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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/30/21 Pintec Technology Holdings Ltd. 20-F 12/31/20 157:16M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 20-F Annual or Annual-Transition Report by a Foreign HTML 1.89M
Non-Canadian Issuer
2: EX-1.1 Underwriting Agreement or Conflict Minerals Report HTML 210K
5: EX-4.10 Instrument Defining the Rights of Security Holders HTML 88K
6: EX-4.11 Instrument Defining the Rights of Security Holders HTML 45K
7: EX-4.12 Instrument Defining the Rights of Security Holders HTML 45K
8: EX-4.13 Instrument Defining the Rights of Security Holders HTML 43K
9: EX-4.14 Instrument Defining the Rights of Security Holders HTML 43K
10: EX-4.24 Instrument Defining the Rights of Security Holders HTML 47K
11: EX-4.25 Instrument Defining the Rights of Security Holders HTML 67K
12: EX-4.26 Instrument Defining the Rights of Security Holders HTML 67K
13: EX-4.27 Instrument Defining the Rights of Security Holders HTML 67K
14: EX-4.28 Instrument Defining the Rights of Security Holders HTML 50K
15: EX-4.29 Instrument Defining the Rights of Security Holders HTML 66K
16: EX-4.30 Instrument Defining the Rights of Security Holders HTML 49K
17: EX-4.64 Instrument Defining the Rights of Security Holders HTML 143K
18: EX-4.65 Instrument Defining the Rights of Security Holders HTML 61K
19: EX-4.66 Instrument Defining the Rights of Security Holders HTML 56K
20: EX-4.67 Instrument Defining the Rights of Security Holders HTML 50K
21: EX-4.68 Instrument Defining the Rights of Security Holders HTML 45K
22: EX-4.70 Instrument Defining the Rights of Security Holders HTML 101K
23: EX-4.71 Instrument Defining the Rights of Security Holders HTML 190K
3: EX-4.8 Instrument Defining the Rights of Security Holders HTML 68K
4: EX-4.9 Instrument Defining the Rights of Security Holders HTML 87K
24: EX-8.1 Opinion of Counsel re: Tax Matters HTML 41K
27: EX-13.1 Annual or Quarterly Report to Security Holders HTML 41K
28: EX-13.2 Annual or Quarterly Report to Security Holders HTML 41K
25: EX-12.1 Statement re: the Computation of Ratios HTML 45K
26: EX-12.2 Statement re: the Computation of Ratios HTML 45K
29: EX-15.1 Letter re: Unaudited Interim Financial Info HTML 40K
30: EX-15.2 Letter re: Unaudited Interim Financial Info HTML 40K
31: EX-15.3 Letter re: Unaudited Interim Financial Info HTML 40K
38: R1 Cover Page HTML 110K
39: R2 Consolidated Balance Sheets HTML 190K
40: R3 Consolidated Balance Sheets (Parenthetical) HTML 79K
41: R4 Consolidated Statements of Operations and HTML 178K
Comprehensive Income/(Loss)
42: R5 Consolidated Statements of Operations and HTML 41K
Comprehensive Income/(Loss) (Parenthetical)
43: R6 Consolidated Statements of Changes in (Invested HTML 156K
Deficit)/Equity
44: R7 Consolidated Statements of Changes in (Invested HTML 43K
Deficit)/Equity (Parenthetical)
45: R8 Consolidated Statements of Cash Flows HTML 239K
46: R9 Organization and principal activities HTML 176K
47: R10 Summary of significant accounting policies HTML 185K
48: R11 Concentration and risks HTML 49K
49: R12 Acquisition HTML 63K
50: R13 Financing receivables, net HTML 88K
51: R14 Accounts receivable, net HTML 66K
52: R15 Prepayments and other current assets, net HTML 63K
53: R16 Property, equipment and software, net HTML 61K
54: R17 Prepayment for long-term investment HTML 44K
55: R18 Long-term investments HTML 84K
56: R19 Fair value measurement HTML 82K
57: R20 Intangible assets, net HTML 64K
58: R21 Goodwill HTML 43K
59: R22 Funding debts HTML 59K
60: R23 Borrowing HTML 72K
61: R24 Financial guarantee liabilities and financial HTML 81K
guarantee assets
62: R25 Debt instrument HTML 53K
63: R26 Convertible loan HTML 48K
64: R27 Accrued expenses and other liabilities HTML 60K
65: R28 Non-controlling interests HTML 45K
66: R29 Taxation HTML 157K
