EX1A-6 MAT CTRCT 4 tm2533753d1_ex6-10.htm EXHIBIT 6.10

Exhibit 6.10

 

1/57 Orde r Form Re g A Prepare d for : Cytonic s Corporation Quot e Date: Jan 13 , 2026 Contact : Joey Bose Vali d Until : Fe b 12 , 2026 Email : joey.bose@cytonics.com Propose d By: Jonatha n Self Billin g Information Effectiv e Date: Ja n 13 , 202 6 12:02:3 7 P M UTC - 0500 Paymen t Terms: 100% Due on Signing Billin g Contact: Joey Bose Billin g Phone: 4438278135 Billin g Email: joey.bose@cytonics.com Billin g Address : 658 W . Indiantow n Road , Suit e 214, Jupite r Florid a Unite d State s 33458 Se t U p Fees Se t U p Fees Ne t Price DealMake r Marketin g Service s - Ful l Packag e Setup 0 DealMake r Shareholde r Service s - Setup 0 DealMake r Securitie s – Re g A Onboardin g Setup 0 DealMaker.tec h Plu s Setup 0 Tota l Ne t Setup $0 Monthl y Fees Monthl y Fees Ne t Price DealMake r Marketin g Service s - Marketin g Consultin g Monthl y Fee $2,000 DealMake r Marketin g Service s - Marketin g Advisor y Monthl y Fee $8,000 DealMaker.tec h - Plu s Platfor m Monthl y Fee $2,000 Discount 20% Tota l Ne t Monthly $12,000

 

 

2/57 Thi s Orde r Form set s fort h th e terms of service by which a number o f separat e DealMake r affiliate s are engage d t o provide services t o Custome r (collectively , th e “ Service s ”). B y it s signatur e below in each applicabl e section , Custome r hereby agrees t o th e terms of service of each company reference d in such section. Unless otherwis e specifie d above , th e Service s shall commence on th e dat e hereof. B y proceedin g wit h it s order , Custome r agrees t o be bound contractuall y wit h each respectiv e company . Th e Applicabl e Terms o f Servic e include and contain , among othe r things , warrant y disclaimers , liabilit y limitation s and use limitations. I n particular , Custome r understand s and agrees tha t it is carrying ou t a self - hoste d capita l raise and bears primary responsibilit y for th e success of its own raise. No DealMake r entit y is ever responsibl e fo r th e success o f Customer’ s campaign and no guarantee s or representation s are ever in place wit h respec t t o (i) capita l raised (ii) investo r solicitatio n or (iii) completio n of investo r transaction s wit h Customers. Custome r agrees and acknowledge s tha t online capita l formatio n is uncertain , and tha t nothin g in thi s agreemen t prevent s Custome r fro m pursuing concurren t or sequentia l alternativ e forms o f capita l formation. Custome r should use it s discretio n in choosing t o engage th e vendors described in thi s Agreemen t and agrees tha t such entitie s bear no responsibilit y to Custome r wit h respec t t o raising capital. Ther e shall be no forc e or effec t to any differen t terms othe r tha n as described or reference d herein (includin g all term s include d or incorporate d by reference ) excep t as entere d int o by one o f th e companies reference d herein and Custome r in writing. A summary of Service s purchased is described in th e Schedul e "Summar y o f Compensation " attached. Th e applicabl e Terms o f Servic e are described on th e Schedule s thereafter , and are incorporate d herein. Service s NEVE R include providin g any investmen t advice nor any investmen t recommendation s t o any investor.

 

 

3/57 Cytonic s Corporation Name Joey Bose Title Presiden t & CEO Signature %BSIG1% Date Jan 13, 2026 12:02:3 7 PM UTC - 0500

 

 

4/57 Schedul e "Summar y o f Compensation " A . Regulatio n A Offerin g Advance  $0 Advanc e (an advance agains t accountabl e expenses anticipate d t o be incurred , and refunde d t o exten t no t actuall y incurred) Thi s advance includes: i. $0 prepaid t o DealMake r Securitie s LLC fo r Pre - Offerin g Analysis ii . $0 prepaid t o Novatio n Solution s Inc . O/ A DealMaker fo r infrastructure for self - directe d electroni c roadshow iii . $0 prepaid to DealMake r Marketin g Service s LLC (O/ A "DealMake r Reach") for consultin g and developin g material s fo r self - directe d electroni c roadshow  $10,00 0 monthl y accoun t managemen t compensation. o Monthl y accoun t managemen t and softwar e access fee s commence in th e mont h o f th e Commencemen t date . I f no Commencemen t dat e is state d on th e Orde r Form , monthly fee s commence in th e firs t mont h followin g th e Effectiv e Date. o T o th e exten t services are commenced in advance of a FINR A no objectio n lette r being received , such amount s shall be considere d an advance agains t accountabl e expenses anticipate d to be incurred , and full y refunde d to exten t no t actuall y incurred). A maximum o f $30,00 0 or thre e month s o f accoun t managemen t fee s are payable prior t o a no objectio n lette r being received. o Monthl y compensatio n includes:  $2,00 0 accoun t maintenanc e fee s payable t o DealMake r (up t o a maximum o f $24,00 0 during th e Offering)  $8,00 0 marketin g advisory fee s payable to Marketin g Service s (up t o a maximum o f $96,00 0 during th e Offering)  4. 5 % Cas h Compensatio n Fro m Al l Proceeds: o Cash compensatio n does no t include processing investo r refund s fo r Customers , which are chargeabl e a t $50.0 0 per refund. o Custome r shall be responsibl e for third - part y fee s wit h respec t t o paymen t processing.* o Custome r may elec t t o offse t all or a portio n of thes e fee s by levying an administrativ e fe e t o investors.  Medi a Fee s to b e determine d o n a case - by - cas e basis , as may b e authorize d b y th e Customer , u p to a maximu m of a n additiona l $741,00 0 of compensatio n durin g th e Offering.  $7,91 0 i n Corporat e Filin g Fee s (payabl e to FINRA) *Fee s are estimate d to b e approximatel y 2% of offerin g proceeds.

 

 

5/57 Fai r Compensation T o ensure adherenc e t o fai r compensatio n guidelines , DealMake r Securitie s will ensure that , in any scenario , th e aggregat e fee s payable t o DealMaker Securitie s and its affiliate s in respec t o f Service s relate d t o th e Offerin g shall never exceed th e amount s set fort h in th e tabl e below (th e column entitle d “Maximum Compensation”). I f th e Offerin g is full y subscribed , th e maximum amoun t of underwritin g compensatio n will be $2,617,000 *I n the even t tha t th e Financia l Industr y Regulator y Authorit y (“FINRA” ) Departmen t of Corporat e Financ e does no t issue a no objectio n lette r for the Offering , all DM S Fees are full y refundabl e othe r tha n services actuall y rendered. B . Non - Regulatio n A Offerin g Fees  $0 DealMake r Shareholde r Service s accoun t setu p , includin g upload o f existin g shareholde r lis t and general review and complianc e (Directors ’ resolutions , etc. ) in respec t o f up t o 2,50 0 shareholder s wit h no additiona l charge. Additiona l services beyond th e firs t 2,50 0 shareholder s will be charged ou t a t DM Shareholde r Service s standar d hourly rates.  DealMake r Shareholde r Services: o $250 monthl y subscriptio n fe e for DealMake r Shareholde r Service s Managemen t portal. o DealMake r Shareholde r Service s include th e issuance o f securitie s by DealMake r Shareholde r Service s to investor s in any Offerin g conducte d on DealMaker , as well as th e maintenanc e o f Customer’ s registe r o f securities o Compensatio n for additiona l DealMaker Shareholde r Service s is liste d on th e DM Shareholde r Service s Rat e card and is subjec t to regular updat e in th e ordinary course.  $2,00 0 monthl y consultin g fees to DealMake r Marketin g Service s LL C (O/ A "DealMake r Reach" ) fo r brandin g an d marketin g service s unrelate d to th e Offering. Note : Price s are standar d base compensatio n and subjec t t o additiona l customizatio n compensation . A conditio n o f th e use of DealMaker Transfe r Agen t LLC (O/ A "DealMake r Shareholde r Services" ) is tha t Custome r continu e t o pay any and all outstandin g compensatio n owing to DealMaker , includin g softwar e compensatio n fo r use o f th e DealMake r Shareholde r Service s Managemen t porta l on a monthl y basis , on th e fee s and term s establishe d in th e Orde r For m entere d int o betwee n Custome r and DealMaker. .

 

 

6/57 S chedul e “Scop e o f Marketin g Services " (provide d by DealMake r Marketin g Services) Ful l Marketin g Compensatio n Includes: 1. Websit e Desig n and Development:  Copywritin g and desig n of th e websit e wit h up t o 3 round s of revision s at th e copywritin g stag e and desig n stag e each.  Developmen t of th e websit e usin g Webflow.  Integratio n of tracking , analytics , and pixels.  Ongoin g maintenanc e and managemen t of websit e content. 2. Audience - Buildin g Infrastructure:  Audienc e buildin g throug h emai l captur e on landin g pages.  Creatio n of th e followin g emai l series: i. Investo r educationa l emai l serie s ( 4 t o 6 emails) ii. Pos t investmen t serie s (1 - 2 emails)  Ongoin g emai l lis t nurturin g wit h update s fro m th e Customer’ s campaig n announcements , relevan t news , and webinars.  Desig n and implementatio n of emai l captur e in Klaviyo.  Integratio n of DealMake r webhook s t o buil d and trac k th e investo r funne l and status. 3. Conversio n Rat e Optimizatio n (CRO):  Continuou s testin g of websit e conten t t o improv e conversio n rates. 4. Emai l Marketing:  Ongoin g nurturin g of th e emai l lis t wit h update s repurpose d fro m th e Customer’ s campaig n announcements , relevan t news , and webinars. 5. A d Creative  4 - 6 imag e asset s resize d fo r all channels  2 - 3 vide o asset s resize d fo r al l channels  3 - 4 cop y variation s applicabl e t o respectiv e channels 6. Pai d Media  Managemen t of Googl e AD s includin g Search , Display , Googl e Discovery , and YouTub e ads.  Managemen t of Met a Ad s (Faceboo k & Instagram ) as wel l as Twitter/ X ads upo n request.  Ongoin g testin g of ad cop y and creative. 7. Media Network:  Sourcin g and negotiatin g privat e media placement s wit h relevan t publisher s and email newsletters.  Purchase s o f media placement s will include a fe e equal t o 15% o f th e tota l spend . Aggregat e fee s shall no t exceed th e maximum liste d in “Schedule : Summar y o f Compensation” 8. Reporting:  Regula r calls : bi - weekl y  Strategi c planning , implementation , and executio n of th e marketin g budget.  Coordinatio n wit h third - part y agent s in connectio n wit h th e performanc e of services.  Monthl y forecasting.

 

 

7/57  Monthl y and bimonthl y repor t generation. Custome r is responsibl e fo r reviewin g item s 1 throug h 8 wit h Customer’ s professiona l advisors , as require d Marketin g Service s monthl y fe e will commence in th e firs t mont h followin g th e Effectiv e Date . COMPENSATIO N NOT INCLUDED  Expenses Marketin g Service s are provide d by DealMake r Marketin g Service s (O/ A "DealMake r Reach , LLC") . Custome r hereb y agree s to th e terms set fort h i n th e DealMake r Marketin g Service s Term s of Service , wit h compensatio n describe d o n Schedule s "Summar y of Compensation " an d "Scop e of Marketin g Services " hereto. Custome r Signature %BSIG1%

 

 

8/57 Schedul e "Broke r Deale r Services ” (DealMake r Securitie s LLC) Pre - Offerin g Analysis  Reviewin g Customer , it s affiliates , executive s and othe r partie s as described in Rule 262 o f Regulatio n A , and consultin g wit h Custome r regardin g th e same. Pre - Offerin g Consultin g for Self - Directe d Electroni c Roadsho w  Reviewin g wit h Custome r on bes t business practice s regardin g raise in ligh t o f curren t marke t condition s and prior self - directe d capita l raises  Reviewin g wit h Custome r on questio n customizatio n fo r investo r questionnaire , selectio n o f webhostin g services , and templat e for campaign page  Advisin g Custome r on complianc e of marketin g materia l and othe r communication s wit h th e public wit h applicabl e legal standard s and requirement s  Providin g advice t o Custome r on conten t o f Form 1 A and Revision s  Provid e extensive , review , training , and advice to Custome r and Custome r personne l on how t o configur e and use electroni c platfor m powered by DealMaker.tec h  Assistin g in th e preparatio n o f SE C and FINR A filing s  Workin g wit h th e Client’ s SE C counsel in providin g informatio n t o th e exten t necessary Advisory , Complianc e an d Consultin g Service s Durin g th e Offering  Reviewin g investo r information , includin g identit y verification , performin g AM L (Anti - Mone y Laundering ) and othe r complianc e backgroun d checks , and providin g Custome r wit h informatio n on an investo r in order for Custome r to determin e whethe r t o accep t such investo r int o th e Offering;  I f necessary , discussions wit h th e Custome r regardin g additiona l informatio n or clarificatio n on an Customer - invite d investor ;  Coordinatin g wit h thir d part y agent s and vendors in connectio n wit h performanc e o f services;  Reviewin g each investor’ s subscriptio n agreemen t t o confir m such investor’ s participatio n in th e offerin g and provide a recommendatio n to th e company whethe r or no t t o accep t th e subscriptio n agreemen t for th e investor’ s participation;  Contractin g and/o r notifyin g th e company , if needed , to gathe r additiona l informatio n or clarificatio n on an investor;  Providin g ongoin g advice to Custome r on complianc e o f marketin g materia l and othe r communication s wit h th e public , includin g wit h respec t to applicabl e legal standard s and requirements;  Reviewin g wit h Custome r regardin g any materia l changes t o th e For m 1 A which may require an amended filing ; and  Reviewin g thir d part y provider work - produc t wit h respec t t o complianc e wit h applicabl e rules and regulations. Custome r hereb y engage s an d retain s DealMake r Securitie s LLC , a registere d Broker - Dealer , to provid e th e applicabl e service s describe d above . Custome r hereb y agree s to th e terms set fort h i n th e DealMake r Securitie s Terms , wit h compensatio n describe d o n Schedul e "Summar y of Compensation " hereto.

 

 

9/57 Custome r Signature %BSIG1% Schedul e “DealMaker.tec h Subscriptio n Platfor m an d Shareholde r Service s Onlin e Portal” Durin g the Offering , Subscriptio n Processin g an d Payment s Functionality  Creatio n and maintenanc e of deal porta l powered by DealMaker.tec h softwar e wit h fully - automate d tracking , signing , and reconciliatio n of investmen t transactions  Ful l analytic s suit e t o trac k all aspect s o f th e offerin g and manage th e conversion o f prospectiv e investor s int o actua l investors. Apar t fro m th e Offering , Shareholde r Managemen t vi a DealMake r Shareholde r Services  Acces s to DM Shareholde r Managemen t Technolog y to provide corporat e updates , announc e additiona l financings , and track engagement  Document - sharin g functionalit y t o disseminat e share certificates , ta x documentation , and othe r file s t o investors  Monthl y compensatio n is payable to DealMaker.tec h while th e clien t has engage d DealMake r Shareholde r Services Subscriptio n Managemen t an d DM Shareholde r Managemen t Technolog y i s provide d by Novatio n Solution s Inc . O/ A DealMaker . Custome r hereb y agree s to th e terms set fort h i n th e DealMake r Term s of Servic e wit h compensatio n describe d o n Schedul e "Summar y of Compensation " hereto. Custome r Signature %BSIG1%

 

 

1 0 /57 Schedul e “Transfe r Agen t Service s ” (DealMake r Shareholde r Services) Accoun t Setup : Genera l onboardin g an d custome r accoun t setup , includes: ● Upload of existin g shareholde r lis t (2,50 0 shareholder s or fewer) ● Issue r review and complianc e package (director s resolutions , etc) Shareholde r Service s Managemen t Porta l Monthl y Compensation . Numbe r of Shareholders Monthl y Compensation 0 - 250 $250 minimum fla t fee 251 - 500 $0.7 5 / shareholder 501 - 1500 $0.5 0 / shareholder 1,501 - 5,000 $0.2 0 / shareholder 5,001 - 10,000 $0.1 0 / shareholder 10,001+ $0.0 8 / shareholder Issuanc e Compensatio n (Pe r Action) Electroni c Record (Boo k Entry ) securit y issuance compensatio n included Compensatio n for additiona l services is liste d on th e DealMake r Shareholde r Service s Rat e card and is subjec t t o regular updat e in th e ordinary course. Uploa d of histori c shareholde r lis t include s u p to 2,50 0 shareholder s provide d tha t that shareholde r dat a meets DealMaker’ s standar d dat a format. Service s relate d to onboardin g historica l shareholder s wher e dat a i s no t provide d i n DealMaker’ s standar d forma t o r abov e an d beyon d the firs t 2,50 0 shareholder s wil l b e billabl e at DealMake r Shareholde r Service s standar d hourl y rates of $50 pe r hour. A conditio n of th e use o f DealMake r Shareholde r Service s is tha t Custome r continu e t o pay any and all outstandin g compensatio n owing to DealMaker , includin g softwar e compensatio n fo r use o f th e DealMaker Shareholde r Service s Managemen t porta l on a monthl y basis , on th e compensatio n and term s establishe d in th e Orde r Form entere d int o betwee n Custome r and DealMaker. Custome r hereb y engage s an d retain s DealMake r Transfe r Agen t LLC , a registere d Transfe r Agent , (O/ A "DealMake r Shareholde r Services" ) to provid e the applicabl e services , wit h compensatio n describe d o n Schedul e "Summar y of Compensation " hereto.

