereinafter referred to as “you” (including its correlatives) or the “Underwriter”) with respect to the sale by the Company, through the Underwriter, on a “best efforts” basis, of a minimum of [_______] ordinary shares of the Company and a maximum of [______] ordinary shares of the Company (the “Placement Shares”), par value US$0.001 per ordinary share (the “Shares”), at an anticipated offering price of US [$6.00] per ordinary share for gross offering proceeds of between US$8,000,000 (the “Minimum Offering”) and US$12,000,000 (the “Maximum Offering”) with an over-subscripti
Voting Rights Proxy and Financial Supporting AgreementVoting Rights Proxy and Financial Supporting Agreement • May 21st, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
This Voting Rights Proxy and Financial Supporting Agreement (the “Agreement”) is made in Beijing on January, 30th, 2018 among the following parties:
Business Cooperation AgreementBusiness Cooperation Agreement • May 21st, 2018 • Puhui Wealth Investment Management Co., Ltd. • Investment advice
This Business Cooperation Agreement (this “Agreement”) is made and entered into by and between the following parties on January 30th , 2018 in Beijing, the People’s Republic of China (“China” or the “PRC”).
Suite 610 Mineola, NewYork 11501 CONFIDENTIAL August 18, 2021Supplement Agreement • August 24th, 2021 • Puhui Wealth Investment Management Co., Ltd. • Investment advice • New York
This letter agreement (“Supplement Agreement”) supplements but does not amend the engagement agreement by and between Joseph Stone Capital, LLC (“JSC”) and Puhui Wealth Investment Management Co., Ltd. (the “Company”) dated June 2, 2021 (the “Agreement”) with respect to the purchase by [***] (the “Investor”) of the USD$2,750,000 face value (10% OID) 8% convertible subordinated debenture (the “Debenture”) subject to that Securities Purchase Agreement (“SPA”) by and between the Company and the Investor. Each of the Company and JSC is a “party” to this Supplement Agreement, and together, they are the “parties” hereto. Terms not defined herein shall have the meanings set forth in the SPA which is not a part of this Supplement Agreement but is used herein for reference purposes only.
FORM OF SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • August 24th, 2021 • Puhui Wealth Investment Management Co., Ltd. • Investment advice • New York
This Securities Purchase Agreement (as amended, supplemented, restated and/or modified from time to time, this “Agreement”) is entered into as of August 18, 2021, by and between Puhui Wealth Investment Management Co., Ltd., a Cayman Islands company (the “Company”), and [***] (the “Investor”).