67: R30 Share based compensation expenses HTML 123K
68: R31 Related party transactions HTML 127K
69: R32 Defined contribution plan HTML 47K
70: R33 Loss per share HTML 66K
71: R34 Commitments and contingencies HTML 54K
72: R35 Subsequent events HTML 47K
73: R36 Parent company only condensed financial HTML 197K
information
74: R37 Summary of significant accounting policies HTML 263K
(Policies)
75: R38 Organization and principal activities (Tables) HTML 148K
76: R39 Summary of significant accounting policies HTML 56K
(Tables)
77: R40 Acquisition (Tables) HTML 58K
78: R41 Financing receivables, net (Tables) HTML 94K
79: R42 Accounts receivable, net (Tables) HTML 68K
80: R43 Prepayments and other current assets, net (Tables) HTML 63K
81: R44 Property, equipment and software, net (Tables) HTML 60K
82: R45 Long-term investments (Tables) HTML 73K
83: R46 Fair value measurement (Tables) HTML 78K
84: R47 Intangible assets, net (Tables) HTML 66K
85: R48 Funding debts (Tables) HTML 58K
86: R49 Borrowing (Table) HTML 71K
87: R50 Financial guarantee liabilities and financial HTML 84K
guarantee assets (Tables)
88: R51 Debt instrument (Tables) HTML 46K
89: R52 Accrued expenses and other liabilities (Tables) HTML 59K
90: R53 Taxation (Tables) HTML 147K
91: R54 Share based compensation expenses (Tables) HTML 114K
92: R55 Related party transactions (Tables) HTML 128K
93: R56 Loss per share (Tables) HTML 65K
94: R57 Commitments and contingencies (Tables) HTML 48K
95: R58 Parent company only condensed financial HTML 198K
information (Tables)
96: R59 Organization and principal activities (Details) HTML 47K
97: R60 Organization and principal activities - HTML 87K
Establishment of Pintec, its subsidiaries and VIEs
(Details)
98: R61 Organization and principal activities - Basis of HTML 54K
Presentation for the Reorganization (Details)
99: R62 Organization and principal activities - Risks in HTML 83K
relation to the VIE structure (Details)
100: R63 Summary of significant accounting policies - HTML 51K
Convenience translation, Cash and cash equivalents
and Financing receivables, net (Details)
101: R64 Summary of significant accounting policies - HTML 58K
Estimated useful lives of property, equipment and
software, net (Details)
102: R65 Summary of significant accounting policies - HTML 56K
Schedule Of Acquired Finite Lived Intangible
Assets By Major Class (Detail)
103: R66 Summary of significant accounting policies - HTML 88K
Others (Details)
104: R67 Concentration and risks (Details) HTML 55K
105: R68 Acquisition (Detail) HTML 62K
106: R69 Acquisition - Schedule of allocation of the HTML 78K
purchase price (Detail)
107: R70 Financing receivables, net (Details) HTML 58K
108: R71 Financing receivables, net - Balances of financing HTML 47K
receivables by due date (Details)
109: R72 Financing receivables, net - Movement of the HTML 51K
allowance for credit losses (Details)
110: R73 Financing receivables, net - Aging analysis of HTML 54K
past due (Details)
111: R74 Accounts receivable, net (Details) HTML 54K
112: R75 Accounts receivable, net - Allowance for doubtful HTML 47K
accounts (Details)
113: R76 Prepayments and other current assets, net HTML 57K
(Details)
114: R77 Property, equipment and software, net (Details) HTML 66K
115: R78 Property, equipment and software, net HTML 45K
(Parenthetical) (Details)
116: R79 Prepayment For Long Term Investment - (Detail) HTML 53K
117: R80 Long-term investments (Details) HTML 67K
118: R81 Long-term investments - Cost and Equity method HTML 96K
investment (Details)
119: R82 Fair value measurement - Assets and liabilities HTML 50K
(Details)
120: R83 Intangible assets, net (Details) HTML 84K
121: R84 Goodwill (Details) HTML 54K
122: R85 Funding debts - Outstanding funding debts HTML 53K
(Details)
123: R86 Funding debts - Terms of the funding debts HTML 42K