 

 

1 1 /57 Custome r Signature %BSIG1% Shareholde r Service s Rate Card Accoun t Setu p & Onboarding DealMake r Shareholde r Service s Onboardin g includes:  Configuratio n o f a Custome r Shareholde r Service s porta l fo r shareholde r management  Issue r review and complianc e package  Upload of historica l shareholde r lis t (must be provided in appropriat e CS V Format ) up to 2,50 0 holders $2,500 Dat a cleanin g and reconciliation $125/hour Note: DealMaker standar d hourly rate s o f $125 per hour will apply to: (a) uploadin g all histori c shareholde r dat a tha t is no t in standar d CS V format ; and (b) Issuer s importing greate r tha n 2,50 0 histori c shareholders . Request s to upload more tha n 2500 histori c shareholder s may also incur additiona l fee s fo r dat a integration , availabl e upon request. Shareholde r Service s Managemen t Porta l Monthl y Fee 0 - 250 shareholder s ( minimum fla t fe e ) $250 251 - 500 shareholders $0.7 5 / shareholder 501 - 1,50 0 shareholders $0.5 0 / shareholder 1,50 1 - 5,00 0 shareholders $0.2 0 / shareholder 5,00 1 - 10,00 0 shareholders $0.1 0 / shareholder 10,001 + shareholders $0.0 8 / shareholder Monthl y Fe e includes: - Porta l access and use o f DM Shareholde r Managemen t Technolog y - shareholde r ledger management , shareholde r inquiry and I R functionality , Communit y buildin g tools , and more. - Functionalit y supportin g corporat e updates , announcements , trackin g engagement. - Document - sharin g functionalit y t o disseminat e book entr y statements , ta x documentation , and othe r file s t o shareholders. Note : Pricin g is graduate d - tier s apply progressivel y as shareholde r quantit y increases .

 

 

1 2 /57 Issuanc e Fees Electroni c Record (Boo k Entry ) securit y issuance fee included Bas e Usage Fee s - Corporat e Actions Stoc k Split $2,500 Name Change $2,500 Stoc k Dividend $2,500 Shareholde r Actions Non - restricte d share transfe r (issue/cancel) . Include s electroni c record - keepin g o f documentatio n received for transfer $50/transfer Removal of Restrictiv e Legend $100 Transactio n Rejection $25 Note : all shares are maintaine d in book - entr y form , we do no t issue paper certificate s so significan t savings on paper certificat e costs (lost/stolen/mailing) Digita l Dividend Dividen d Setup $1,500 Administrativ e Fee $500 per disbursement Pe r distributio n (plus associate d paymen t processing costs) $3.00 1099s Issue/Send* $3.99 Note : Custome r is responsibl e for issuing K - 1 s in place of 1099s. Customer’ s accountan t can prepare K - 1s . DealMake r Shareholde r Service s can be used to share K - 1 statement s wit h Customer’ s investor s and FAQ s prepared to easily manage investor’ s inquiries. Bas e Shareholde r Digita l Votin g & Annua l Meetings Voting , Websit e setup , Digita l Meetin g Hosting , Digita l Q&A , Shareholde r Technolog y Support $15,000** Emai l notic e and Electroni c I D Generation $1.5 0 per shareholder Vot e Tabulation $0.5 0 per vot e tabulated **Pe r Quarter . Votin g extende d beyond th e quarte r is subjec t t o additiona l fees. Note : By - Law s mus t be drafte d by counsel t o permi t digita l meetings . Othe r Services Audi t Verification $125 Additiona l OFA C investo r checks $2.5 0 /shareholder

 

 

1 3 /57 Othe r Services Earl y Termination Pe r contrac t term Warrant s and Convertibl e Notes: Genera l onboardin g and custome r accoun t setup , includes:  services rendered in connectio n wit h th e creatio n of th e issue .  including , among othe r things , reviewin g and providin g our comment s t o counsel on th e draf t Warran t Indentur e and othe r relate d documents .  executio n o f th e Warran t Indentur e in its fina l approved for m in acceptanc e of the responsibilities and duties of the agency .  settin g up records , and all telephon e communication s and correspondenc e incidenta l thereto. Monthl y Record Maintenanc e Fee $300 per month Exercis e Fee  Include s review o f exercise forms , confirmatio n of payment  Cancellatio n o f warrant s and updat e of warran t register  Issuanc e o f new securities , updat e of new securit y register  AM L verificatio n include d in .tec h portal $60.0 0 per exercise and issuance Cancellation , De - Registration , Re - Registratio n o f Warrants $20.0 0 per cancellation Removal of Restrictiv e Legend $100 per transaction Othe r Services Rush Fees Fractiona l Shar e Payments Audi t Verification Earl y Termination Consultin g Fee *Quote d based on Custome r tim e limitation s and projec t scope * Quote d upon request $125 $2,500 $50/hour * Consultin g fe e for issuer & investo r question s outsid e our mandat e fo r example , question s no t directl y relate d t o th e series raise for

 

 

1 4 /57 which we have been engaged. NOTE : Price s are standar d base fee s and subjec t to additiona l customizatio n fees. A conditio n o f th e use o f DealMake r Transfe r Agen t LLC services is tha t Issue r continu e t o pay any and all outstandin g fee s owing t o DealMaker , includin g softwar e fee s for use of th e DealMake r Shareholde r Service s Managemen t porta l on a monthl y basis , on th e fee s and terms establishe d in th e Orde r For m entere d int o betwee n Issue r and DealMaker.

 

 

1 5 /57 DEALMAKE R TERM S O F SERVICE Thes e Term s o f Service s (“Terms” ) govern access to th e softwar e and services provided by any o f th e DealMake r entitie s such as Novatio n Solution s Inc. , O/ A DealMake r ( “DealMaker.tech ” ), DealMake r Reach , LLC ( “DM Reach ” ), DealMaker Securitie s LLC ( “DMS ” ) and DealMake r Transfe r Agen t LLC, O/ A DealMake r Shareholde r Service s ( “DMTA ” ) (individually , each a “DealMake r Entity ” and collectively , th e “DealMake r Entities ” ). Eac h o f th e entitie s may be referre d t o as “DealMaker ” or th e “Company ” in thes e Terms. Thes e Term s have legal implications. I t is importan t tha t you read thes e term s carefully , and consul t legal counsel if you determin e tha t is appropriate , in order to understan d thes e Terms. Th e Terms , togethe r wit h th e DealMake r order form from which thi s page was linked ( “Orde r Form ” ), for m an agreemen t betwee n th e Custome r (as define d in th e order form ) and th e applicabl e DealMake r entit(ies ) being engage d for technolog y or services (each an “Agreement ” ). Eac h o f thes e Agreement s may be referre d to as “an Agreement ” or “th e Agreement ” in thes e Terms . Eac h Agreemen t contains , among othe r things , warrant y disclaimers , liabilit y limitation s and use limitations . Eac h Agreemen t also contain s an arbitratio n provision which is enforceabl e agains t th e partie s and may impac t your right s and obligations. By signing th e Orde r For m and using th e DealMake r Entit y services described in such Orde r Form , Custome r accept s and agrees t o be bound by thes e Terms . Thes e Term s apply t o all DealMaker Entitie s unless a DealMake r Entit y is explicitl y excluded or alternativ e term s are supplemented , as indicate d below. 1 . Definitions “Account ” means Investmen t fund s deposite d in Customer’ s accoun t wit h a financia l institutio n by (i) Customer’ s investor s directly , funde d via wire or check or (ii) a thir d part y paymen t processor , prior t o th e Closing of any transactio n involvin g such investments. “Closing ” means th e resolutio n of all applicabl e AML - relate d exception s or discrepancie s identifie d throug h any searches provided by thir d partie s throug h Company or otherwis e identifie d by or t o Company fo r all transaction s associate d wit h an investmen t and th e acceptanc e by th e Custome r o f th e investmen t associate d wit h such transactions. “Closin g Date” means th e dat e o f each Closing.

 

 

1 6 /57 “Commencemen t Date” occurs in th e mont h th e Custome r begins paying monthl y subscriptio n fees . I f no Commencemen t Dat e is state d on th e Orde r Form , monthl y subscriptio n fee s are payable in th e mont h followin g th e Effectiv e Date. “Custome r Paymen t Processin g Account “ means a Customer’ s accoun t wit h a thir d part y paymen t processor int o which Custome r deposit s investmen t funds . “DM Shareholde r Managemen t Technology ” means DealMaker’ s investo r communicatio n functionalit y technolog y and/o r services provided by DealMaker.tech . “Effectiv e Date” is th e dat e th e Agreemen t is signed . “Escro w Account ” means Customer’ s thir d part y escrow accoun t int o which Custome r direct s investmen t fund s from Investors. “Improvements ” means any improvements , updates , variations , modifications , alterations , additions , error corrections , enhancements , functiona l changes or othe r changes t o th e Software , including , withou t limitation : (i) improvement s or upgrades to improve softwar e efficienc y and maintainability ; (ii) improvement s or upgrades t o improve operationa l integrit y and efficiency ; (iii) changes or modification s t o correc t errors ; and (iv) additiona l licensed compute r programs to otherwis e updat e th e Software. “Intende d Purpose ” means Customer’ s use of th e Softwar e t o raise capita l online via technolog y or services provided by DealMaker.tech. “Offerings ” refer s t o online capita l formatio n transaction s complete d by Company’ s Customer s or Customer’ s clients , using th e Software . “Software ” means th e DealMaker cloud - base d softwar e program develope d by Company , includin g it s features , functionality , performance , applicatio n and use , any relate d printed , electroni c and online documentation , manuals , trainin g aids , user guides , syste m administratio n documentatio n and any othe r file s tha t may accompany th e Softwar e used by th e Customer. “TOS ” means th e DealMaker.tec h websit e terms of service locate d a t https://www.dealmaker.tech/terms . 2 . Ter m an d Termination 2.1 . Term Unles s otherwis e state d i n the Orde r Form , th e Agreemen t wil l remai n i n effect fro m th e Effectiv e Date unti l th e firs t da y of the mont h followin g th e completio n of a n Offerin g (“Term”). Th e Ter m fo r DMT A is set fort h i n th e DMT A terms. 2.2 . Renewal 2.2.1 . Activatio n Fee s : Unless otherwis e specifie d in th e Orde r Form , activatio n fee s do no t renew . Activatio n fee s are one - tim e fees . Thes e may also be referre d t o as “Launch Expenses ” or “Setup, ”

 

 

1 7 /57 i f the y precede th e Offerin g launch or commencemen t of Services 2.2.2 . Monthl y Subscriptio n Fee s : Unless otherwis e specifie d in th e Orde r Form , Monthl y Subscriptio n Fee s (“Subscriptio n Fee” ) automaticall y renew each month. 2.2. 3 . DM Shareholde r Managemen t Technolog y Fee s : DM Shareholde r Managemen t Technolog y is a service offere d by DealMaker.tech. Unless otherwis e specifie d in th e DealMaker.tec h or DMT A fe e schedules t o your Orde r Form , fee s for use of th e DM Shareholde r Managemen t Technology , when applicable , will automaticall y renew each mont h and th e services can be canceled withi n any mont h upon writte n notice , effectiv e th e mont h followin g cancellatio n o f DealMaker.tec h services , excep t for DMT A Customers. Cancellatio n o f fee s fo r use o f DM Shareholde r Managemen t Technolog y for DMT A customer s is governed by th e DMT A terms. 2.2.4 . DealMake r Transactiona l Fee s are incurred at th e tim e o f each transactio n and charged on a per use basis , as specifie d in th e Orde r Form. 2.3 . Terminatio n 2.3.1 . Terminatio n for Cause. Custome r or any DealMake r Entit y may terminat e thi s Agreemen t immediatel y for Cause , as t o any or all Subscriptio n services. “Cause” includes a determinatio n tha t a part y is acting , or have acted , in a way tha t has negativel y reflecte d on or impacted , or may negativel y reflec t on or impac t th e othe r party , its prospects , or it s customers , includin g withou t limitatio n in a way tha t violate s or causes a violatio n of applicabl e law or regulation. Upon terminatio n fo r cause , ther e are no additiona l fee s incurred. Al l prepaid unused fee s would be returned. 2.3.2 . Otherwise , an Agreemen t may only be terminate d as follows: a . Materia l Breac h : A part y may terminat e thi s Agreemen t upon sixt y (60) days writte n notic e i f th e breachin g part y fail s t o perfor m or observe any materia l term , covenant , or conditio n to be performe d or observed by it under thi s Agreemen t and such failur e continue s t o be unremedie d afte r sixt y (60) days’ writte n notic e o f such failur e fro m Company t o Customer . I f th e breach has no t been cured withi n th e sixty day period , th e non - breachin g part y may terminat e thi s Agreemen t forthwit h and may immediatel y exercise any one or more o f th e remedies availabl e t o i t under th e Terms of thi s Agreement , in additio n t o any remedy availabl e at law. b . Custome r Defaul t . I f Custome r default s in performin g its obligation s under an Agreement , Company may terminat e thi s Agreemen t (i) upon writte n notic e i f any materia l representatio n or warrant y made by Custome r proves t o be incorrec t a t any tim e in any materia l respec t or (ii) upon writte n notice , in order to comply wit h a legal requirement , i f such complianc e canno t be timel y achieved using commercially reasonabl e efforts , afte r Company has provided Custome r wit h as much notic e as practicable. c. Righ t of Terminatio n – Insolvency/Bankruptc y : A part y may terminat e an Agreemen t immediately , if th e othe r part y becomes th e subjec t o f a petitio n in bankruptc y or any othe r

 

 

