The Stock Investment Agreement serves as a crucial legal instrument in Indian corporate transactions, documenting the terms under which an investor acquires shares in a company. This agreement is essential when companies seek equity funding, whether from institutional investors, venture capital funds, or individual investors. It must comply with Indian regulatory requirements, including the Companies Act 2013, SEBI regulations, and where applicable, foreign investment rules. The document typically covers investment terms, shareholder rights, corporate governance provisions, exit mechanisms, and protective provisions. Used primarily in private equity transactions, venture capital investments, and strategic investments, the Stock Investment Agreement protects both investor interests and company objectives while ensuring regulatory compliance.
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1. Parties: Identification of the Company, Investor(s), and existing shareholders
2. Background: Context of the investment, company's business, and purpose of the agreement
3. Definitions: Definitions of key terms used throughout the agreement
4. Investment Terms: Details of investment amount, number of shares, price per share, and payment terms
5. Conditions Precedent: Conditions that must be satisfied before investment completion
6. Completion: Steps to be taken at closing of the investment
7. Representations and Warranties: Statements of fact and assurances by the company and existing shareholders
8. Investor Rights: Rights granted to the investor including board seat, veto rights, information rights
9. Transfer Restrictions: Limitations on transfer of shares including lock-in, right of first refusal
10. Exit Rights: Provisions for investor exit including put option, drag-along, tag-along rights
11. Covenants: Ongoing obligations of the company and existing shareholders
12. Confidentiality: Provisions regarding confidential information
13. Term and Termination: Duration of agreement and circumstances for termination
14. Governing Law and Dispute Resolution: Applicable law and method of resolving disputes
15. Miscellaneous: Standard boilerplate provisions including notices, amendments, severability
1. Anti-dilution Rights: Protection against dilution of investor's shareholding, used when investing in early-stage companies
2. Liquidation Preference: Priority rights in case of liquidation, typically included for significant investments
3. Founder Obligations: Specific commitments from founders including non-compete, used when founders are key to business
4. Corporate Governance: Detailed governance framework, important for larger investments or regulated sectors
5. Employee Stock Options: Provisions regarding ESOP pool and administration, relevant if company has/plans ESOP
6. Strategic Rights: Special rights for strategic investors, used for industry-specific investments
7. Foreign Investment Compliance: Special provisions for foreign investors, required when investor is non-Indian
1. Schedule 1 - Company Information: Details of company including capital structure, subsidiaries, material contracts
2. Schedule 2 - Shareholding Pattern: Pre and post-investment shareholding structure
3. Schedule 3 - Conditions Precedent: Detailed list of conditions to be satisfied before completion
4. Schedule 4 - Warranties: Detailed warranties given by company and existing shareholders
5. Schedule 5 - Reserved Matters: List of matters requiring investor consent
6. Schedule 6 - Completion Steps: Detailed steps to be taken at completion
7. Appendix A - Board Resolution: Format of board resolution approving investment
8. Appendix B - Shareholders' Resolution: Format of shareholders' resolution approving investment
9. Appendix C - Share Certificate: Format of share certificate to be issued
10. Appendix D - Disclosure Letter: Exceptions to warranties and representations
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