borrowed and asset-backed securities (Details)
124: R87 Borrowing - Summary of Borrowings (Detail) HTML 70K
125: R88 Borrowing - Summary of Borrowings (Parenthetical) HTML 52K
(Detail)
126: R89 Financial guarantee liabilities and financial HTML 48K
guarantee assets (Details)
127: R90 Financial guarantee liabilities and financial HTML 52K
guarantee assets - Schedule of guarantee assets
movement activities (Details)
128: R91 Financial guarantee liabilities and financial HTML 46K
guarantee assets - Schedule of guarantee assets
allowance for credit loss movement activities
(Detail)
129: R92 Debt instrument - Fair Value Measurement Inputs HTML 53K
and Valuation Techniques (Detail)
130: R93 Debt instrument (Details) HTML 76K
131: R94 Convertible loan (Details) HTML 85K
132: R95 Accrued expenses and other liabilities (Details) HTML 64K
133: R96 Accrued expenses and other liabilities HTML 43K
(Parenthetical) (Details)
134: R97 Non-controlling interests (Detail) HTML 56K
135: R98 Taxation (Details) HTML 85K
136: R99 Taxation - Current and deferred portion of income HTML 51K
tax expense (Details)
137: R100 Taxation - Reconciliation between the statutory HTML 71K
EIT rate and the effective tax rates (Details)
138: R101 Taxation - Deferred tax assets and deferred tax HTML 74K
liabilities (Details)
139: R102 Taxation - Changes in valuation allowance HTML 55K
(Details)
140: R103 Taxation - Summary of Net Operating Loss HTML 52K
Carryforwards (Detail)
141: R104 Share based compensation expenses - Share options HTML 129K
issued by Jimu Parent to employees of the Company
(Details)
142: R105 Share based compensation expenses - Restriction of HTML 88K
ordinary shares held by senior management
(Details)
143: R106 Share based compensation expenses - Share options HTML 106K
issued by Pintec (Details)
144: R107 Related party transactions (Details) HTML 180K
145: R108 Related party transactions - Balances with the HTML 66K
major related parties (Details)
146: R109 Related party transactions - Summary Of Movement HTML 48K
Of Allowance For Credit Losses On Amounts Due From
Related Parties (Details)
147: R110 Defined contribution plan (Details) HTML 42K
148: R111 Loss per share (Details) HTML 63K
149: R112 Loss per share (Parenthetical) (Details) HTML 42K
150: R113 Commitments and contingencies - Operating lease HTML 55K
commitment (Details)
151: R114 Subsequent events (Details) HTML 52K
152: R115 Parent company only condensed financial HTML 151K
information - Balance sheets (Details)
153: R116 Parent company only condensed financial HTML 99K
information - Condensed statements of operations
and comprehensive loss (Details)
154: R117 Parent company only condensed financial HTML 96K
information - Condensed statements of cash flows
(Details)
156: XML IDEA XML File -- Filing Summary XML 257K
155: EXCEL IDEA Workbook of Financial Reports XLSX 188K
32: EX-101.INS XBRL Instance -- pt-20201231 XML 4.14M
34: EX-101.CAL XBRL Calculations -- pt-20201231_cal XML 323K
35: EX-101.DEF XBRL Definitions -- pt-20201231_def XML 1.61M
36: EX-101.LAB XBRL Labels -- pt-20201231_lab XML 2.29M
37: EX-101.PRE XBRL Presentations -- pt-20201231_pre XML 1.90M
33: EX-101.SCH XBRL Schema -- pt-20201231 XSD 384K
157: ZIP XBRL Zipped Folder -- 0001193125-21-145037-xbrl Zip 363K
| EX-4.9 |
Exhibit 4.9
Exclusive Option Agreement
This Exclusive Option Agreement (hereinafter referred to as this “Agreement”) was entered into by and among the following parties on January 21, 2021 in Beijing, China:
| Party A: | Pintec (Beijing) Technology Co., Ltd. | |
| Party B: | Wei Wei, ID card No.: ***; | |
| Sun Xin, ID card No.: ***; | ||
| Party C: | Pintec Jinke (Beijing) Technology Information Co., Ltd. | |
In this Agreement, Party A, Party B, and Party C are individually referred to as a “Party”, and collectively referred to as the “Parties”.