1 8 /57 proceedin g relatin g t o insolvency , cessatio n of business , liquidatio n or assignmen t fo r th e benefi t of creditors , reorganizatio n or othe r relief , or is adjudge d bankrup t or insolven t or has entere d agains t i t a fina l and unappealabl e order for relief , under any bankruptcy , insolvency , or othe r similar law. In th e even t of Company insolvency , all o f th e Customer’ s asset s are immediatel y released . (collectively , “Terminatio n Reasons ” ) Othe r tha n th e Terminatio n Reasons , unless explicitl y state d otherwise , an Agreemen t may no t otherwis e be terminate d prior t o th e end of th e Term. 2.3.3 . Th e terminatio n o f an Agreemen t as described herein shall no t exclude th e availabilit y o f any othe r remedies . An y delay or failur e by eithe r part y to exercise , in whole or in part , any right , power , remedy or privileg e shall no t be construe d as a waiver or limitatio n t o exercise , in whole or in part , such right , power , remedy or privilege. 2.3.4 . Al l term s o f an Agreement , which should reasonabl y survive termination , shall survive , including , withou t limitation , confidentiality, limitation s of liabilit y and indemnities , arbitratio n and th e obligatio n t o pay fee s relatin g to services provided by th e DealMake r Entit y prior t o termination . 3 . Paymen t & Billing DealMake r shall be compensate d as set ou t in th e Orde r Form. Unless otherwis e specifie d in th e schedules t o th e Orde r Form , Custome r will be invoiced on a monthl y basis. Paymen t will be automaticall y debite d fro m th e Customer’ s bank accoun t or credi t card on file , wit h a receip t t o be automaticall y delivered. Invoice s will be availabl e for th e Custome r t o review upon request. In th e even t tha t any Custome r paymen t fails , in respec t of any invoice due and payable to a DealMake r Entit y ( “Arrears ” ), Custome r must re – connec t it s bank accoun t or updat e credi t card withi n fourtee n (14) days and submi t paymen t fo r any Arrears . Unless Arrear s are cleared and account s are brough t back int o good standin g withi n 14 days , automate d payout s and reconciliatio n reportin g will be disabled. In th e even t th e Arrear s are no t cleared or account s are no t brough t back int o good standin g withi n 30 days , all services will be paused unti l paymen t is received and th e Customer’ s bank accoun t or credi t card authorizatio n is restored. DealMake r reserves th e righ t t o debi t fro m Customer’ s paymen t accoun t in respec t of any Arrear s aged beyond thirt y days unless th e Custome r dispute s th e charges in writing. 4 . Intellectua l Property 4.1 . Titl e . Company retain s titl e to and sole ownershi p o f th e Softwar e and all Improvements. 4.2 . Cloud - Base d Softwar e . Th e Softwar e is cloud based . As such , th e source and objec t code are locate d on servers outsid e o f th e Customer’ s premises . Custome r shall have no access t o th e facilitie s a t which th e Softwar e is hosted. 4.3 . Intellectua l Propert y . Al l Intellectua l Property , Intellectua l Propert y Right s and distributio n right s associate d wit h or arising from Company’ s Confidentia l Informatio n includin g bu t no t limite d t o th e Software , remain exclusively wit h Company . “Intellectua l Property ” includes , withou t limitation , wit h respec t to all DealMake r Products : all technica l data , designs , specifications , software , data , drawings , plans , reports , patterns , models , prototypes , demonstratio n units , practices , inventions , method s and relate d technology , processes or othe r information , and all right s therein , including , withou t limitation , patents , copyrights , industria l designs , trade - mark s and any registration s or application s fo r th e same and

 

 

1 9 /57 all othe r right s o f intellectua l propert y therein , includin g any right s tha t arise fro m th e above item s being treate d by th e partie s as trad e secret s (th e right s being “Intellectua l Propert y Rights. ” ) 4.4 . Restrictions. 4.4.1 . Custome r may not : (i) modify , enhance , reverse - engineer , decompile , disassembl e or creat e derivativ e forms o f th e Software ; (ii) copy th e Software ; (iii) sell , sub - license , lease , transmit , distribut e or otherwis e transfe r right s in/t o th e Software ; (iv) allow third - part y use o f th e Softwar e installe d at th e Site ; or (v) pledge , hypothecate , alienat e or otherwis e encumber th e Softwar e t o any thir d party. 4.4.2 . Use of th e Softwar e is restricte d to th e Intende d Purpos e only. Custome r agrees no t t o engage in any activit y restricte d by th e TO S or transfe r any informatio n restricte d by th e TOS . 4.4.3 . Custome r acknowledge s tha t unauthorize d reproductio n or distributio n o f th e Softwar e is expressly prohibite d by law , and may resul t in civil and criminal penalties . Violator s may be prosecuted . Custome r may no t reverse engineer , decompile , disassembl e or otherwis e attemp t t o discover th e source code o f th e Software , DealMake r websit e or any par t thereof , excep t and only t o th e exten t tha t such activit y is expressly permitte d by applicabl e law notwithstandin g thi s limitation. 4.5 . Custome r represent s and warrant s tha t any Custome r asset s or material s provided and th e intende d use thereo f in accordance wit h th e terms of each Agreement , will no t infringe , violate , or misappropriat e any thir d part y rights , includin g withou t limitation , any copyrights , trademarks , trad e secrets , privacy , publicity , or othe r proprietar y or intellectua l propert y rights. 4.6 . Custome r represent s and warrant s tha t Custome r will no t t o bid on or use any DealMaker Entit y trademarks , brand names , or any variation s thereo f in Customer’ s paid search advertisin g campaigns . Thi s includes , bu t is no t limite d to , Googl e AdWords , Bin g Ads , and othe r search engine marketin g platforms . Unless otherwis e provided fo r in th e Agreement , Custome r shall not: 4.6.1.bi d on or use our trademark s as keywords in Customer’ s paid search campaigns; 4.6.2 . include DealMake r Entit y trademark s in Customer’ s ad copy , display URL , or landin g page URL ; or 4.6.3 . use any misspellings , variations , or confusingl y similar term s t o DealMake r Entit y trademark s in Customer’ s paid search activities; DealMake r reserves th e righ t t o monito r and enforc e complianc e wit h thes e trademar k biddin g restrictions. 5 . Confidentia l Information 5.1 . “Confidentia l Information ” means any and all confidentia l or proprietar y informatio n o f DealMake r or Customer , includin g affiliate s thereof , which has been or may be disclosed by one part y t o thi s Agreemen t ( “Disclosin g Party” ) to th e othe r part y (“Receivin g Party”) , a t any tim e prior t o and during th e Agreemen t Term , including , withou t limitation , th e names o f employees and owners , th e names or othe r

 

 

2 0 /57 personall y identifiabl e informatio n of customers , business and marketin g information , technology , know - how , ideas , reports , techniques , methods , processes , uses , composites , skills , and configurations , intellectua l propert y o f any kind and all documentatio n provided by investor s in th e Offering . Withou t limitin g th e generalit y o f th e foregoing , DealMaker’ s Confidentia l Informatio n includes : (i) th e Software ; (ii) th e compute r code underlyin g th e Software , includin g source and compile d code and all associate d documentatio n and files ; (iii) informatio n relatin g t o th e performanc e or qualit y o f th e Softwar e and services provided by th e DealMaker Entity ; (iv) th e detail s o f any technica l assistanc e provided t o Custome r during th e Term ; (v) any othe r product s or service made availabl e t o Custome r by DealMake r during th e Agreemen t Term ; and (vi) informatio n regardin g DealMaker’ s business operation s includin g it s research and developmen t activities. Al l work product , pricing , Agreemen t term s and process informatio n o f eithe r part y exchange d wit h th e othe r part y to perfor m th e term s o f th e Agreemen t is agreed t o be Confidentia l Information , excep t tha t any logos or marketin g reference s are no t Confidentia l Information. 5.2 . “Confidentia l Information ” does no t include informatio n that : (i) is or has become generall y known t o th e public withou t any actio n by th e non - disclosin g party ; (ii) was known by eithe r part y prior t o enterin g int o th e Agreement ; (iii) was independentl y determine d by eithe r party ; or (iv) was disclosed t o th e relevan t part y withou t restrictio n by a thir d part y who , to th e bes t o f such party' s knowledg e and belief , had no obligatio n no t t o disclose such information . 5.3 . Neithe r part y may disclose Confidentia l Informatio n withou t th e express writte n consen t o f th e othe r party , excep t as specificall y contemplate d in thi s Agreement. 5.4 . Trad e Secret s . Notwithstandin g anythin g to th e contrar y herein , wit h respec t t o Confidentia l Informatio n tha t constitute s a trad e secre t under th e laws o f any jurisdiction , such right s and obligation s shall survive such expiratio n or terminatio n until , if ever , such Confidentia l Informatio n loses it s trad e secre t protectio n othe r tha n due to an ac t or omission of th e receivin g Part y or it s Representatives. 5.5 . B y executin g thi s Agreement , th e Custome r is providin g writte n consen t fo r DealMaker t o disclose Confidentia l Informatio n bu t only to th e exten t required to carry ou t th e term s o f thi s Agreement . Customer’ s investor s will be required to sign - in to th e DealMaker.tec h porta l and agree t o th e DealMaker.tec h TOS . Th e partie s agree tha t thi s process shall no t constitut e a disclosur e o f “Confidentia l Information ” as described in thi s section . 5.6 . Notwithstandin g anythin g in thi s section , Custome r and DealMake r hereby agree tha t each part y may use th e othe r party’ s logo for promotiona l purposes ( “Log o Use” ). Th e partie s acknowledg e tha t Logo Use does no t include th e use of any descriptiv e copy , all o f which mus t be approved by Custome r and DealMake r in writing. Excep t as provided fo r in thi s paragraph , nothin g containe d in thi s Agreemen t will be construe d as grantin g Custome r or DealMake r any right , titl e or interes t in or t o any or t o use any o f th e othe r party’ s Confidentia l Information. Custome r or DealMake r may terminat e Logo Use a t any time , wit h or withou t cause , upon writte n notic e t o th e othe r party . Fo r any Custome r conductin g a public offerin g on th e DealMake r platfor m (i.e . Regulatio n A or Regulatio n C F offerings) , in which th e offerin g is already in th e public domain , Custome r agrees tha t DealMake r may disclose Custome r name and offerin g proceeds t o thir d part y dat a aggregator s for th e purpose of generatin g industr y reports. Industr y report s shall no t include publicatio n o f Custome r name or th e amoun t raised. 5.7 . Authorize d Disclosur e . Eac h part y may, withou t th e consen t o f th e othe r party , disclose Confidentia l Informatio n to th e exten t reasonabl y necessary to comply wit h applicabl e regulator y demands or orders in connectio n wit h th e purpose fo r which th e Custome r enter s int o thi s Agreement . Eac h part y may disclose th e existenc e o f thi s Agreement and any relationshi p betwee n th e parties.

 

 

2 1 /57 6 . Exclusio n of Warranties 6.1 . Excep t as expressly state d in thi s Agreement , DealMake r makes no representation s or warrantie s or covenant s to Customer , eithe r express or implied , wit h respec t t o th e Software , services provided by th e DealMake r Entit y or wit h respec t to any Confidentia l Informatio n disclosed t o Customer . DealMake r specificall y disclaims any implied warrant y or conditio n of non - infringement , merchantabl e qualit y or fitnes s for a particula r purpose . Custome r acknowledge s tha t th e Softwar e is in continuou s developmen t and tha t it has been advised by DealMaker to undertak e its own due diligenc e wit h respec t t o all matter s arising fro m thi s Agreement. Al l services are provided on an "a s is " and "a s available " basis withou t any warranties , express or implied , including , withou t limitation , implied warrantie s o f merchantabilit y or fitnes s fo r a particula r purpose , and DealMake r expressly disclaims all warranties . Custome r agrees and understand s tha t no DealMaker entit y has any fiduciar y dut y t o Customer. 6.2 . No Improvement s . Company is under no obligatio n to provide Improvement s t o th e Softwar e during th e Term . 6.3 . An y Improvement s Gratuitou s . An y Improvement s provided by DealMake r t o Custome r fro m tim e t o tim e during th e Term shall be , unless otherwis e stated , construe d as being provided on a purely gratuitou s basis and shall no t give rise to any righ t or entitlemen t on th e par t o f Customer , excep t as otherwis e specificall y provided in thi s Agreement . An y Improvement s so provided shall be governed by th e same term s and condition s applicabl e to th e Software , as described herein , unless otherwis e outline d in a fe e schedule or addendu m t o thi s Agreement. 6.4 . No Futur e Entitlement . Nothin g in thi s Agreemen t shall be construe d as creatin g any obligatio n on DealMake r to continu e t o develop , commercialize , offer , make availabl e or suppor t (i) th e Software ; or (ii) any feature , functionalit y or Improvemen t as may be encompasse d in th e Softwar e fro m tim e t o tim e during th e Term , beyond th e duratio n of th e Term. 6.5 . Company Template s and Sample s are Provide d wit h No Warrantie s . Custome r may reques t access t o DealMaker’ s template s and resources to help organize and se t up an offerin g or any communication s relate d thereto . Thes e resources may include templat e communications , educationa l packages , resources fo r th e managemen t o f administrativ e and collaborativ e tasks , and bes t practice s observed fro m othe r offering s and industries . Custome r acknowledge s and agrees that , by providin g access t o any documents , training , or resources , DealMake r is no t renderin g and shall no t be deemed t o have rendered any legal , tax , investment , or financia l plannin g advice. Custome r shall , as i t deems necessary or advisable , consul t it s own legal , tax , investment , or financia l plannin g advisers. Al l template s and samples are provided wit h no warrantie s whatsoeve r and by making use o f such materials , Custome r is agreein g t o voluntaril y assume any liabilit y wit h respec t thereto. 7 . Limitatio n an d Exclusio n of Liability Unless otherwis e specifie d herein , in no even t is DealMaker’ s liabilit y fo r any damages on any basis , in contract , tor t or otherwise , o f any kind and natur e whatsoever , arising in respec t o f thi s Agreement , howsoever caused , includin g damages of any kind and natur e caused by DealMaker’ s negligenc e or by a breach of contrac t or any othe r breach of dut y whatsoever , t o exceed th e fee s actuall y paid t o DealMake r by Custome r during th e Term . Custome r acknowledge s tha t DealMake r has se t it s fee s under thi s Agreemen t in reliance on th e limitation s and exclusions o f liabilit y se t fort h in thi s Agreemen t and such relianc e form s an essentia l basis of thi s Agreement.

 

 

2 2 /57 8 . Indemnification Applicabilit y of Indemnificatio n Clause: Customer s of DMT A are bound by th e separat e indemnificatio n clauses applyin g only t o DMTA. 8.1 . Indemnificatio n b y Custome r . Custome r shall indemnif y and hold each DealMake r Entity , it s affiliate s and thei r respectiv e members , officers , director s and agent s ( “Indemnifie d Parties ” ) harmless fro m any and all actua l or direc t losses , liabilities , claims , demands , judgements , arbitration s awards , settlements , damages , direc t fees , costs and expenses ( includin g attorne y fee s and costs ) (collectivel y “Losses ” ), resultin g from or arising ou t o f any thir d part y suits , actions , claims , demands , investigation s or similar proceeding s (collectivel y “Claim ” ) to th e exten t the y are based upon (i) a breach o f thi s Agreemen t by Customer , (ii) th e wrongfu l acts or omissions o f Customer , (iii) Customer , or Customer’ s clients ’ engagemen t wit h DealMake r and any action s take n in conjunctio n therewith , includin g bu t no limite d to usage o f th e Software , whethe r or no t such activitie s are in accordance wit h Intende d Usage or (iv) th e Offering . “Losses ” includes , losses arising from paymen t processing which are losses arising fro m chargebacks , clawbacks , paymen t reversals , fraudulen t charges , insufficien t credit , unauthorize d charges , claims o f Custome r or thir d partie s regardin g paymen t disputes , and any othe r problems relatin g t o card or AC H payment s made for th e benefi t of Custome r ( “Paymen t Processin g Losses ” ). 8.2 . Indemnificatio n b y Company . Th e applicabl e DealMake r Entit y shall indemnif y and hold Customer , Customer’ s affiliate s and Customer’ s representative s and agent s harmless fro m any Losses resultin g fro m or arising ou t o f Claims t o th e exten t the y are based upon (i) such DealMake r Entity’ s breach o f thi s Agreemen t (ii) th e negligence , fraud , bad fait h or willfu l misconduc t o f th e DealMake r Entit y or (iii) DealMake r Entity’ s failur e t o comply wit h any applicabl e laws in th e performanc e o f it s obligation s under thi s Agreement. 8.3 . Indemnificatio n Procedur e . I f any proceedin g is commenced agains t a part y entitle d t o indemnificatio n under thi s section , promp t notic e of th e proceedin g shall be given t o th e part y obligate d t o provide such indemnification . Th e indemnifyin g part y shall be entitle d t o tak e contro l o f th e defense , investigatio n or settlemen t o f th e Proceeding s and th e indemnifie d part y agrees t o reasonabl y cooperate , a t th e indemnifyin g party’ s cost in ensuing investigations , defens e or settlement. Th e indemnifyin g part y shall reimburse th e indemnifie d part y for all expenses (includin g reasonabl e fees , disbursement s and othe r charges o f counsel) as the y are incurred in connectio n wit h investigating , preparing , pursuing , defending , or settlin g a Claim (includin g withou t limitatio n any shareholde r or derivativ e action) ; provided , however , tha t indemnifyin g part y will no t be liabl e to indemnif y and hold harmless or reimburse an indemnifie d part y pursuan t t o thi s paragrap h to th e exten t tha t an arbitrato r (or panel o f arbitrators ) or cour t of competen t jurisdictio n will have determine d by a fina l non - appealabl e judgmen t tha t such Claim resulte d from th e gross negligenc e or willfu l misconduc t o f such indemnifie d party. Th e Indemnifyin g Part y will no t settle , compromise or consen t to th e entr y of a judgmen t in any pendin g or threatene d Claim unless such settlement , compromise or consen t includes a release o f th e indemnifie d partie s satisfactor y t o th e indemnifie d parties. 8.4 . Indemnifie d Part y Limitatio n Of Liabilit y . In no even t shall th e Indemnifie d Partie s be liabl e or obligate d in any manner for any consequential , exemplary or punitiv e damages or los t profit s incurred by Custome r arising fro m or relatin g t o th e Agreement , an Offering , or any action s or inaction s take n by an Indemnifie d Partie s in connectio n wit h th e Agreement , and th e Custome r agrees no t t o seek or claim any such damages under any circumstances.

