UP Fintech Holding LTD Sample Contracts

DEPOSIT AGREEMENT by and among UP FINTECH HOLDING LIMITED as Issuer, DEUTSCHE BANK TRUST COMPANY AMERICAS as Depositary, AND
Deposit Agreement • June 3rd, 2019 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies • New York

DEPOSIT AGREEMENT, dated as of March 19, 2019, by and among (i) UP Fintech Holding Limited, a company incorporated in the Cayman Islands, with its principal executive office at 18/F, Gandyvic Building, No. 1 Building, No. 16 Taiyanggong Middle Road, Chaoyang District, Beijing, 100020 PRC and its registered office at P.O. Box 2547, 23 Lime Tree Bay Avenue, Grand Cayman, KY1-1104, Cayman Islands (together with its successors, the “Company”), (ii) Deutsche Bank Trust Company Americas, an indirect wholly owned subsidiary of Deutsche Bank A.G., acting in its capacity as depositary, with its principal office at 60 Wall Street, New York, NY 10005, United States of America (the “Depositary”, which term shall include any successor depositary hereunder) and (iii) all Holders and Beneficial Owners of American Depositary Shares evidenced by American Depositary Receipts issued hereunder (all such capitalized terms as hereinafter defined).

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INDEMNIFICATION AGREEMENT
Indemnification Agreement • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies • New York

This Indemnification Agreement (the “Agreement”) is entered into as of _________________, 2018 by and between UP Fintech Holding Limited, a company incorporated and existing under the laws of the Cayman Islands (the “Company”), and the undersigned, a director and/or officer of the Company (“Indemnitee”).

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EMPLOYMENT AGREEMENT
Employment Agreement • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies • New York

This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of _______________ , 2018 by and between UP Fintech Holding Limited, an exempted company incorporated and existing under the laws of the Cayman Islands (the “Company”) and _____________________, an individual with ____________________ [passport/ID number]_________________________ (the “Executive”).

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SUBSCRIPTION AGREEMENT
Subscription Agreement • March 11th, 2019 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies • New York

WHEREAS, the Company plans to file a registration statement on Form F-1 on or around [·] (as may be amended from time to time, the “Registration Statement”) with the United States Securities and Exchange Commission (the “SEC”) in connection with the initial public offering (the “Offering”) by the Company of American depositary shares (“ADS”) representing Class A Ordinary Shares (“Ordinary Shares”) of the Company as specified in the Registration Statement; and

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13,000,000 American Depositary Shares UP FINTECH HOLDING LIMITED Representing 195,000,000 Class A Ordinary Shares, Par Value US$0.00001 Per Share UNDERWRITING AGREEMENT
Underwriting Agreement • March 11th, 2019 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies • New York

UP Fintech Holding Limited, an exempted company incorporated with limited liability under the laws of the Cayman Islands (the “Company”) proposes to sell to the several underwriters (the “Underwriters”) named on Schedule I hereto for whom you are acting as representatives (the “Representatives”) an aggregate of 195,000,000 Class A ordinary shares, par value US$0.00001 per share, of the Company (the “Firm Securities”) in the form of 13,000,000 American Depositary Shares (as defined below). The respective amounts of the Firm Securities to be so purchased by the several Underwriters are set forth opposite their names on Schedule I hereto. The Company also proposes to sell at the Underwriters’ option an aggregate of up to 29,250,000 Class A ordinary shares, par value US$0.00001 per share, of the Company (the “Option Securities”) in the form of 1,950,000 American Depositary Shares.

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Equity Pledge Contract
Equity Pledge Contract • March 11th, 2019 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Ningxia Xiangshang Yixin Technology Co., Ltd., having its registered address at Room 6-B11, Block B, Oriental International Apartment, Xingqing District, Yinchuan City, Ningxia (“Pledgee”);

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Exclusive Option Contract
Exclusive Option Contract • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Beijing Xiangshang Yixin Technology Co., Ltd., a limited liability company incorporated according to the laws of China, having its registered address at Room 1501, F/15, Building No. 1, No. 16 Sun Palace Middle Road, Chaoyang District, Beijing;

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Exclusive Business Cooperation Agreement
Exclusive Business Cooperation Agreement • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Ningxia Xiangshang Yixin Technology Co., Ltd., having its address at Room 6-B11, Tower B, Oriental International Apartment, Xingqing District, Yinchuan City, Ningxia; and

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Exclusive Option Contract
Exclusive Option Contract • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Ningxia Xiangshang Yixin Technology Co., Ltd., a limited liability company incorporated according to the laws of China, having its registered address at Room 6-B11, Block B, Oriental International Apartment, Xingqing District, Yinchuan City, Ningxia;