Whereas: Party B collectively hold 100% equity interests in Party C;
Now therefore, the Parties hereby agree on the following terms and conditions:
| 1. | Purchase and Sale of Shares and Assets |
| 1.1 | Granting rights |
| 1.1.1 | Each of Party B hereby irrevocably grants Party A an irrevocable and exclusive right (“Share Purchase Option”) to purchase, or designate one or more persons (each, a “Designee of Equity”) to purchase, from any one of Party B all or a part of the equity interests held by Party B in Party C at one or multiple times at any time to the extent permitted by the laws of the People’s Republic of China (“China”) according to the exercise steps at the sole discretion of Party A and at the Share Purchase Price set forth in Article 1.3 hereof. Except for Party A and the Designee of Equity, no other person shall be entitled to the Share Purchase Option or other rights related to the equity interests of Party B. Party C hereby agrees to the grant by Party B of the Share Purchase Option to Party A. The term “person” as used herein shall refer to individuals, corporations, joint ventures, partnerships, enterprises, trusts, or non-corporate organizations. |
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| 1.1.2 | Party C hereby irrevocably grants Party A an irrevocable and exclusive right (“Assets Purchase Option”) to purchase, or designate one or more persons (each, an “Designee of Assets”, together with the Designee of Equity, “Designee”) to purchase, from Party C all or a part of Party C’s assets at one or multiple times at any time to the extent permitted by the laws of China according to the exercise steps at the sole discretion of Party A and at the Assets Purchase Price set forth in Article 1.3 hereof. Except for Party A and the Designee of Assets, no other person shall be entitled to the Assets Purchase Option or other rights related to the assets of Party C. Party B agree to the grant by Party C of the Assets Purchase Option to Party A in accordance with the provisions of this Agreement. |
| 1.2 | Steps for Exercise of Share Purchase Option |
Subject to the terms and conditions hereof and to the extent permitted by Chinese laws, Party A has the absolute discretion in deciding the specific schedule, method, and number of times for exercising its options.
Subject to the provisions of the laws and regulations of China, Party A may exercise its Share Purchase Option or Assets Purchase Option by giving a written notice to Party B (“Purchase Notice”), specifying: (a) Party A’s decision to exercise the Share Purchase Option or Assets Purchase Option; (b) the portion of shares (“Optioned Shares”) to be purchased by Party A from Party B, or the portion of assets (“Optioned Assets”) to be purchased by Party A from Party C; and (c) the date for purchasing the Optioned Shares or Optioned Assets and/or the date for transfer of the Optioned Shares or Optioned Assets.
Subject to the provisions of the laws and regulations of China, Party A may exercise its Assets Purchase Option by giving a written notice to Party C (“Assets Purchase Notice”), specifying: (a) Party A’s decision to exercise the Assets Purchase Option; (b) the specific assets (“Optioned Assets”) to be purchased by Party A from Party C; and (c) the date for delivery of the Optioned Assets and/or the date for transfer of the Optioned Assets.
When exercising its Share Purchase Option or Assets Purchase Option, Party A may accept by itself the Optioned Shares or Optioned Assets, or designate the Designee to receive the Optioned Shares or Optioned Assets in whole or in part.
| 1.3 | Share Purchase Price and Assets Purchase Price |
| 1.3.1 | With respect to the Optioned Shares, unless an appraisal is required by Chinese laws or regulations when Party A exercises the option, the purchase price of the Optioned Shares (“Share Purchase Price”) shall be RMB one Yuan (RMB 1.00); if the minimum price then permitted by Chinese laws is greater than the price above, the purchase price shall be the minimum price permitted by the laws. If Party B receive a transfer price exceeding RMB one Yuan (RMB 1.00) for the Optioned Shares held by Party B, or receive profit distribution, capital bonuses, dividends, or dividend distribution in any form made by Party C, Party B acknowledge that, subject to Chinese laws, Party A is entitled to the portion of interests exceeding RMB one Yuan (RMB 1.00). Party B shall instruct the relevant transferee or Party C to pay such portion of interests to the bank account then designated by Party A. |
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| 1.3.2 | With respect to the Assets Purchase Option, each time Party A exercises its option, the purchase price of the Optioned Assets (“Assets Purchase Price”) shall be the net book value of the Optioned Assets; provided, however, that if the minimum price then permitted by Chinese laws is greater than the net book value above, the transfer price shall be the minimum price permitted by Chinese laws. |
| 1.4 | Transfer of the Optioned Shares and Optioned Assets |
Each time Party A exercises the Share Purchase Option or Assets Purchase Option:
| 1.4.1 | Party B and Party C shall cause Party C to promptly convene a shareholders’ meeting and/or board meeting (as applicable), at which a resolution shall be adopted approving Party B to transfer the equity interests to Party A and/or the Designee of Equity or approving Party C to transfer the assets to Party A and/or the Designee of Assets; |
| 1.4.2 | Party B or Party C (as applicable) shall execute a Share Transfer Agreement or Assets Transfer Agreement (collectively, “Transfer Agreement”) with respect to each transfer with Party A and/or the Designee (as applicable) in accordance with the provisions of this Agreement and the corresponding Purchase Notice; |