 

 

2 3 /57 8.5 . Recover y of Paymen t Processin g Losses . Notwithstandin g anythin g t o th e contrar y in thi s Agreement , upon Company giving Custome r prior writte n notic e o f no less tha n fiv e business days , DealMaker.tec h shall have th e right , in its sole discretion , t o reques t Custome r reimburse Company fo r Paymen t Processin g Losses from Custome r Accoun t or fro m Customer’ s Paymen t Processin g Account , unless prohibite d by law. Custome r acknowledge s and agrees tha t recovery o f Losses fro m Customer’ s Paymen t Processin g Accoun t will no t serve as any limitatio n on th e indemnificatio n obligation s o f Custome r under thi s Agreemen t or any remedy or claim tha t Company may be entitle d t o pursue agains t Custome r in respec t o f such Losses . 9 . Thir d Part y Services Custome r may reques t introduction s t o DealMaker’ s networ k o f partner s and vendors fo r th e purpose o f sourcing additiona l services (includin g bu t no t limite d to , a call center , marketin g support , investmen t relations) . Unless otherwis e specifie d in writing , all engagement s wit h thir d partie s in thi s respec t are t o be made directl y betwee n th e Custome r and th e vendor a t th e Customer’ s discretion . Custome r acknowledge s and agrees that , by making such introductions , DealMake r is no t recommendin g and shall no t be deemed t o have recommende d any partne r or vendor’s product s or services or t o have assumed any responsibilit y for Customer’ s selectio n of any partne r or vendor or procuremen t o f such product s or services. Withou t limitin g any othe r protectio n of DealMake r under thi s Agreemen t and notwithstandin g anythin g t o th e contrary , DealMake r shall bear no responsibilit y or liabilit y whatsoeve r in connectio n wit h any thir d part y services provided by a vendor engage d by Customer , th e decision t o engage such vendors rest s solely wit h th e managemen t of th e Custome r on th e terms contracte d betwee n th e Custome r and such parties. 10 . Escrow Custome r acknowledge s tha t if Custome r opens a third - part y escrow accoun t (eithe r by Customer’ s choice or as necessary t o comply wit h applicabl e laws or regulations ) in connectio n wit h th e Company services , Custome r will apply for escrow accoun t wit h a DealMaker - approve d escrow provider. 11 . Custome r Obligations 11.1 . General 11.1.1 . Custome r shall be responsibl e for providin g Offerin g term s t o it s subscribers . Suc h disclosure shall include , bu t is no t limite d to th e followin g materia l information : a metho d o f Custome r valuation , a descriptio n of th e securit y availabl e in th e Offering , th e risks relate d t o th e investment , whethe r ther e are existin g investor s and any additiona l capita l expectations. 11.1.2 . Custome r is solely responsibl e fo r ensuring tha t th e fund s raised in th e Offerin g are used , allocate d or investe d in accordance wit h th e use o f fund s described in th e Offerin g disclosure. 11.1.3 . Custome r acknowledge s tha t followin g th e fina l closing fo r th e Offering , Custome r will have sufficien t liquidit y (from th e proceeds raised in th e Offerin g or alternat e Custome r funds ) t o sustai n Custome r operation s for tha t period of tim e which is clearly identifie d in th e Offerin g disclosure or

 

 

2 4 /57 alternatively , unti l th e nex t Custome r fundin g round. 11.1.4 . Nothin g in thi s Agreemen t shall be construe d to relieve th e managers or officer s o f Custome r fro m th e performanc e of thei r respectiv e dutie s or limi t th e exercise o f thei r powers in accordance wit h th e Customer' s bylaws , operatin g and constituen t documents , writte n supervisory procedures , applicabl e law or otherwise. Th e Custome r bears ultimatel y responsibilit y fo r all decisions wit h regard t o any matte r upon which Company has rendered it s services. Th e Company shall not , and shall have no authorit y to contro l Custome r or Customer' s day - to - da y operations , whethe r throug h th e performanc e of th e Company' s dutie s hereunde r or otherwise . Th e Customer' s directors , managers , officer s and employees shall retai n all responsibilit y fo r Customer , and it s operation s as and t o th e exten t required by Customer’ s bylaws , operatin g and constituen t documents , and applicabl e law. In furtheranc e and no t in limitatio n o f th e above , and notwithstandin g any othe r provision o f thi s Agreemen t or o f any othe r agreement , understandin g or documen t tha t purport s t o have any contrar y effec t or meaning , th e DealMake r shall no t control , or have th e righ t t o control , directl y or indirectly , th e wages , hours , or term s and condition s o f employmen t o f th e Customer. 11.2 . Privacy . 11.2.1 . Notwithstandin g any othe r provisio n of thi s Agreement , Custome r shall no t tak e or direc t any actio n tha t would contravene , or cause th e othe r part y t o contravene , applicabl e legislatio n tha t addresses th e protectio n o f individuals ’ personal informatio n (collectively , “Privac y Laws ” ). Custome r shall , prior t o transferrin g or causing to be transferre d personal informatio n t o Company , obtai n and retai n required consent s o f the relevan t individual s t o th e collection , use and disclosure o f thei r personal information , or shall have determine d tha t such consent s eithe r have previousl y been given upon which th e partie s can rely or are no t required under th e Privac y Laws , includin g any consent s required from thir d partie s pursuan t to applicabl e Privac y Laws. 11.2.2 . Custome r acknowledge s that , when used for an Offering , th e Customer’ s personalize d Softwar e dashboar d ( “Softwar e Dashboard ” ) will contai n personal identifyin g informatio n ( “PII ” ) o f Customer’ s investors . Custome r is solely responsibl e fo r ensuring complianc e wit h all applicabl e Privac y Laws when Custome r (a) download s and store s any PI I obtaine d fro m th e Softwar e Dashboar d and (b) provides Customer’ s representative s wit h access t o th e Softwar e Dashboard . 11.2.3 . Custome r is solely responsibl e fo r notifyin g Company when any Custome r representativ e is no longer working fo r th e Custome r and/o r authorize d to access th e Softwar e Dashboar d fo r th e Offering. 11.2. 4 Custome r shall cause all thir d partie s wit h access to PI I obtaine d fro m th e Softwar e Dashboar d to execut e agreement s acknowledgin g th e thir d parties ’ obligatio n t o comply wit h applicabl e Privac y Laws. 11.2.5 . Custome r has implemente d and continuall y monitor s and enforce s an agreemen t or policy wit h it s Custome r representatives , employees and agent s tha t addresses (i) confidentialit y and securit y provision s for all data , includin g dat a obtaine d throug h th e Softwar e Dashboar d and (ii) permitte d and impermissibl e use of thi s data. 11.3 . Ba d Acto r Checks

 

 

2 5 /57 Custome r agrees t o provide DealMaker Entit y wit h documentatio n verifyin g completio n o f bad acto r checks in complianc e wit h all applicabl e regulation s ( “Ba d Acto r Checks ” ). Custome r shall provide DealMake r Entit y wit h a copy of Customer’ s Ba d Acto r Checks withi n thirt y (30) days o f th e Effectiv e Dat e o f thi s Agreement , failin g which , DealMake r Entit y shall notif y Custome r in writin g tha t i t shall tak e step s to complet e Customer’ s Ba d Acto r Checks a t Customer’ s sole expense. 12 . Genera l Terms 12.1 . Publications . Eac h part y acknowledge s tha t its name , logo(s) and a descriptio n o f th e general natur e o f thi s Agreemen t may be used in any press release , public announcemen t or public communicatio n during and followin g th e Term . Withou t limitin g th e generalit y o f th e foregoing , Company may publish such informatio n on it s website s and in its promotiona l materials. 12.2 . Genera l Cooperatio n . Th e partie s shall wit h reasonabl e diligenc e do all such thing s and provide all such reasonabl e assurances and execut e all such documents , agreement s and othe r instrument s as may reasonabl y be necessary for th e purpose o f carrying ou t th e provision s and inten t o f any Agreement . Th e partie s furthe r acknowledg e tha t th e implementatio n of each Agreemen t will require th e co - operatio n and assistanc e of each o f them. 12.3 . No Book s An d Records Obligation s . An y and all obligation s o f Custome r relate d t o th e storag e o f books and records remains th e sole obligatio n of Customer. Company expressly disclaims any and all responsibilit y wit h respec t t o any regulator y or industr y requirement s wit h respec t t o th e Customer’ s obligation s relate d t o record keeping and maintenance. 12.4 . Survival . Thes e term s shall continu e in effec t unti l th e expiratio n or terminatio n o f th e Agreement , whichever is earlier. Th e provisions of thes e Terms of Servic e which should by thei r natur e survive expiratio n or terminatio n o f thi s Agreemen t shall so survive. 12.5 . Currency. Al l currencies referre d to herein are in U S dollars. 12.6 . Amendmen t and Waive r . Amendment s to any Agreement , includin g any schedule or attachmen t hereto , shall be enforceabl e only if in writin g and signed by authorize d representative s o f each o f th e applicabl e parties. A part y does no t waive any righ t under thi s Agreemen t by failin g t o insis t on complianc e wit h any o f th e terms of thi s Agreemen t or by failin g t o exercise any righ t hereunder. No waiver of any breach o f any terms or provisions of thi s Agreemen t is effectiv e or bindin g unless made in writin g and signed by th e authorize d representativ e of each o f th e parties. 12.7 . Assignmen t : No part y may assign an Agreemen t or any o f it s right s or obligation s hereunde r withou t th e prior writte n consen t o f th e othe r party , such consen t no t t o be unreasonabl y withheld. 12.8 . Inuremen t . Eac h Agreemen t inures to th e benefi t of and is bindin g on each o f th e partie s and thei r respectiv e successors and permitte d assignees , heirs and legal representatives . 12.9 . Forc e Majeure. Excludin g any obligation s of a part y t o pay monies due hereunder , neithe r part y will be responsibl e for any delay or failur e in its performanc e or obligation s under thi s Agreemen t due t o causes beyond it s reasonabl e control , including , withou t limitation , labor disputes , strikes , civil disturbances , governmen t actions , fire , floods , acts of God , war , terrorism , or othe r similar occurrences

 

 

2 6 /57 (each , a “Forc e Majeur e Event ” ); provided tha t th e part y affecte d by such Forc e Majeure Even t (a) is withou t faul t in causing such delay or failure , (b) notifie s th e othe r part y o f th e circumstance s causing th e Forc e Majeure Event , and (c) take s commerciall y reasonabl e step s t o eliminat e th e delay or failur e and resume performanc e as soon as practicable. 12.10 . Governin g Law . Eac h Agreemen t is made in New Yor k governed by and construe d in accordance wit h th e laws o f th e stat e o f New Yor k and th e federa l laws applicabl e therein . I n connectio n wit h each Agreement , th e Partie s attor n to th e jurisdictio n o f th e court s o f th e Stat e o f New York . 12.11 . Arbitratio n . An y and all controversies , claims , or dispute s arising ou t o f or relatin g t o each Agreement , or th e interpretation , performance , or breach thereof , includin g th e scope or applicabilit y o f thi s provision to arbitrat e ( “Dispute ” ) shall be referre d to senior managemen t o f th e partie s fo r good fait h discussion and resolution . I n th e even t th e partie s canno t resolve any Disput e informally , the n such Disput e shall be submitte d t o confidential , final , and bindin g arbitratio n wit h venue in New York , NY , pursuan t to th e rules o f th e America n Arbitratio n Association . 12.11.1 . Arbitratio n Procedur e . Th e arbitratio n shall tak e place in New York. Th e arbitratio n shall be befor e a single , neutra l arbitrato r who is a forme r or retire d New Yor k stat e or federa l cour t judge . Th e arbitratio n may be initiate d by any part y by giving t o th e othe r part y writte n notic e requestin g arbitration , which notic e shall also include a statemen t o f th e claims asserte d and th e fact s upon which th e claims are based . Custome r and Company each consen t t o thi s metho d o f disput e resolution , as well as jurisdiction , and consen t to thi s being a convenien t foru m fo r any such claim or disput e and waive any righ t it may have to objec t t o eithe r th e metho d or jurisdictio n fo r such claim or dispute. I n th e even t of any disput e among th e parties , th e prevailin g part y shall be entitle d to recover damages plus reasonabl e costs and attorney’ s fee s and th e decision o f th e arbitrato r shall be final , bindin g and enforceabl e in any court . 12.11.2 . Compellin g Arbitratio n . An y part y may bring an actio n in any cour t o f competen t jurisdictio n to compel arbitratio n under thi s Agreemen t and t o enforc e an arbitratio n award . Notwithstandin g thi s arbitratio n provision , eithe r part y shall be entitle d t o seek injunctiv e relie f (unless otherwis e preclude d by any othe r provisio n of thi s Agreement ) fro m any cour t o f competen t jurisdiction . I f fo r any reason an actio n proceeds in cour t rathe r tha n in arbitration , i t shall be brough t exclusivel y in a stat e or federa l cour t of competen t jurisdictio n locate d in New Yor k and th e partie s expressly consen t t o personal jurisdictio n and venue therei n and expressly waive any righ t t o tria l by jury. 12.11.3 . EAC H PART Y HERET O HEREB Y IRREVOCABL Y WAIVE S AL L RIGH T T O TRIA L B Y JUR Y IN AN Y LITIGATION , ACTION , PROCEEDING , CROSS - CLAIM , O R COUNTERCLAI M I N AN Y COUR T (WHETHE R BASE D ON CONTRACT , TORT , O R OTHERWISE ) ARISIN G OU T OF , RELATIN G T O O R I N CONNECTIO N WIT H (I) THI S AGREEMEN T O R TH E VALIDITY , PERFORMANCE , INTERPRETATION , COLLECTIO N O R ENFORCEMEN T HEREO F O R (II ) TH E ACTION S O F TH E PARTIE S IN TH E NEGOTIATION , AUTHORIZATION , EXECUTION , DELIVERY , ADMINISTRATION , PERFORMANC E OR ENFORCEMEN T HEREOF. 12.12 . Entir e Agreemen t : Eac h Agreemen t includin g all schedules thereto , constitute s th e entir e agreemen t betwee n th e partie s concernin g th e applicabl e subjec t matte r and supersedes all prior or collatera l agreements , communications , presentations , representations , understandings , negotiation s and discussions , oral or written.