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Lease Contract of Grandyvic Building
Up Fintech Holding LTD • February 22nd, 2019 • Security brokers, dealers & flotation companies
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Power of Attorney
Power of Attorney • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Ningxia Xiangshang Yixin Technology Co., Ltd., having its registered address at Room 6-B11, Tower B, Oriental International Apartment, Xingqing District, Yinchuan City, Ningxia; and

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Power of Attorney
Power of Attorney • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Beijing Xiangshang Yixin Technology Co., Ltd., having its registered address at Room 1501, F/15, Building No. 1, No. 16 Sun Palace Middle Road, Chaoyang District, Beijing ; and

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Equity Pledge Contract
Equity Pledge Contract • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Beijing Xiangshang Yixin Technology Co., Ltd., having its registered address at Room 1501, F/15, Building No. 1, No. 16 Sun Palace Middle Road, Chaoyang District, Beijing (“Pledgee”);

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Exclusive Business Cooperation Agreement
Exclusive Business Cooperation Agreement • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Beijing Xiangshang Yixin Technology Co., Ltd., having its address at Room 1501, F/15, Building No. 1, No. 16 Sun Palace Middle Road, Chaoyang District, Beijing; and

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Equity Pledge Contract
Equity Pledge Contract • April 28th, 2021 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Party A: Beijing Bohu Xiangshang Technology Co.,LTD., having its registered address at Room 807, 8th floor, Gandyvic Building, NO.1 building, NO. 16 Tai Yang Gong Middle Road, Chaoyang District, Beijing, China (“Pledgee”);

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Exclusive Option Contract
Exclusive Option Contract • April 22nd, 2024 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Party B: the shareholders set forth in Exhibit 1 (List of Shareholders of Beijing Xiangshang Rongke Technology Development Co., Ltd.) attached hereto

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Exclusive Option Contract
Exclusive Option Contract • April 26th, 2023 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Party B: the shareholders set forth in Exhibit 1 (List of Shareholders of Beijing Xiangshang Rongke Technology Development Co., Ltd.) attached hereto

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IRREVOCABLE VOTING PROXY
Irrevocable Voting Proxy • April 29th, 2020 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Wu Tianhua (巫天华), of [Room 302, Gate 1, Building 26 Zhanchunyuan Community, Haidian District, Beijing, China], PRC Identity Card Number [342623198411250017]; and [ (Name)], of __________________________________________________________________________________________(Address)], PRC Identity Card Number [ ] (the “Entrusting Party”).

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Power of Attorney
Power of Attorney • April 26th, 2023 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Party B: the shareholders set forth in Exhibit 1 (List of Shareholders of Beijing Xiangshang Rongke Technology Development Co., Ltd.) attached hereto

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Equity Pledge Contract
Equity Pledge Contract • April 22nd, 2024 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Party B: the shareholders set forth in Exhibit 1 (List of Shareholders of Beijing Xiangshang Rongke Technology Development Co., Ltd.) attached hereto (collectively as “Pledgors”); and

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REGISTRATION RIGHTS AGREEMENT
Registration Rights Agreement • March 11th, 2019 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies • Hong Kong
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Equity Pledge Contract
Equity Pledge Contract • April 26th, 2023 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Party B: the shareholders set forth in Exhibit 1 (List of Shareholders of Beijing Xiangshang Rongke Technology Development Co., Ltd.) attached hereto (collectively as “Pledgors”); and

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Customer Agreement Form Interactive Brokers Fully Disclosed Gearing Agreement
Fully Disclosed Clearing Agreement • February 22nd, 2019 • Up Fintech Holding LTD • Security brokers, dealers & flotation companies

Pursuant to Financial Industry Regulatory Authority (“FINRA”) Rule 4311, this Fully Disclosed Clearing Agreement (“Agreement”) is entered into by and between Interactive Brokers LLC, a limited liability company that is duly organized and existing under the laws of the State of Connecticut, with a principal place of business located in Greenwich, Connecticut (“Interactive”) and Top Capital Partners (“Introducing Broker”) (collectively “the Parties”).

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11/10/2016 Customer Agreement Form
Up Fintech Holding LTD • February 22nd, 2019 • Security brokers, dealers & flotation companies

Pursuant to Financial Industry Regulatory Authority (“FINRA”) Rule 4311, this Consolidated Account Clearing Agreement (“Agreement”) is entered into by and between Interactive Brokers LLC, a limited liability company that is duly organized and existing under the laws of the State of Connecticut, with a principal place of business located in Greenwich, Connecticut (“Interactive”) and Top Capital Partners Limited(“Introducing Broker”).

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Power of Attorney
Power of Attorney • April 22nd, 2024 • UP Fintech Holding LTD • Security brokers, dealers & flotation companies

Party B: the shareholders set forth in Exhibit 1 (List of Shareholders of Beijing Xiangshang Rongke Technology Development Co., Ltd.) attached hereto

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