| 1.4.3 | The relevant parties shall execute all other necessary contracts, agreements, or documents, obtain all necessary government licenses and permits, and take all necessary actions to transfer the valid ownership of the Optioned Shares or Optioned Assets to Party A and/or the Designee (as applicable) free from any security interests, and cause Party A and/or the Designee to become the registered owner of the Optioned Shares or Optioned Assets (if necessary). For the purpose of this article and this Agreement, “Security Interests” include guarantee, mortgage, pledge, lien, claim, third-party rights or interests, as well as any share option, acquisition right, right of first refusal, set-off right, ownership retention, or other security arrangement, but for clarity, do not include any security interests creating under this Agreement or Party B’ Share Pledge Agreement. The “Party B’ Share Pledge Agreement” as used in this article and this Agreement refers to the Share Pledge Agreement executed among Party A, Party B, and Party C as of the date of this Agreement; under Party B’ Share Pledge Agreement, Party B pledge all the equity interests they held in Party C to Party A, so as to guarantee the obligations of Party B hereunder and guarantee Party C’ performance of its obligations under the Exclusive Business Cooperation Agreement executed by and between Party C and Party A and the obligations under other related agreements. |
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| 2. | Undertakings |
| 2.1 | Undertakings related to Party C |
Party B (as the shareholders of Party C) and Party C hereby undertake that:
| 2.1.1 | Without the prior written consent of Party A, they shall not in any manner supplement, change, or amend the articles of association and bylaws of Party C, increase or decrease its registered capital, or otherwise change its structure of registered capital; |
| 2.1.2 | They shall maintain Party C’s corporate existence in accordance with good financial and business standards and practices by prudently and effectively operating its business and handling its affairs; |
| 2.1.3 | Without the prior written consent of Party A, they shall not at any time following the date hereof, sell, transfer, mortgage, pledge, or otherwise dispose of any shares, assets, or the legal or beneficial interests in the business or revenues of Party C, or allow the imposition of any security interests thereon; |
| 2.1.4 | Without the prior written consent of Party A, they shall not incur, inherit, guarantee, or allow the existence of any debts except for (i) debts incurred during the normal business operation instead of borrowing, and (ii) debts that have been disclosed to Party A and agreed by Party A in writing; |
| 2.1.5 | They shall ensure to operate all the businesses of Party C as in normal business operation to maintain the assets values of Party C, and refrain from any act/omission that may affect Party C’s operating conditions and assets values; |
| 2.1.6 | Without the prior written consent of Party A, they shall not cause Party C to execute any material agreement except for agreements executed in the normal business operation (for the purpose of this paragraph, an agreement with a value exceeding RMB 100,000 shall be deemed as a material agreement); |
| 2.1.7 | Without the prior written consent of Party A, they shall not cause Party C to provide loans, credits, guarantee, or assurance to any person; |
| 2.1.8 | At the request of Party A, they shall provide Party A with all the materials with respect to the operating and financial conditions of Party C; |
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| 2.1.9 | If requested by Party A, they shall purchase and maintain insurance covering Party C’s assets and business from an insurer consented by Party A with the amount and type of coverage matching with the insurance purchased by companies operating similar businesses; |
| 2.1.10 | Without the prior written consent of Party A, they shall not cause or allow Party C to combine or merge with any person, to acquire or invest in any person, or to be acquired by or receive investments from any person; |
| 2.1.11 | Without the prior written consent of Party A, they shall not liquidate, dissolve, or deregister Party C; |
| 2.1.12 | They shall immediately notify Party A of any actual or possible litigation, arbitration, or administrative proceedings related to Party C’s assets, business, or revenues; |
| 2.1.13 | They shall execute all necessary or appropriate documents, take all necessary or appropriate actions, and file all necessary or appropriate claims or raise necessary or appropriate defenses against all claims to maintain Party C’s ownership in all the assets of Party C; |
| 2.1.14 | Without the prior written consent of Party A, they shall ensure that Party C shall not distribute distributable profits, capital bonuses, or dividends to its shareholders in any manner; provided, however, that once requested by Party A in writing, Party C shall immediately distribute all distributable profits, capital bonuses, or dividends to its shareholders; |
| 2.1.15 | At the request of Party A, they shall appoint any person designated by Party A as the director or supervisor of Party C, or other officer appointed and dismissed by Party B; |
| 2.1.16 | They shall promptly inform Party A of any conditions that may cause material adverse effects on the existence, business operation, financial conditions, assets, or goodwill of Party C, and shall promptly take all measures acceptable to Party A to eliminate such adverse conditions or to take effective remedy measures with respect thereto; and |
| 2.1.17 | At the request of Party A at any time, Party C shall immediately and unconditionally transfer the Optioned Assets to Party A and/or the Designee according to the Assets Purchase Option hereunder. |
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| 2.2 | Undertakings of Party B |
Party B hereby undertake that:
| 2.2.1 | Without the prior written consent of Party A, Party B shall not sell, transfer, mortgage, pledge, or otherwise dispose of any legal or beneficial interests they held in the equity interests in Party C, or allow the encumbrance thereon of any security interest, except for the pledge imposed on the equity interests in accordance with Party B’ Share Pledge Agreement; |