 

 

2 7 /57 12.13 . Heading s : Heading s are inserte d for th e convenienc e o f th e partie s only and are no t t o be considere d when interpretin g thi s Agreement. 12.14 . Number and Gende r . Word s importin g th e singular mean th e plural and vice versa . Word s in th e masculine gender include th e feminin e gender and vice versa. 12.15 . Severability . I f any term , covenant , conditio n or provision o f an Agreemen t is held by a cour t or arbitrator(s ) of competen t jurisdictio n to be invalid , void or unenforceable , i t is th e parties ' inten t tha t such provision be reduced in scope by th e cour t or arbitrator(s ) only t o th e exten t deemed necessary by tha t cour t or arbitrator(s ) t o render th e provision reasonabl e and enforceabl e and th e remainde r o f th e provision s of thi s Agreemen t will in no way be affected , impaire d or invalidate d as a result. 12.16 . Notices . An y notic e required to be given pursuan t to an Agreemen t shall be in writin g and delivere d by electroni c mail , addressed to th e appropriat e party . An y notic e given is deemed t o have been received on th e dat e on which i t was delivere d if a business day , or, failin g that , on th e nex t business day. 12.17 . Testimonials . Custome r acknowledge s tha t DealMaker’ s material s may fro m tim e t o tim e include testimonials , real world experience s and insight s or opinion s abou t othe r people’ s experience s wit h DealMake r ( “Examples ” ) and tha t thi s informatio n is for illustratio n purposes only. Custome r furthe r acknowledge s tha t campaigns are affecte d by a variet y of factor s includin g bu t no t limite d t o time , externa l global events , varying business plans , differen t industries , and tha t thes e Example s are in no way a representatio n or guarante e tha t curren t or futur e customer s will achieve th e same or similar results. DealMake r Additiona l Term s Applicabl e to Certai n DealMaker.tec h Services : Thir d Part y Paymen t Processing , AML/KY C Backgroun d Checks , Accreditatio n Verificatio n an d Analytics , Marketin g Revie w Tool . Th e followin g section s of th e Term s onl y appl y to thos e DealMaker.tec h Customer s wh o purchas e th e specifi c service s noted. 13 . Backgroun d Checks : AML complianc e an d “clearing” DealMaker’ s integrate d AM L searches are tool s provided t o Custome r t o assis t Custome r (or it s agents ) in complying wit h applicabl e obligation s relate d t o KYC/AM L regulations. Company is no t engage d t o perfor m and will no t perform , and shall no t be deemed responsibl e fo r performing , any services relate d t o reviewin g or analyzin g search results , sources of fund s or wealth , or making any determinatio n as t o whethe r Custome r has complied wit h its obligation s under applicabl e anti - mone y launderin g legislatio n and regulation s or as t o whethe r any prospectiv e investo r poses any risk o f money laundering , terroris t financing , or othe r criminal or suspicious activity. Custome r and/o r it s agent s (includin g counsel or broker dealer as applicable ) shall bear primary responsibilit y t o determin e complianc e wit h applicabl e AM L legislatio n and regulatio n and shall assis t in th e clearin g o f any AM L exceptions. Customer’ s KYC/AM L clearin g obligations may require Custome r to undertak e effort s t o ensure tha t individua l and corporat e investor s provide applicabl e identit y verification , explanation s o f adverse regulatory/disciplinary/bankruptc y histor y or media reports , confirmatio n o f fals e positiv e results , or othe r document s or informatio n required for AM L purposes. DealMaker.tech’ s AM L searches are limite d by capabilitie s and design o f product s and services of th e thir d partie s DealMaker.tec h engages t o perfor m such searches , includin g limitation s on th e search methodology , matchin g logic , dat a sources , and informatio n accuracy.

 

 

2 8 /57 14 . Regulatio n D , 506(c) Accredite d Investo r Verification 14.1 . Custome r may engage eithe r Company or a thir d part y (each a "Reviewer " ) t o assis t Custome r in complying wit h applicabl e obligation s relate d to accredite d investo r verificatio n pursuan t t o Rule 506(c) o f Regulatio n D promulgate d under th e Securitie s Ac t ( “Regulatio n D” ). I f Reviewe r is Company , Company shall review investo r submissions and uploade d documentatio n on th e DealMake r porta l and make a determinatio n as t o whethe r Custome r has complie d wit h it s obligation s t o verif y accredite d investor s (as define d by Rule 501 o f Regulatio n D promulgate d under th e Securitie s Act ) ( “DM Verification ” ). Custome r acknowledge s tha t Company may contac t investo r fo r th e purpose o f accredite d investo r verificatio n and tha t Custome r has obtaine d investor’ s consen t t o receive communication s fro m Company and/o r DealMake r regardin g investor’ s accreditatio n verification. I f Reviewe r is a thir d party , Company will no t perform , and shall no t be deemed responsibl e for performing , any services relate d t o reviewin g or analyzin g search results , sources o f fund s or wealth , or making any determinatio n as t o whethe r Custome r has complie d wit h its obligation s to verif y accredite d investor s (as define d by Rule 501 o f Regulatio n D promulgate d under th e Securitie s Act). 14.2 . Company does no t make and hereby disclaims any warranty , expressed or implied wit h respec t t o th e informatio n provided throug h DM Verification. Company does no t guarante e or warran t th e correctness , merchantability , or fitnes s for a particula r purpose o f th e informatio n provided throug h DM Verification. Custome r acknowledge s that: 14.2.1 . DM Verificatio n shall no t include accreditatio n verificatio n o f non - U.S . investor s ( “foreig n accredite d investors ” ) who may be subjec t to foreig n accreditatio n verificatio n requirements. 14.2.2 . DM Verificatio n is conducte d using a variet y of thir d part y databas e searches , public record services and user submissions . Company canno t represen t or warran t tha t th e dat a provided will be 100% accurate , complet e or up to date. Th e dat a is tim e sensitiv e and Company provides th e informatio n as is . Publi c records may be incomplete , ou t of dat e or have errors. 14.2.3 . Th e result s o f a DM Verificatio n search for any typ e o f personal verificatio n should be interprete d cautiously. Crimina l and civil record search result s may no t provide a complet e or accurat e representatio n o f a person' s criminal backgroun d or civil judgmen t history . Records are availabl e for th e majority , bu t no t all , of state s and counties . Records can be incomplete , contai n inaccuracie s or fals e matches. 14.2.4 . Company is no t a consumer reportin g agency as define d in th e Fai r Credi t Reportin g Ac t ( "FCRA " ), and th e informatio n in DealMaker.tech’ s database s has no t been collecte d in whole or in par t fo r th e purpose o f furnishin g consumer reports , as define d in th e FCRA. CUSTOME R SHAL L NO T US E DM VERIFICATIO N SERVICE S A S A FACTO R I N (1) ESTABLISHIN G A N INDIVIDUAL' S ELIGIBILIT Y FO R PERSONA L CREDI T O R INSURANC E O R ASSESSIN G RISK S ASSOCIATE D WIT H EXISTIN G CONSUME R CREDI T OBLIGATIONS , (2) EVALUATIN G A N INDIVIDUA L FO R EMPLOYMENT , PROMOTION , REASSIGNMEN T O R RETENTION , O R (3) AN Y OTHE R PERSONA L BUSINES S TRANSACTIO N WIT H ANOTHE R INDIVIDUAL. 14.2.5 . Custome r assumes all risks arising from its use or disclosure o f DM Verificatio n informatio n Company provides t o Customer. 14.2.6 . DM Verificatio n Service s are provided in Englis h only . Custome r acknowledge s tha t dat a provided in any othe r languag e will require a certifie d translatio n which Custome r shall pay for , or

 

 

2 9 /57 alternatively , rejec t th e investment. 14.2.7 . Notwithstandin g anythin g in th e DealMaker Term s o f Service , Custome r agrees tha t i t shall indemnify , defen d and hold harmless Company , its officers , directors , employees and agents , and th e entitie s tha t have contribute d informatio n to or provided services fo r DM Verificatio n agains t any and all direc t or indirec t losses , claims , demands , expenses (includin g attorneys ' fee s and cost ) or liabilitie s of whateve r natur e or kind arising ou t o f Customer’ s use o f th e informatio n provided by DM Verificatio n and Customer’ s use or distributio n of any informatio n obtaine d therefrom , excep t fo r losses caused exclusivel y and directl y by Company’s gross negligence , fraud , bad fait h or wilfu l misconduct. 14.2.8 . TH E DM VERIFICATIO N SERVICE S AN D INFORMATIO N AR E PROVIDE D "AS - IS " AN D "A S AVAILABLE " AN D NEITHE R COMPAN Y NO R AN Y O F IT S DAT A SUPPLIER S REPRESENT S O R WARRANT S THA T TH E INFORMATIO N I S CURRENT , COMPLET E O R ACCURATE . COMPAN Y HEREB Y DISCLAIM S AL L REPRESENTATION S AN D WARRANTIE S REGARDIN G TH E PERFORMANC E O F TH E WEBSIT E O R OU R SERVICES , AN D TH E ACCURACY , CURRENCY , OR COMPLETENES S O F TH E INFORMATION , INCLUDIN G (WITHOU T LIMITATION ) AL L WARRANTIE S O F MERCHANTABILIT Y O R FITNES S FO R A PARTICULA R PURPOSE. Custome r acknowledge s tha t thes e disclaimers are an integra l par t o f thi s Agreement , and tha t Company would no t provide DM Verificatio n services i f Custome r did no t agree to thes e disclaimers. 15 . Third - Part y Paymen t Processin g 15.1 . Fo r the processin g of electroni c payment s (includin g bank - to - ban k payments , credi t card , etc.) , the Compan y may submi t material(s ) an d or application(s ) to partne r third - part y paymen t processor s o n behal f of the Customer . Upo n approval , th e Compan y wil l enabl e th e partne r processors ’ intak e form/syste m withi n th e Customer’ s onlin e DealMaker.tec h portal. 15.2 . Custome r acknowledge s tha t Company makes no guarante e tha t Custome r will be approved by any thir d party , and approval is subjec t to each thir d party’ s sole discretion , including , t o th e exten t applicable , it s due diligenc e and complianc e policie s and procedures . Use o f paymen t processing service(s) is furthe r contingen t on th e mutua l acceptanc e by Company and Custome r o f each thir d party’ s respectiv e terms , service agreements , and fee s (includin g fee s fo r merchan t processing accoun t and ongoin g maintenance , which may be applie d on a per - issuer basis) t o be include d as an addendu m t o thi s Agreemen t and/o r presente d to Custome r for acceptanc e a t th e tim e Custome r engages thir d party , and as update d fro m tim e t o time . Not e holdback periods may apply fo r electroni c paymen t transfe r methods , as enforce d by processors. Company shall no t be deemed responsibl e fo r delivery or any interruptio n or cessatio n o f any services provided by any thir d party. 15.3 . Al l transaction s mus t clear prior t o being made availabl e t o Customer. U S Federa l regulation s provide investor s wit h 60 days t o recall funds. Custome r remains liabl e t o immediatel y and withou t protestatio n or delay retur n any fund s recalle d by investor s fo r whateve r reason. 15.4 . Custome r agrees tha t fund s deposite d int o Customer’ s Accoun t shall remain in Customer’ s Accoun t and shall no t be withdraw n by Custome r or a person authorize d by Customer , fro m th e Customer’ s Accoun t prior t o Closing .

 

 

3 0 /57 15.5 . Company reserves th e righ t to deny , suspend or terminat e participatio n o f any investo r in th e offerin g to th e exten t Company , in its sole discretion , deems i t advisabl e or necessary t o comply wit h applicabl e laws or t o eliminat e practice s tha t are no t consisten t wit h laws , rules , regulations , bes t practices , or th e protectio n of its reputation. 15.6 . Holdbacks. Th e Custome r hereby acknowledge s tha t certai n term s apply in respec t o f electroni c or credi t card paymen t t o cover agains t charge - backs and/o r rescission ( “Chargeback ” ). Chargebac k windows can vary in duratio n and amount. For thi s reason , a holdback is applie d t o all fund s processed online and deposite d in Custome r Paymen t Processin g Account. Company shall have th e right , in it s sole discretion , to revise th e amoun t and duratio n of any holdback. Unless otherwis e advised in writin g prior t o th e Effectiv e Date , th e holdback is 5.00 % of payment s processed , fo r a ninet y (90) day period. 15.7 . I n th e even t tha t a Customer’ s investo r disputes , throug h thei r financia l institution , a subscriptio n paymen t made using electroni c or credi t card payment s (“Chargebac k Dispute” ) , Custome r acknowledge s that: 15.7.1 . I f th e Chargebac k Disput e is initiate d by a subscriber befor e th e Custome r has accepte d th e subscriber’ s investment , th e Company shall refun d th e subscriber , and no furthe r actio n will be taken. 15.7.2 . I f th e Chargebac k Disput e is initiate d by a subscriber afte r th e Custome r has accepte d th e subscriber’s investment , th e Company shall: 15.7.2.1 . notif y th e Custome r withi n twenty - fou r (24) hours o f th e Chargebac k Dispute ; and 15.7.2.2 . Provid e Custome r wit h fiv e (5) business days to resolve th e Chargebac k Disput e directl y wit h th e subscriber. 15.7.3 . If , afte r (5) business days , th e subscriber and Custome r fai l t o resolve th e Chargebac k Disput e , Company will submi t evidence contestin g th e Chargebac k Dispute , on behal f o f th e Customer . 15.7.4 . Custome r agrees t o promptl y notif y Company upon receip t o f any Chargebac k Disput e notifications , provide all necessary informatio n and documentatio n requeste d by th e Company t o suppor t th e Chargebac k Disput e and refrai n from directl y engagin g wit h th e paymen t processor or any othe r thir d part y regardin g th e Chargebac k Dispute. 15.7.5 . Custome r acknowledge s tha t contestin g a Chargebac k Disput e may require th e Company t o share certai n transactio n detail s wit h thir d part y paymen t processors. Th e Custome r agrees t o (a) only share informatio n necessary to contes t th e Chargeback Disput e and (b) comply wit h all applicabl e dat a protectio n and privacy laws when handlin g Custome r dat a and providin g Custome r dat a t o Company relate d t o th e Chargebac k Dispute. 15.7.6 . Fo r th e avoidanc e o f doubt , althoug h th e Company will make bes t effort s t o represen t th e Custome r in contestin g a Chargebac k Dispute , Company shall no t be liabl e fo r and bares no responsibilit y whatsoeve r for : 15.7.6.1 . Th e outcom e o f th e Chargebac k Dispute ;

 

 

3 1 /57 15.7.6.2 . An y fee s or penaltie s imposed by paymen t processors or financia l institution s as a resul t of th e Chargebac k or Chargebac k Dispute ; or 15.7.6.3 . An y loss o f revenue or business opportunit y resultin g fro m th e Chargebac k or Chargebac k Dispute. 16 . Analytics 16.1 . Dat a and Analytic s . Company reserves th e righ t to collec t dat a relatin g t o Customer’ s usage o f th e Softwar e during th e Term . Withou t limitin g th e generalit y o f th e foregoing , Company may collec t informatio n relatin g to : (i) Softwar e use (includin g th e number o f users , duratio n o f usage sessions , and number of transaction s initiate d or complete d using th e Software) ; (ii) error informatio n (includin g error messages and any feedbac k tex t submitte d via any in - applicatio n feedbac k form) ; (iii) performanc e dat a (includin g softwar e run time) ; (iv) user experienc e informatio n (includin g tim e spen t on each page o f th e user interface) ; and (v) license statu s informatio n (includin g confirmatio n o f license activatio n status) . Custome r shall have th e righ t to access and use dat a relatin g t o it s usage o f th e Softwar e fo r it s own purposes , as availabl e throug h th e online dashboar d or othe r report s provided by Company. 17 . Marketin g Revie w Tool 17.1 . DealMaker’ s integrate d thir d part y marketin g review too l is made availabl e t o Custome r (or it s agents ) to review Customer’ s marketin g material s and assis t Custome r in complyin g wit h applicabl e marketin g regulation s ( “Marketin g Revie w Tool ” ). I f reviewer is Company , Custome r may reques t tha t a DealMake r Entit y assistan t Custome r wit h uploadin g documentatio n int o th e Marketin g Review Too l bu t Company will no t perform , and shall no t be deemed responsibl e fo r performing , any services relate d t o reviewin g or analyzin g search results. Company is no t engage d t o perfor m and will no t perform , and shall no t be deemed responsibl e fo r making any determinatio n as t o whethe r Custome r has complie d wit h it s obligation s under applicabl e marketin g regulation s based on informatio n provided by th e Marketin g Review Tool. Custome r and/o r its agent s (if so designated ) shall be responsibl e fo r reviewin g th e results , and determinin g complianc e wit h applicabl e marketin g legislatio n and regulations. 17.2 . Use of th e Marketin g Review Too l is contingen t upon Customer’ s acceptanc e o f thir d part y provider’s term s and fee s (i f applicable ) to be presente d to th e Custome r a t th e tim e Custome r initiate s engagemen t wit h th e Marketin g Review Tool. 17.3 . Company does no t make and hereby disclaims any warranty , express or implied wit h respec t t o th e informatio n provided throug h th e Marketin g Review Tool. Custome r acknowledge s that (i) Company does no t guarante e or warran t th e correctness , merchantabilit y or fitnes s fo r a particula r purpose o f th e informatio n provided throug h Marketin g Review Tool ; (ii) Marketin g Review Too l is PROVIDE D "AS - IS " AN D "A S AVAILABLE " AN D NEITHE R COMPAN Y NO R AN Y O F IT S THIR D PART Y SUPPLIE R REPRESENT S O R WARRANT S THA T TH E INFORMATIO N I S CURRENT , COMPLET E O R ACCURATE ; and (iii) Custome r assumes all risks arising fro m Company or it s agents ’ use o f th e Marketin g Review Tool. 17.4 . Notwithstandin g anythin g in th e DealMake r Term s o f Service , Custome r agrees tha t i t shall indemnify , defen d and hold harmless Company , its officers , directors , employees and agents , and affiliate s tha t have contribute d informatio n to or provided services relate d t o th e Marketin g Review Too l agains t any and all direc t or indirec t losses , claims , demands , expenses (includin g attorneys ' fee s and