| 2.2.2 | Party B shall cause the shareholders’ meeting and/or board of directors of Party C not to, without the prior written consent of Party A, grant its approval for selling, transferring, mortgaging, pledging, or otherwise disposing of any legal or beneficial interests held by Party B in the equity interests in Party C, or allowing the encumbrance thereon of any security interest, except for the pledge imposed on the equity interests in accordance with Party B’ Share Pledge Agreement; |
| 2.2.3 | Party B shall cause the shareholders’ meeting or board of directors of Party C not to, without the prior written consent of Party A, grant its approval for combining or merging with any person, for acquiring or investing in any person, or for being acquired by or receiving investments from any person; |
| 2.2.4 | Party B shall immediately notify Party A of any actual or possible litigation, arbitration, or administrative proceedings with respect to Party C’s equity interests or assets owned by Party B; |
| 2.2.5 | Party B shall cause the shareholders’ meeting or board of directors of Party C to vote for their approval with respect to the transfer of the Optioned Shares or Optioned Assets set forth in this Agreement, and take any and all other acts that may be requested by Party A; |
| 2.2.6 | Party B shall execute all necessary or appropriate documents, take all necessary or appropriate actions, and file all necessary or appropriate claims or raise necessary or appropriate defenses against all claims to maintain their ownership in the equity interests of Party C; |
| 2.2.7 | At the request of Party A, Party B shall appoint any person designated by Party A as the director of Party C; |
| 2.2.8 | At the request of Party A at any time, Party B shall immediately and unconditionally transfer all the equity interests they held in Party C to Party A and/or the Designee of Equity according to the Share Purchase Option hereunder, and Party B hereby waive their right of first refusal (if any) over the transfer of shares made by other shareholders of Party C; and |
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| 2.2.9 | Party B shall strictly abide by the provisions of this Agreement and other agreements executed by Party B and Party C jointly or severally with Party A, perform the obligations under this Agreement and other agreements, and refrain from any act/omission that may affect the validity and enforceability thereof. If Party B have any residual right over the equity interest under this Agreement, under Party B’ Share Pledge Agreement executed by the Parties hereto, or under the Power of Attorney granted with Party A as the beneficiary, Party B shall not exercise such right unless instructed by Party A in writing. |
| 3. | Representations and Warranties |
Party B and Party C hereby jointly and severally represent and warrant to Party A as of the execution date hereof and each date of transfer of the Optioned Shares or Optioned Assets:
| 3.1 | They have the full and independent legal status and legal capacity to execute, deliver, and perform this Agreement, and may sue or be sued as an independent party. Moreover, they have the authority to execute and deliver this Agreement and any Transfer Agreement, and perform their obligations under this Agreement and any Transfer Agreement. Party B and Party C agree to execute the Transfer Agreement consistent with the terms hereof when Party A or the Designee exercises the Share Purchase Option or Assets Purchase Option. This Agreement and the Transfer Agreement to which they are a party constitute or will constitute their lawful, valid, and binding obligations, and shall be enforceable against them in accordance with the provisions thereof; |
| 3.2 | The execution and delivery of and the obligations under this Agreement or any Transfer Agreement will not: (i) result in any violation of any applicable laws of China; (ii) conflict with the articles of association, bylaws, or other organizational documents of Party C; (iii) result in violation of any agreement or document to which they are parties or which are binding upon them, or constitute any breach under any agreement or document to which they are parties or which are binding upon them; (iv) result in any violation of any conditions for the granting and/or continuous validity of any license or permit granted to any of them; or (v) result in suspension or revocation of or imposition of additional conditions on any license or permit granted to any of them; |
| 3.3 | Party B have good and marketable title to the shares they held in Party C. Party B have not placed any security interests on such shares except for those specified in Party B’ Share Pledge Agreement; |
| 3.4 | Party C has good and marketable title to all its assets, and has not placed any security interest on such assets; |
| 3.5 | Party C has no outstanding debts except for (i) debts incurred during its normal business operation, and (ii) debts that have been disclosed to Party A and agreed by Party A in writing; |
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| 3.6 | There are no pending or threatened litigation, arbitration, or administrative proceedings related to the equity interests held in Party C, to Party C’s assets, or to Party C; |
| 3.7 | Except for the share pledge registration with the administration for industry and commerce in accordance with the provisions of Party B’ Share Pledge Agreement, the execution and performance of this Agreement and the granting or exercise of the Share Purchase Option or Assets Purchase Option under this Agreement are not subject to the consent, approval, waiver, or authorization of any third party, or the approval, permit, or exempt of any government authority, or the registration or filing formalities with any government authority. |
| 4. | Effective Date |
This Agreement shall become effective on the date hereof, and remain effective for a term of 10 years, and may be renewed at Party A’s election. If Party A elects to renew this Agreement, the renewed validity period shall be decided by Party A, and Party B and Party C shall unconditionally accept such renewal and renewed validity period.