 

 

3 2 /57 cost ) or liabilitie s o f whateve r natur e or kind arising ou t of Customer’ s or it s agent’ s use o f the Marketin g Review Tool and Customer’ s use or distributio n of any informatio n obtaine d therefrom. Enterpris e Custome r Terms Fo r DealMake r Customer s wh o hav e signe d an Enterpris e Orde r Form , th e Term s apply , as wel l as th e followin g additiona l terms. If yo u are no t an Enterpris e Customer , thes e additiona l terms d o no t appl y to you: 18 . Definitions “Enterpris e Customer ” means a Custome r tha t has entere d int o an Enterpris e Orde r Form. “License ” means th e Company’ s gran t to Enterpris e Custome r o f a non - exclusive , non - transferabl e license fo r use of th e Softwar e by an unlimite d number of individua l users. Company will designat e a DealMake r Enterpris e Accoun t t o Enterpris e Customer s wit h a License. “Intende d Purpose ” For th e purposes of thi s section , Intende d Purpos e also includes usage by issuers invite d by Enterpris e Custome r to use Enterpris e Customer’ s Enterpris e Accoun t fo r th e above - describe d purpose . “Software ” as i t pertain s t o thi s section , shall also include any relate d printed , electroni c and online documentation , manuals , trainin g aids , user guides , syste m administratio n documentatio n and any othe r file s tha t may accompany th e Softwar e licensed by Enterpris e Customer. 19 . SLA 19.1 . I t is expressly understoo d and agreed tha t th e Company shall determin e it s capacit y t o offe r consultin g services , only t o such exten t and at such time s and places as may be mutuall y convenien t t o th e parties. Company shall be fre e t o provide similar services t o such othe r business enterprise s or activitie s as th e Company may deem fi t withou t any limitatio n or restrictio n whatsoever. 20 . License d Intermediar y Terms. If Enterpris e Custome r i s a license d Intermediar y (as define d below) , th e followin g additiona l terms apply: A . Book s and Records Book s and Records. An y and all obligation s of Custome r relate d t o th e storag e o f books and records includin g bu t no t limite d to , obligation s in accordance wit h Section s 17(a)(1) , 17(a)(3) and 17(a)(4) o f th e Securitie s Exchang e Ac t o f 1934 ( "Exchang e Act" or "SEA" ) remain th e sole obligatio n o f Custome r and it s clients. Company expressly disclaims any and all responsibilit y wit h respec t t o any regulator y or industr y requirement s wit h respec t t o th e Custome r and its clients ’ obligation s relate d t o record keeping and maintenance.

 

 

3 3 /57 B . Regulatio n C F Offerings i . Obligation s o f th e Custome r (actin g as an Licensed Intermediary): Wher e Custome r using th e Softwar e has been engage d by it s clien t t o (i) ac t as a Broker - Deale r and a licensed Intermediar y pursuan t to Regulatio n CF , 17 C.F.R . Par t 227 (th e “Regulatio n CF” ), or (ii) ac t as a registere d Fundin g Porta l and licensed Intermediar y pursuan t t o Regulatio n CF, in a transactio n involvin g th e offe r or sale of securitie s in relianc e on sectio n 4(a)(6) o f th e Securitie s Ac t (15 U.S.C . 77d(a)(6)) , Custome r shall comply wit h th e requirement s o f Regulatio n CF ( “License d Intermediary ” ). Fo r greate r certainty , thi s includes th e requirement s tha t Custome r shall: 1 . Registe r wit h th e Securitie s and Exchang e Commissio n ( “Commission ” ) as eithe r (i) a broker or (ii) a Fundin g Porta l under sectio n 15(b) of th e Exchang e Ac t (15 U.S.C . 78o(b)) , pursuan t t o Regulatio n CF , § 227.400; 2 . I f registerin g wit h th e Commission as a Fundin g Portal , refrai n from: a . Offerin g investmen t advice or recommendations; b . Solicitin g purchases , sales or offer s t o buy th e securitie s displaye d on it s platform; c. Compensat e employees , agents , or othe r persons for such solicitatio n or based on th e sale o f securitie s displaye d or reference d on th e DealMake r platform ; or d . Hold , manage , possess , or otherwis e handle investo r fund s or securities. (Regulatio n CF , § 227.300(2)(c) ) 3 . Verif y tha t no director , office r or partne r of Customer , or any person occupying a similar statu s or performin g a similar functio n has a prohibite d “financia l interes t in an issuer” as th e ter m is define d in Regulatio n CF , § 227.300(b); 4 . Have a reasonabl e basis fo r believin g tha t Customer’ s clien t seeking t o initiat e an offerin g o f securitie s under th e Regulatio n has a reasonabl e basis fo r keeping accurat e records o f securit y holders and is no t disqualifie d to offe r securitie s pursuan t t o Regulatio n CF , § 227.301(c); 5 . Make availabl e t o SE C and to th e public , th e disclosur e required by Regulatio n CF , § 227.20 1 and § 227.303; 6 . Provid e educationa l material s to all investors , pursuan t t o Regulatio n CF , § 227.302(b) ; 7 . Verif y tha t Customer’ s client s are no t disqualifie d from offerin g securitie s pursuan t t o Regulatio n CF , § 227.100(b); 8 . Onl y accep t an Investo r int o an offerin g afte r (1) th e Investo r opens an accoun t wit h Customer , (2) th e Investo r consent s t o electroni c delivery and th e review of th e educationa l material s regardin g th e offerin g

 

 

3 4 /57 and (3) Custome r has a reasonabl e basis to believe tha t th e Investo r meet s th e investmen t limitation s in Regulatio n CF pursuan t t o Regulatio n CF , § 227.30 2 and § 227.303.; 9 . Provid e communicatio n channels by which Investor s who have opened account s can communicat e wit h one anothe r and wit h representative s of th e Custome r abou t offering s made availabl e throug h th e Custome r or it s clients , pursuan t to Regulatio n CF , § 227.303(c) ; and 10 . Provid e Investor s th e opportunit y to reconsider thei r investmen t decision and t o cancel thei r investmen t commitmen t unti l 48 hours prior to th e new offerin g deadline , pursuan t t o Regulatio n CF § 227.304 11 . Provid e Investor s wit h notic e o f materia l changes as described in Regulatio n CF , § 227.30 4 ( “Notice ” ), includin g bu t no t limite d to notic e tha t th e investor' s investmen t commitmen t will be canceled unless th e investo r reconfirm s his or her investmen t commitmen t withi n fiv e business days o f receip t o f th e Notice. 12 . I f registerin g wit h th e Commissio n as a Fundin g Portal , comply wit h th e Conditiona l Saf e Harbor provision s in Regulatio n CF , § 227.402 ; and 13 . I f registerin g wit h th e Commissio n as a Fundin g Portal , implemen t writte n policie s and procedures reasonabl y designe d t o achieve complianc e wit h federa l securitie s laws and th e rules and regulation s thereunder , relatin g t o it s business as a Fundin g Portal , as required by Regulatio n CF , § 227.402(a). 14 . I f registerin g wit h th e Commissio n as a Fundin g Portal , manage any reconciliatio n or reportin g question s wit h th e Issue r directly. ( “Regulatio n C F Requirements ” ) Fo r greate r certainty , th e partie s acknowledg e tha t Company shall bear no responsibilit y fo r or liabilit y whatsoeve r in connectio n wit h th e Regulatio n CF Requirement s and Custome r shall be solely responsibl e fo r ensuring tha t Custome r and its client s comply wit h Regulatio n CF . Furthe r Assurances. Whe n Custome r or its client s use th e Softwar e fo r an offerin g in reliance on Regulatio n CF , Custome r shall verif y that: 1 . Th e issuer has file d a For m C Offerin g Statemen t wit h th e SEC , as described in Regulatio n CF , § 227.203(a) , prior t o making an offerin g to th e public pursuan t t o Regulatio n CF; 2 . Issue r complies wit h marketin g and advertisin g requirement s o f Regulatio n CF , § 227.204; 3 . Provide r is notifie d o f any investo r who , having received Customer' s Notic e pursuan t t o Regulatio n C F § 227.304 , opts - ou t o f thei r investmen t and whose investmen t mus t therefor e be refunded; 4 . Signe d and funde d subscriptio n agreements , execute d by investor s who have cleared AML/KYC , are reviewed by th e Custome r prior to countersignature; 5 . Th e aggregat e amoun t o f all securitie s sold to all Investor s by th e Issue r in a single offerin g during a 12 mont h period shall no t exceed $5,000,000 ; and

 

 

3 5 /57 6 . Non - accredite d Investor s (as define d by Rule 501 , CFR § 230.301 ) investin g in th e offerin g pursuan t t o Regulatio n CF do no t exceed th e maximum investmen t permitte d in a 12 mont h period per Regulatio n CF , § 227.100. Payment s To Escrow. Custome r acknowledge s tha t it shall direc t all payment s fro m Investor s in respec t o f a Regulatio n CF offerin g t o Issuer’ s Escro w Account. Customer is responsibl e fo r (1) applyin g fo r escrow accoun t wit h a DealMaker - selecte d Escro w Provider ; (2) configurin g instruction s on th e DealMaker platfor m t o ensure tha t all payment s are directe d t o th e appropriat e Escro w Account ; (3) using th e DealMaker.tec h applicatio n to manage closings pursuan t to th e DealMake r user guide and (4) coordinatin g wit h th e escrow company managin g th e Escro w Accoun t t o disburse fund s upon reques t fro m th e issuer. C . Regulatio n A/A + Offerings Obligation s of th e Customer. Wher e Custome r has been engage d by it s clien t as a broker - deale r in connectio n wit h an offerin g pursuan t to Regulatio n A , 17 C.F.R . Part s 230.251 - 230.26 3 ( “Regulatio n A” ), th e Custome r shall verif y that: 1 . Custome r shall complet e a reasonabl e due diligenc e ensuring no anti - frau d or civil liabilitie s provision s o f federa l securitie s laws have been violated. As such , Custome r shall maintai n a Due Diligenc e fil e includin g th e Issue r Agreemen t (or Sellin g Agreement) ; organizational , constating , financial , and administrativ e suppor t t o accep t such Issue r engagement ; and Issuer’ s Offerin g Memoranda , Subscriptio n Document . Further , th e Due Diligenc e folde r shall evidence th e collectio n o f such document s in a for m as described in Customer’ s Writte n Supervisor y Procedure s (“WSPs”). Custome r shall creat e and maintai n custome r files , includin g new account , accredite d investor , or qualifie d purchaser questionnaires , includin g Investo r attestations. 2 . Issue r has file d a For m 1 - A Offerin g Statemen t wit h th e SEC , as described in Regulatio n A , § 230.25 2 and § 239.90 , prior t o making an offerin g to th e public pursuan t t o Regulatio n A; 3 . Issue r complies wit h marketin g and advertisin g requirement s o f 17 C.F.R . Par t II , Securitie s and Exchang e Commissio n and th e SRO , FINRA , includin g bu t no t limite d to , settin g up th e issuer landin g page fo r th e Offerin g website . 4 . Signe d and funde d subscriptio n agreements , execute d by investor s who have cleared AML/KYC , are reviewed by th e Custome r and a recommendatio n is made by Custome r t o Issue r regardin g countersignature. 5 . Prio r to enablin g countersignature: a . Issue r has provided writte n confirmatio n to Custome r tha t i t has BlueSk y notic e file d in each state , as applicabl e dependin g on th e state s in which th e securitie s are offere d and whethe r th e offerin g is conducte d pursuan t to Tie r 1 or Tie r 2 o f Regulatio n A § 230.252 ; and b . Fo r th e firs t 25 days o f an offering , Custome r will monito r investor s unti l th e issuer has provided writte n confirmatio n tha t all stat e BlueSk y requirement s have been me t fo r th e 53 U S jurisdictions.

 

 

3 6 /57 6 . Issue r and Issue r counsel have take n th e step s required t o review non - U S investors , as required by th e applicabl e internationa l regulations . DEALMAKE R SECURITIE S LL C (“DMS” ) CUSTOME R TERMS Fo r an y DealMake r Securitie s Customer , th e followin g additiona l terms als o apply: Broker - Deale r Agreement. Thes e terms and condition s fo r DealMaker Securitie s LLC ( “DM S Terms ” ), along wit h th e Orde r Form and schedules attache d t o th e Orde r Form creat e a bindin g agreemen t by and betwee n th e Custome r who has signed th e Orde r For m ( “DM S Customer ” ), and DealMake r Securitie s LLC , a FINRA - registere d Broker - Deale r ( “DMS ” )(th e “DM S Agreement ” ), as o f th e Effectiv e Date. DM S Custome r may also be considere d a Custome r o f th e othe r DealMaker Entities , dependin g on th e services th e Custome r purchases. DM S is a registere d broker - deale r providin g services in th e equit y and deb t securitie s market , includin g offering s conducte d via SE C approved exemption s such as Rules 506(b) and 506(c) o f Regulatio n D under th e Securitie s Ac t o f 1933 (th e “Securitie s Act” ); Regulatio n A under th e Securitie s Ac t ( “Regulatio n A” ); Regulatio n CF under th e Securitie s Ac t ( “Regulatio n CF” ) and others. DM S Custome r is offerin g securitie s directl y to th e public in an offerin g exemp t fro m registratio n under eithe r Regulatio n A or Regulatio n C F (th e “Offering ” ). DM S Custome r recognizes th e benefi t o f having DM S provide advisory and othe r services as described herein , on th e term s hereof. Capitalize d term s used bu t no t define d in thes e DM S Terms have th e meanings se t fort h in th e Orde r For m or the Terms. I n th e even t o f a conflic t betwee n th e Term s and th e DM S Terms , th e DM S Term s shall control . 1 . Appointmen t & Termination DM S Custome r hereby engages and retain s DM S to provide operation s and complianc e services a t Customer’ s discretion / subjec t t o DMS’ s approval as a FINRA - registere d broker - dealer. DM S Custome r acknowledge s tha t DM S obligation s hereunde r are subjec t t o (a) DMS’ s acceptanc e o f DM S Custome r as a custome r followin g DMS’ s due diligenc e review and (b) i f applicable , issuance by th e Financia l Industr y Regulator y Authorit y (“FINRA” ) Departmen t of Corporat e Finance o f a no objectio n lette r fo r th e Offering. I n additio n to th e Terminatio n Reasons , DM S may terminat e thi s DM S Agreemen t if , a t any tim e afte r th e commencemen t o f DMS’ s due diligenc e o f th e potentia l DM S Customer , DM S reasonabl y believes tha t is no t advisabl e t o proceed wit h th e contemplate d Offering. 2 . Service s DM S will perfor m th e services liste d on th e Orde r Form in connectio n wit h th e Offerin g (th e “Services ” ).

 

 

3 7 /57 3 . Fees A s paymen t for th e Services , DM S Custome r shall pay to DM S such fee s as described in th e Orde r Form . Transaction - base d Fee s includin g equit y are earned once th e DM S Customer’ s investor s are reviewed by DMS . DM S Customer’ s acceptanc e of an investo r complete s DMS' s service obligatio n a t which tim e fee s are due and payable to DMS. DM S Custome r authorize s DM S t o deduc t any fee s owing directl y fro m th e DM S Customer’ s bank accoun t or third - part y escrow accoun t (i f Custome r has engage d an escrow provider). In th e even t thi s DM S Agreemen t is terminate d in accordance wit h paragrap h 1 o f th e DM S Terms , any advance agains t accountabl e expenses anticipate d t o be incurred , shall be refunde d t o th e exten t said expenses are no t actuall y incurred as o f th e terminatio n date. 4 . Regulator y Compliance a . DM S Custome r and all it s third - part y providers shall at all time s (i) comply wit h direc t reasonabl e request s of DMS : (ii) maintai n all required registration s and licenses , includin g foreig n qualification , i f necessary ; and (iii) pay all relate d fee s and expenses (includin g th e FINR A corporat e filin g fee ) in each case tha t are necessary or appropriat e to perfor m thei r respectiv e obligation s under thi s Agreement . Custome r shall comply wit h and adhere to all DM S policies and procedures. b . DM S Custome r shall a t all time s disclose all compensatio n received by any thir d part y promoter s (includin g bu t no t limite d t o social media influencers ) in connectio n wit h th e Offering , in accordance wit h applicabl e rules and regulations. c. DM S Custome r and DM S will have shared responsibilit y fo r th e review o f all documentatio n relate d t o th e Offerin g bu t th e ultimat e discretio n abou t acceptin g an Investor will be th e sole decision o f th e DM S Customer . Eac h Investo r will be considere d to be tha t of th e DM S Custome r and NO T tha t o f DMS . DM S Custome r shall advise DM S of each Investo r who shall no t be accepte d int o th e Offering. d . DM S Custome r and DM S shall each supervise and trai n thei r respectiv e employees , agents , representative s and independen t contractor s in th e performanc e o f function s allocate d t o the m pursuan t t o th e terms of thi s DM S Agreement. e . DM S Custome r may reques t DM S assistanc e wit h preparatio n o f th e For m C fo r th e Offerin g and guidanc e on filin g th e For m C for th e Offerin g in th e SEC - Edga r syste m bu t DM S Custome r is ultimatel y responsibl e fo r th e review and filin g th e Form C relate d to th e Offering. I n th e even t tha t DM S Custome r file s a Form C - W or For m 1 - A - W withdrawin g its filin g in relatio n t o it s Offering , DM S Custome r agrees t o th e promp t retur n t o investor s of all fund s received from investors. f. DM S Custome r agrees t o  Provid e accurate , complete , and timel y informatio n throug h th e online for m provided . Th e filin g creatio n timelin e will commence only upon receip t of all required information  Review all filing s wit h thei r securitie s counsel t o ensure accuracy befor e each EDGA R filing . DealMake r Securities , LLC is no t liable for errors , omissions , or inaccuracie s in filing s due t o incomplet e or inaccurat e informatio n provided by th e Customer.  Submi t requeste d revisions withi n th e specifie d review windows , as additiona l rounds or delays may incur furthe r fee s and impac t timelines.

 

 

3 8 /57 g . I f eithe r DM S Custome r or DM S receives materia l communication s (orally or in writing ) fro m any Governmenta l Authorit y or Self - Regulator y Organizatio n wit h respec t t o thi s Agreemen t or th e performanc e o f eithe r party’ s obligation s thereunder , th e receivin g part y shall promptl y provide said communication s t o th e othe r party , unless such notificatio n is expressly prohibite d by th e applicabl e Governmenta l Authority . h . DM S Custome r is responsibl e for th e preparatio n of financia l statement s using th e going concern basis o f accountin g and required disclosure s alertin g investor s abou t any underlyin g financia l condition s and management’ s plans t o address them. DM S Custome r acknowledge s tha t i t mus t maintai n a t leas t six month s of operatin g capita l and updat e investo r disclosures t o reflec t any change in operatin g capita l below thi s threshold. DM S Custome r acknowledge s tha t thes e update s t o investor s disclosure s will be made in accordance wit h th e advice of th e DM S Customer’ s professiona l advisors. i. DM S Custome r is solely responsibl e for confirmin g tha t DM S Custome r is authorize d t o use or wholly owns all DM S Custome r intellectua l propert y used in connectio n wit h th e Offering. 5 . Rol e of DMS DM S Custome r acknowledge s and agrees tha t it relies on it s own judgmen t in engagin g DM S Services . DM S Custome r understand s and agrees tha t (i) DM S is no t assuming any responsibilit y fo r th e DM S Customer’ s underlyin g business decision to pursue any business strateg y or effec t any Offering ; (ii) DM S makes no representation s wit h respec t to th e qualit y o f any investmen t opportunit y in connectio n wit h th e Offerin g (iii) DM S does no t guarante e th e performanc e to or o f any Investo r in th e Offering , (iv) DM S does no t guarante e th e performanc e of any thir d part y which provides services t o DM S or DM S Custome r wit h respec t t o th e Offering) , (v) DM S will make commercially reasonabl e effort s t o perfor m th e Service s pursuan t t o thi s DM S Agreement , (vi) DM S is no t an investmen t adviser , does no t provide investmen t advice and does no t recommend securitie s transaction s and any display o f dat a or othe r informatio n abou t th e Offering , does no t constitut e a recommendatio n as t o th e appropriateness , suitability , legality , validity , or profitabilit y of any Offering , (vii) DM S Service s in connectio n wit h thi s DM S Agreemen t should no t be construe d as creating a partnership , join t venture , or employer - employe e relationshi p of any kind , (ix) Service s in connectio n wit h thi s DM S Agreemen t tha t require registratio n as a FINRA/SE C registere d broker - deale r shall be performe d exclusivel y by DM S or an associate d person o f DMS , (x) DM S is no t providin g any accounting , legal or ta x advice , and (xi) will use “commercially reasonabl e efforts ” t o perfor m Service s pursuan t to thi s DM S Agreemen t bu t tha t thi s shall no t give rise t o any express or implie d commitmen t by DM S to purchase or place any o f th e DM S Customer’ s securities . DM S Custome r explicitl y acknowledge s tha t DM S shall no t and is under no dut y t o recommend DM S Customer’ s securit y and DM S is no t sellin g DM S Customer’ s securit y t o retai l investors . 6 . Indemnification Insufficien t Fundin g Fo r A Claim. I f th e foregoin g indemnificatio n or reimbursemen t is judiciall y determine d to be unavailabl e or insufficien t to fully indemnif y and hold harmless DM S as an indemnifie d part y agains t a Claim , th e DM S Custome r will contribut e to th e amoun t paid or payable by an indemnifie d part y as a resul t of such Claim in such proportio n as is appropriat e t o reflec t th e relativ e financia l benefit s o f th e Offerin g t o th e Company , on th e one hand , and th e indemnifie d party , on th e othe r hand ; or i f such allocatio n is no t permitte d by applicabl e law , in such proportio n as is appropriat e t o reflec t no t only th e relativ e benefit s bu t also th e relativ e faul t o f th e DM S Custome r on th e one hand and

 

 

3 9 /57 th e indemnifie d part y on th e othe r hand wit h respec t to such Claim as well as any othe r relevan t equitabl e considerations . Notwithstandin g th e precedin g paragraphs , in no even t will th e aggregat e amoun t to be contribute d by all indemnifie d partie s toward s all Claims and DM S Custome r losses , exceed th e actua l fee s received by DM S pursuan t to th e DM S Agreement. 7 . Witnes s Reimbursement I n th e even t tha t DM S or any of its employees , officers , directors , affiliate s or agent s are requeste d or required to appear as a witnes s or subpoenae d to produce document s in any actio n in which th e DM S Custome r or any o f it s affiliate s is a part y t o and DM S is not , th e DM S Custome r will reimburse DM S fo r all expenses incurred by it s employees , officers , directors , affiliate s or agent s in preparin g fo r and appearin g as a witnes s or producin g documents , includin g th e reasonabl e fee s and disbursement s o f legal counsel. 8 . Notices An y notice s required by th e agreemen t shall be in writin g and shall be addressed , and delivere d via email at th e email address include d in th e Orde r Form. 9 . Confidentialit y an d Mutua l Non - Disclosure: Nothin g containe d herein shall be construe d to prohibi t th e SEC , FINRA , or othe r governmen t entitie s fro m obtaining , reviewing , and auditin g any information , records , or dat a o f eithe r part y containin g Confidentia l Information , as define d in thi s Agreement . Disclosure and Retentio n O f Confidentia l Information. DMS is hereby expressly permitte d by DM S Custome r to disclose Confidentia l Informatio n to thir d partie s involved in th e Offerin g contemplate d herein , provided tha t DM S Custome r has been informe d o f such disclosure in advance and has approved such disclosur e (eithe r orally or in writing) . DM S may retai n one copy o f th e DM S Customer’ s Confidentia l Informatio n t o th e exten t necessary to comply wit h industry - specifi c documen t retentio n rules and othe r regulations , and in an archived compute r backup syste m store d as a resul t o f automate d backup procedures for complianc e purposes. DM S Custome r acknowledge s tha t regulator y record - keeping requirements , as well as securitie s industr y bes t practices , require DM S t o maintai n copies o f practicall y all dat a and communications , even afte r thi s Agreemen t is terminated . 10 . Miscellaneous 10.1 . FINR A Arbitratio n Rule s Appl y T o DM S Customer s . Notwithstandin g anythin g t o th e contrar y in thi s Agreement , AN Y DISPUTE, CONTROVERSY , CLAI M O R CAUS E O F ACTIO N BETWEE N TH E DM S Custome r AN D DM S DIRECTL Y OR INDIRECTL Y RELATIN G T O O R ARISIN G OU T O F THI S AGREEMENT , O R BREAC H THEREOF required or allowe d t o be conducte d by th e Financia l Industr y Regulator y Authority’ s (“FINRA” ) rules (includin g th e FINR A Code o f Arbitratio n Procedur e fo r Industr y Disputes ) shall be arbitrate d in accordance wit h such rules . An y arbitratio n shall be befor e a neutra l arbitrato r or panel o f arbitrator s selecte d under th e FINR A Neutra l Lis t Selectio n Syste m (or any successor system) and in a foru m designate d by th e Directo r o f FINR A Disput e Resolutio n or any member of FINR A Staf f t o whom such Directo r has delegate d authority. I n general accordance wit h

 

 

4 0 /57 FINR A Rule 2268 , by signing an arbitratio n agreemen t th e partie s agree as follows: 10.1.1 . Thi s Agreemen t contain s a pre - disput e arbitratio n clause . 10.1.2 . Excep t as otherwis e provided in thi s Agreement , all partie s t o thi s Agreemen t are giving up th e righ t to sue each othe r in court , includin g th e righ t to a tria l by jury , excep t as provided by th e rules o f th e arbitratio n foru m in which a claim is filed. 10.1.3 . Arbitratio n awards are generall y fina l and binding ; a party’ s abilit y t o have a cour t reverse or modif y an arbitratio n award is very limited. 10.1.4 . Th e abilit y o f th e partie s to obtai n documents , witnes s statement s and othe r discovery is generall y more limite d in arbitratio n tha n in cour t proceedings. 10.1.5 . Th e arbitrator s do no t have t o explain th e reason(s) fo r thei r award unless , in an eligibl e case , a join t reques t for an explaine d decision has been submitte d by all partie s t o th e panel a t leas t 20 days prior t o th e firs t schedule d hearing date. 10.1.6 . An y panel o f arbitrator s may include a minorit y of arbitrator s who were or are affiliate d wit h th e securitie s industry. 10.1.7 . Th e rules o f some arbitratio n forum s may impose tim e limit s fo r bringin g a claim in arbitration . In some cases , a claim tha t is ineligibl e for arbitratio n may be brough t in court. 10.1.8 . Th e rules o f th e arbitratio n foru m in which th e claim is filed , and any amendment s thereto , shall be incorporate d int o thi s Agreement. 10.1.9 . As provided in FINR A Rule 2268 , no person shall bring a putativ e or certifie d class actio n t o arbitration , nor seek t o enforc e any pre - disput e arbitratio n agreemen t agains t any person who has initiate d in cour t a putativ e class action ; or who is a member o f a putativ e class who has no t opte d ou t of th e class wit h respec t t o any claims encompasse d by th e putativ e class actio n until : (i) th e class certificatio n is denied ; or (ii) th e class is decertified ; or (iii) th e DM S Custome r is excluded fro m th e class by th e court . Suc h forbearanc e to enforc e an agreemen t t o arbitrat e shall no t constitut e a waiver o f any right s under thi s Agreemen t excep t t o th e exten t state d herein. 10.2 . DM S Custome r Identifyin g Informatio n . Pursuan t t o th e requirement s o f Titl e II I o f Pub . L . 107 - 56 (th e US A Patrio t Act) , as amended (th e “Patrio t Act” ) and othe r applicabl e laws , rules and regulations , DM S is required t o obtain , verif y and record informatio n tha t identifie s th e DM S Custome r which informatio n includes th e name and address of th e DM Custome r and othe r informatio n tha t tha t allows DM S to identif y th e DM S Custome r in accordance wit h th e Patrio t Ac t and othe r such laws , rules and regulations. 10.3 . Affiliate s of DM S : DM S Custome r acknowledge s tha t agreement s wit h DM S affiliate s (also referre d to as DealMaker Entitie s in thi s Agreement) , if any , shall be governed by th e DM S affiliates ’ applicabl e terms o f service and exclusive remedy for DM Reach t o recover any Losses agains t Custome r in respec t of th e Agreement.”

 

 

4 1 /57 DEALMAKE R REACH , LL C CUSTOME R TERMS Fo r usag e of DealMake r Reac h Services , the followin g additiona l terms appl y to yo u (“Reac h Terms”): 1. TH E SERVICES 1.1. Overview . DM Reach shall provide certai n digita l marketin g services as described on th e Orde r For m (collectively , th e “DM Reac h Services ” ) subjec t to th e followin g additiona l term s and condition s o f thi s Agreement. 1.2. Custome r shall provide DM Reach wit h all reasonabl y necessary materials , company history , financia l statements , business and marke t description , bios o f principal s and key employees , customers , products , services , ta x returns , financia l models , systems , pricing , intellectua l property , technica l specifications , access t o social media channels , and all othe r pre - condition s necessary fo r providin g th e DM Reach Service s (th e “Information ” ). 1.3. Th e partie s acknowledg e and agree tha t all such Informatio n comes fro m Custome r and tha t DM Reach does no t creat e such Informatio n and relies on its accuracy , ownershi p and property. Custome r represent s and warrant s t o th e DM Reach tha t all such Informatio n is accurate , tru e and correc t and that , in th e even t Informatio n changes during th e Reach Term (as define d below) , Custome r shall provide update d Informatio n t o DM Reach. Custome r furthe r acknowledge s tha t DM Reach bases it s DM Reach Service s on such Information. 2. RELATIONSHIP 2.1. DM Reach and Custome r are independen t contractor s in all matter s relatin g t o DM Reach Services . DM Reach is no t a broker - dealer , investmen t advisor , investmen t bank or financia l advisor . Nothin g in thi s Agreemen t shall be construe d t o creat e any partnership , join t venture , agency , employment , or any othe r relationshi p betwee n th e parties . Excep t for DM Reach’s provisio n o f DM Reach Service s t o Custome r in connectio n wit h th e Marketin g Spend , neithe r part y has th e authorit y t o ac t on behal f o f or t o ente r int o any contract , incur any liability , or make any representatio n on behal f o f th e othe r party , unless otherwis e expressly agreed t o in writin g signed by bot h parties . DM Reach has exclusive contro l over it s employees , representatives , agents , contractor s and subcontractors , and none o f th e foregoin g shall be deemed t o be employees of Custome r or eligibl e to participat e in any employmen t benefi t plans or othe r benefit s availabl e to Custome r employees . Custome r shall exercise no immediat e contro l over th e actua l means and manner o f DM Reach’s performanc e under thi s Agreement , excep t t o th e exten t tha t Custome r

 

 