| 5. | Applicable Laws and Dispute Resolution |
| 5.1 | Applicable Laws |
The execution, effectiveness, construction, performance, modification, and termination of this Agreement, and the resolution of disputes hereunder shall be governed by the laws of China.
| 5.2 | Method of Dispute Resolution |
In the event of any dispute arising from the construction and performance of this Agreement, the Parties shall first resolve such dispute through friendly negotiation. If the Parties fail to reach an agreement in resolving such dispute within 30 days after any Party’s request to the other Parties for resolution of the dispute through negotiation, any Party may submit the relevant dispute to China International Economic and Trade Arbitration Commission for arbitration in accordance with its arbitration rules then in effect. The arbitration shall be conducted in Beijing, and the language to be used in the arbitration shall be Chinese. The arbitration award shall be final and be binding on all Parties.
| 6. | Taxes and Expenses |
Each Party shall, in accordance with the laws of China, pay any and all transfer and registration taxes, expenditures, and expenses incurred by or imposed on such Party with respect to the preparation and execution of this Agreement and the Transfer Agreement and the consummation of the transaction contemplated under this Agreement and the Transfer Agreement.
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Notwithstanding any provisions to the contrary, if a tax authority adjusts the tax base on the ground that the Share Purchase Price or Assets Purchase Price is not a reasonable transfer price, the additional taxes shall be borne by Party B (applicable when Party A exercises the Share Purchase Option) or Party C (applicable when Party A exercises the Assets Purchase Option).
| 7. | Notice |
| 7.1 | All notices and other communications required or permitted to be given in accordance with this Agreement shall be delivered personally or sent by registered mail, postage prepaid, by commercial courier service, or by facsimile transmission, to the contact address of a Party. With respect to each notice, one confirmation copy shall be sent via email. The date on which such notice is deemed as being effectively delivered shall be determined as follows: |
| 7.1.1 | Notices given by personal delivery, by courier service or by registered mail, postage prepaid, shall be deemed effectively delivered on the date of receipt or refusal at the designated receiving address. |
| 7.1.2 | Notices given by facsimile transmission shall be deemed effectively delivered on the date of successful transmission (as evidenced by an automatically generated confirmation of transmission). |
| 7.2 | Any Party may change its notice receiving address at any time by sending a notice to other Parties as provided in this article. |
| 8. | Confidentiality Obligations |
Each Party acknowledges that, any oral or written information exchanged among them with respect to this Agreement shall be confidential information. Each Party shall keep the confidentiality of all such information, and shall not disclose any of the relevant information to any third party prior to the written consent of other Parties, except for the following cases: (a) the public is or will be aware of such information (other than being disclosed to the public by the Party receiving such information); (b) the information is required to be disclosed under applicable laws or the rules or regulations of any securities exchange; or (c) any Party needs to disclose the information to its legal or financial advisors with respect to the transaction contemplated under this Agreement; provided, however, that such legal or financial advisors shall also comply with the confidentiality obligations similar to this Article. The disclosure of any confidential information made by the staff or institution engaged by any Party shall be deemed as the disclosure of such confidential information made by such Party, and such Party shall be held liable for violation of this Agreement. This article shall survive the termination of this Agreement for any reason.
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| 9. | Further Warranties |
The Parties agree to: promptly enter into the documents that are reasonably necessary for or favorable to the performance of the provisions and the objective of this Agreement, and take further measures that are reasonably necessary for or favorable to the performance of the provisions and the objective of this Agreement.
| 10. | Miscellaneous |
| 10.1 | Amendment, Modification, and Supplement |
Any amendment, modification, and supplement made to this Agreement shall be subject to a written agreement executed by the Parties.
| 10.2 | Entire Agreement |
Except for the amendment, supplement, or modification made in writing after the execution of this Agreement, this Agreement shall constitute an entire agreement reached by the Parties hereto with respect to the subject matter hereof, and supersede all prior oral and written negotiation, statement, and agreement reached with respect to the subject matter hereof.
| 10.3 | Headings |
The headings in this Agreement are provided for the ease of reference only, and shall not be used to interpret, clarify, or otherwise affect the meanings provided in the provisions hereof.
| 10.4 | Language |
This Agreement is made in Chinese in four (4) originals, each original shall have the same legal force.
| 10.5 | Severability |
If one or more provisions hereof are held to be invalid, illegal, or unenforceable in any aspect under any laws or regulations, the validity, legality, or enforceability of the remaining provisions hereof shall not be affected or compromised in any aspect. The Parties shall strive in good faith to replace such invalid, illegal, or unenforceable provisions with valid provisions that accomplish to the greatest extent permitted by law and the intentions of the Parties, and the economic effect of such effective provisions shall be as close as possible to the economic effect of those invalid, illegal, or unenforceable provisions.
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| 10.6 | Assignment |
Without the prior written consent of Party A, other Parties shall not assign any rights and/or obligations hereunder to any third party. Party B and Party C agree that, without their consent, Party A has the right to unilaterally assign any of its rights/obligations hereunder to any third party; provided, however, that other Parties shall be notified in writing.
| 10.7 | Successor |
This Agreement shall be binding on and inure to the interest of the respective successors of the Parties and the permitted assignees of such Parties.
| 10.8 | Survival |
| 10.8.1 | Any obligations that occur or that are due as a result of this Agreement prior to the expiration or early termination of this Agreement shall survive the expiration or early termination of this Agreement. |
| 10.8.2 | The provisions of Article 5, Article 7, Article 8, and this Article 10 shall survive the termination of this Agreement. |
| 10.9 | Waiver |
Any Party may waive the terms and conditions hereof; provided, however, that such waiver shall be made in writing and be signed by the Parties. No waiver made under certain circumstances by any Party with respect to the breach of other Parties shall be deemed as a waiver of such Party with respect to similar breaches under other circumstances.
- Signature pages below -
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This page is the signature page to the Exclusive Option Agreement.
Party A:
| Pintec (Beijing) Technology Co., Ltd. (Stamp) | ||
| /s/ Pintec (Beijing) Technology Co., Ltd. | ||
| Legal representative: |
/s/ Xin Sun | |
This page is the signature page to the Exclusive Option Agreement.
Party C:
| Pintec Jinke (Beijing) Technology Information Co., Ltd. (Stamp) | ||||
| /s/ Pintec Jinke (Beijing) Technology Information Co., Ltd. | ||||
| Legal representative: | /s/ Shixin Wei | |||
| This ‘20-F’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 4/30/21 | None on these Dates | ||
| 1/21/21 | ||||
| For Period end: | 12/31/20 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/30/24 Pintec Technology Holdings Ltd. 20-F 12/31/23 147:18M Toppan Merrill/FA 5/15/23 Pintec Technology Holdings Ltd. 20-F 12/31/22 119:17M Toppan Merrill/FA 4/28/22 Pintec Technology Holdings Ltd. 20-F 12/31/21 135:19M Donnelley … Solutions/FA |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/07/21 Otov Alfa Holdings Ltd. SC 13D 3:123K Pintec Technology Holdings Ltd. Donnelley … Solutions/FA 6/29/20 Pintec Technology Holdings Ltd. 20-F 12/31/19 157:22M Donnelley … Solutions/FA 7/30/19 Pintec Technology Holdings Ltd. 20-F 12/31/18 149:19M Toppan Merrill/FA 10/19/18 Pintec Technology Holdings Ltd. F-1/A 4:7M Toppan Merrill-FA 10/10/18 Pintec Technology Holdings Ltd. F-1/A 14:7.6M Toppan Merrill-FA 7/16/18 Pintec Technology Holdings Ltd. F-1 39:10M Toppan Merrill-FA |