4 2 /57 expect s th e satisfactor y completio n of th e DM Reach Service s under thi s Agreement . Eac h part y is responsibl e fo r it s respectiv e employees , representatives , agents , contractor s and subcontractors , and th e foregoing’ s complianc e wit h th e terms of thi s Agreement . DM Reach is no t and shall no t be deemed t o be a dealer , broker , finder , intermediar y or otherwis e entitle d t o any brokerage , finder’s , or othe r fe e or commission in connectio n wit h any purchase or sale of securitie s resultin g fro m DM Reach’s general marketin g services . DM Reach shall be solely responsibl e fo r all local , stat e and federa l ta x liabilitie s arising fro m any income received under thi s Agreement , whethe r cash or stock. 3 . FEE S AND EXPENSES 3.1. Custome r is responsibl e for all cost s and expenses incurred on Customer’ s behal f in connectio n wit h th e provision o f th e DM Reach Service s ( “Expenses ” ). An y Expense s outsid e o f th e agreed budge t are subjec t to Customer’ s prior writte n approval . Custome r is also responsibl e fo r it s own cost s and expenses incurred in connectio n wit h th e Offerin g on th e platform , and Custome r acknowledge s and agrees tha t th e platfor m charges fee s relate d t o th e Offerin g as set fort h in th e platform’ s term s and conditions . Thes e platfor m fee s are completel y unrelate d to DM Reach’s compensatio n as se t fort h in thi s Agreement. 3.2 . Budge t an d Marketin g Spend . 3.2.1 . As par t o f engagin g DM Reach , Custome r is authorizin g and directin g DM Reach t o allocat e th e marketin g and advertisin g budge t expende d during th e Customer’ s marketin g campaign ( “Marketin g Spend ” ). 3.2.2 . Partnershi p Program. Th e Partnershi p Progra m is an invitatio n based program in which Customer s may have th e opportunit y t o purchase advertisin g slot s in a variet y o f publication s subjec t to Customer’ s agreemen t to th e program terms and condition s (“Partnershi p Program” ) as par t o f th e Marketin g Spend. Custome r acknowledge s tha t i t may be eligibl e fo r th e DealMake r Partnershi p Program , however DM Reach has sole contro l o f whethe r Custome r is admitte d t o th e Partnershi p Program . Custome r acknowledge s tha t DM Reach manages th e program and charges fee s for th e Partnershi p Program. Custome r explicitl y acknowledge s tha t DM Reach shall have sole discretio n t o terminat e Customer’ s participatio n in th e Partnershi p Progra m fo r non - complianc e wit h Partnershi p Progra m terms and conditions . 3.2.3 . For Customer s eligibl e for th e Partnershi p Program , DM Reach shall have discretio n t o allocat e Marketin g Spen d during th e marketin g campaign , excep t fo r fee s in connectio n wit h th e placemen t of partnershi p advertisement s ( “Partnershi p Fees. ” ) Onc e invoiced , Partnershi p Fee s are non - refundable . 3.2.4 . Custome r shall approve Partnershi p Fee s in accordance wit h required timelines by eithe r (a) executin g an authorizatio n for each placemen t ( “Partnershi p Insertio n Order ” ) or (b) pre - approval of a bi - weekl y budge t for all Partnershi p Fee s ( “Approve d Partnershi p Budget ” ) as follows: (a) Partnershi p Insertio n Orde r : Custome r shall authoriz e DM Reach in writin g via executio n of electroni c confirmatio n to incur Partnershi p Fees. DM Reach shall no t incur Partnershi p Fee s withou t th e writte n approved Partnershi p Insertio n Orde r fro m Customer . Custome r acknowledge s tha t Custome r must execut e Partnershi p Insertio n Orde r and

 

 

4 3 /57 prepay DM Reach fo r all Partnershi p Fee s befor e DM Reach places an advertisemen t on Customer’ s behalf . (b) Approve d Partnershi p Budge t : On a bi - weekly basis , Custome r shall provide writte n approval of a Partnershi p Budget. DM Reach shall have ful l discretio n t o allocat e Partnershi p Fee s for th e placemen t of partnershi p advertisement s up t o th e bi - weekl y Approve d Partnershi p Budget . Al l Marketin g Spen d up to th e agreed budge t amoun t will be charged directl y t o Customer’ s provided paymen t method . 3.2.5 . Custome r acknowledge s tha t DM Reach or its affiliate s (a) may have an ownershi p interes t in some providers o f placemen t advertisements , detail s of which are availabl e upon Customer’ s request ; and (b) as a resul t of DM Reach relationship s and negotiate d term s wit h various vendors , certai n benefit s may accrue to DM Reach or its affiliate s includin g bu t no t limite d t o additiona l revenue fro m certai n partnershi p placements . Unless Custome r expressly instruct s otherwise , DM Reach may use it s discretio n in deployin g Marketin g Spend , includin g bu t no t limite d t o approved Partnershi p Fees . 3.3 . Custome r Representation s . Custome r further acknowledge s that: 3.3.1 . Retur n on Marketin g Spend , Partnershi p spend and/o r advertisin g spend ( “Return ” ) can vary greatl y wit h each Offerin g or campaign and may diffe r fro m historica l averages , bot h wit h respec t to DM Reach fee s and fee s for any thir d part y partner s introduce d by DM Reach or it s affiliates. Historica l data , averages and informatio n are no t a representatio n o f wha t can be achieved in any particula r Offerin g or campaign as each Offerin g and campaign is unique and influence d by numerous externa l factor s includin g bu t no t limite d t o th e Customer’ s industry , th e Customer’ s managemen t team , th e economic environmen t a t th e tim e o f an Offerin g and th e fund s availabl e for Marketin g Spen d and Partnershi p Fees . 3.3.2. Ther e are many marketin g strategie s and tools availabl e t o raise capital. Custome r is responsibl e for selectin g th e capita l raising approach tha t is bes t suite d t o Customer’ s business . DM Reach and it s affiliate s canno t predic t and do no t guarante e tha t a marke t participan t will attai n a particula r result . Th e success o f an Offerin g depends on th e Customer’ s own effort , motivation , commitmen t and follow - through. 3.3.3. Custome r may use th e marketin g asset s create d pursuan t t o thi s Agreemen t fo r purposes othe r tha n raising capital. For example Marketin g Spen d and Partnershi p Fee s may be used t o creat e valuabl e Custome r brand collateral , brand positioning , investo r mailin g list s and investo r analytics , regardless o f th e amoun t o f capita l raised. Customer shall be solely responsibl e fo r using th e marketin g asset s create d pursuan t to thi s Agreemen t fo r purposes othe r tha n raising capital . 3.3.4. DM Reach Service s may involve , among othe r things , communicatin g wit h thir d part y publisher s to secure advertisin g space for DM Reach Custome r ( "Publishers " ). Custome r agrees and warrant s tha t i t shall not , directl y or indirectly , or throug h a thir d party , contac t said Publisher s by any means and shall no t interfer e with , circumvent , attemp t t o circumvent , avoid or bypass DM Reach' s communicatio n wit h Publishers , interfer e wit h th e relationshi p betwee n DM Reach and Publisher s fo r th e purpose o f gainin g any benefit , whethe r such benefi t is monetar y or otherwis e or re - sell paid media or advertisin g placement s t o DealMake r Customer s withou t th e express writte n consen t of DM Reach .

 

 

4 4 /57 3.4 Payment . Th e Custome r will be billed as set ou t in th e Terms. A t th e end o f th e mont h in which th e DM Reach Service s are delivered , paymen t will be automaticall y debite d fro m th e Customer’ s bank accoun t or credi t card on file , wit h a receip t to be automaticall y delivered. Invoice s will be availabl e fo r th e Custome r to review upon request. In respec t o f Partnershi p Fee s only , such fee s shall be due and payable on or befor e th e due dat e on th e invoice ( "Du e Date" ) using AC H or th e Client’ s pre - authorize d paymen t metho d on file, unless state d otherwis e on th e Custome r Partnershi p Insertio n Order . DealMake r reserves th e righ t to charge th e Client’ s pre - authorize d paymen t metho d on fil e fo r th e amoun t o f th e Partnershi p Fe e invoice in Arrear s (as define d below) . 3.5 . Pause d DM Reac h Services. Custome r may reques t tha t DM Reach Service s (and correspondin g Fees ) be paused ( “Paus e Date” ). Custome r shall pay (a) any Partnershi p Fee s incurred prior t o th e Paus e Date ; and (b) DM Reach’s monthl y service fee s for sixt y (60) days fro m th e Paus e Date. Whe n a campaign is paused , DM Reach may place th e campaign in a queue behind othe r marketin g Campaign s tha t are ready t o launch ( “Launc h Queue ” ). Custome r acknowledge s tha t DM Reach may no t have staf f availabl e to relaunch a paused campaign on th e Customer’ s dat e o f choice. Custome r campaign may be relaunche d once Customer’ s campaign reaches th e beginnin g o f th e Launch Queue . 3.6 . Unpai d Invoice s . Notwithstandin g anythin g to th e contrar y in th e Agreement , in th e even t tha t Custome r fail s t o pay all outstandin g invoices pursuant to thi s Agreement, Custome r agrees tha t i t shall pay th e ful l amoun t o f th e outstandin g invoices from th e proceeds o f th e Offering , withi n seven (7) days o f th e disbursemen t o f such proceeds to th e Customer , plus applicabl e interest. I n th e even t tha t a Custome r paymen t fo r any DM Reach fe e fails , Custome r has fourtee n (14) days t o re – connec t thei r bank accoun t or credi t card and submi t paymen t for any outstandin g invoices. I n th e even t tha t paymen t fo r all outstandin g invoices is no t cleared withi n 14 days , all partnershi p advertisement s and DM Reach Service s will be paused unti l paymen t is received and th e Customer’ s bank accoun t or credi t card authorizatio n is restored , excep t for non - paymen t of Partnershi p Fee s by Due Date , which shall resul t in immediat e cancellatio n o f th e advertisin g placements. In th e even t tha t Custome r fail s t o pay any invoice due and payable ( “Arrears ” ) to DM Reach and such Arrear s are no t cleared or Custome r accoun t is no t brough t back int o good standin g withi n 30 days , all DM Reach Service s pursuan t t o thi s Agreemen t will be paused and Customer’ s campaign will be placed a t th e end o f th e Launch Queu e unti l paymen t is received in full. Onc e paymen t is received in full , Customer’ s campaign will move forwar d throug h th e Launch Queue. Custome r acknowledge s that marketin g assets create d usin g DM Reac h Service s shal l no t b e release d to Custome r unti l al l outstandin g invoice s an d Arrear s are pai d i n full. DM Reach shall have th e righ t t o registe r a lien on any asset s or propert y o f th e Custome r in respec t o f fee s owed and outstandin g to DM Reach for more tha n sixty (60) days. 4. WOR K PRODUC T OWNERSHIP An y copyrightabl e works , ideas , discoveries , inventions , patents , products , or othe r informatio n develope d in whole or in par t by DM Reach in connectio n wit h th e DM Reach Service s provided t o Custome r (collectivel y th e "Wor k Produc t " ) will be work made for hire and th e exclusive propert y o f th e Customer . To th e exten t deemed no t to be work made for hire , DM Reach hereby assigns all Wor k Produc t and any and all intellectua l propert y right s relate d theret o t o Customer . Upon request , DM Reach will execut e all document s necessary t o confir m or perfec t Customer’ s exclusive ownershi p o f th e Work Product . Withou t limitin g th e generalit y o f th e foregoing , all asset s and othe r creativ e works create d by DM Reach in th e provisio n o f th e DM Reach Service s and all dat a and analytic s in connectio n wit h th e DM Reach Service s shall be th e exclusive propert y o f th e Customer . Notwithstandin g any provision in thi s Agreemen t to th e contrary , (a) Work Produc t shall no t include , and DM

 

 

4 5 /57 Reach shall be allowe d t o use , any and all audienc e dat a whatsoeve r including , withou t limitation , lookalik e data , investo r dat a and digita l footprints , targete d investor s and thei r dat a and digita l footprints , and th e like and (b) Custome r shall no t be permitte d t o use Work Produc t on competin g “Technolog y Platforms ” withou t th e writte n consen t of DM Reach. A s used in thi s paragraph , “Technolog y Platforms ” means capita l raising platform s tha t would complet e or replace any par t of th e DealMake r technolog y offering , includin g alternativ e order - takin g paymen t technology , and does no t include technolog y offering s tha t DealMake r does no t provide . 5. ADDITIONA L INDEMNIFICATION Notwithstandin g and withou t limitatio n o f any othe r provision o f thi s Agreement , and notwithstandin g whethe r such losses or damages are foreseeabl e or unforeseeable , DM Reach shall no t be liabl e under any circumstance s whatsoeve r fo r any breach by any othe r Custome r Partner , which ter m includes thir d part y consultants , agents , corporations , partnerships , trust s or any othe r entitie s involved in th e placemen t o f partnershi p advertisements , of securitie s laws or othe r rule o f any securitie s regulator y authority , fo r los t profit s or fo r special , indirect , incidental , consequential, exemplary , aggravate d or punitiv e losses or damages . Custome r agrees tha t it s liabilit y hereunde r shall be absolut e and unconditional, regardless o f th e correctnes s o f any representation s o f any thir d partie s and regardless of any liabilit y o f thir d partie s t o DM Reach or any o f th e Indemnifie d Partie s and shall accrue and become enforceabl e withou t prior demand or any othe r preceden t actio n or proceeding. Custome r shall ensure tha t all agreement s wit h th e Customer’ s Partner s include th e followin g indemnity: “Partne r agrees t o indemnify , defen d and hold Custome r and any curren t or forme r officers , directors , employees , subsidiaries , affiliates , partners , agent s or contractor s ( “Representatives ” ) harmless fro m any and all costs , demands , damages , losses , fees , expenses and liabilitie s (includin g attorneys ’ fee s and costs) ( “Losses ” ) as a resul t of any thir d partie s demands , regulator y investigations , causes o f action , losses , damages , liabilities , costs , fines , claims , class action s and expenses (includin g reasonabl e attorney’ s fees ) ( “Claims ” ) in connectio n wit h th e services provided and th e conten t prepared by th e Partne r for th e Offering , unless Custome r is proven t o have been grossly negligent. ” Th e Partie s hereby agree tha t DM Reach shall be a thir d part y beneficiar y o f such indemnit y provisions in th e Customer’ s agreemen t wit h Partne r in respec t of any “Losses” suffere d by DM Reach relate d t o th e Partner’ s services in respec t of th e Offering . Th e Partie s furthe r agree tha t thi s remedy shall no t be th e sole and exclusive remedy for DM Reach to recover any Losses agains t Custome r in respec t o f th e Agreement.” Custome r furthe r agree s tha t wit h respec t to Publisher s wh o are retaine d by DM Reac h o n Customer' s behal f to plac e Customer' s advertisement s i n thir d part y publications , Custome r shal l indemnif y an d hol d harmles s Publisher s an d thei r Representative s wit h respec t to an y Claim s arisin g fro m Custome r conten t provide d directl y or indirectl y to Publisher . 6. GENERAL 6.1. Custome r No Unauthorize d Usage . Custome r acknowledge s tha t DM Reach Customer s mus t use DealMake r as th e platfor m fo r thei r Offering , and Custome r mus t execut e a separat e Orde r for m wit h Novatio n Solution s Inc. , o/ a DealMaker. 6.2 . Custome r acknowledge s tha t it is engagin g in a self - hoste d raise. Custome r is responsibl e fo r carrying ou t th e self - hoste d capita l raise and bears primary responsibilit y fo r th e success o f it s own Offering. Custome r understand s tha t DM Reach does no t and canno t make any guarantee s abou t

 

 

4 6 /57 Customer’ s campaign o f Offering . No languag e or provision in thi s Agreemen t or any relate d proposal shall be construe d as a guarante e or warrant y of any typ e by DM Reach , including , withou t limitation , th e success of th e Customer’ s campaign or th e Offering , th e amoun t o f fund s raised in th e Offering , th e cost s associate d wit h th e capita l raised in an Offerin g or anythin g relatin g t o th e scope o f work or qualit y o f work by DM Reach on th e Customer’ s campaign . 6.3 . Custome r understand s and acknowledge s tha t all changes t o marketin g asset s and marketin g collateral , includin g bu t no t limite d to , th e Customer’ s websit e fo r th e Offerin g and all press releases , mus t be reviewed according t o th e terms o f Customer’ s broker - deale r engagemen t agreement , where Custome r has retaine d a broker - dealer .

 

 

4 7 /57 DEALMAKE R TRANSFE R AGENT LL C O/ A “DEALMAKE R SHAREHOLDE R SERVICES ” CUSTOME R TERMS I f you are DealMake r Shareholde r Service s Customer , th e followin g additiona l term s also apply t o you . Thes e term s and condition s for DealMake r Transfe r Agen t LLC , O/ A “DealMake r Shareholde r Service s (“DMT A Terms”) , along wit h th e Orde r Form and schedules attache d t o th e Orde r Form creat e a bindin g agreemen t by and betwee n th e Custome r who has signed th e Orde r For m (“DMT A Customer”) , and DMTA , as o f th e Effectiv e Dat e (“DMT A Agreement”). DMT A Custome r may also be considere d a Custome r o f th e othe r DealMake r Entities , dependin g on th e services th e DMT A Custome r purchases. Wher e thes e DMT A Term s replace a provision in th e Terms , i t is so stated. I n th e even t o f a conflic t betwee n these DMT A Term s and th e Terms , th e DMT A Term s shall control: 1 . Mandat e DMT A is hereby appointe d as th e service provider for th e registe r o f securitie s issued by th e DMT A Custome r via th e online platfor m hoste d at dealmaker.tec h or as requeste d by th e DMT A Customer , othe r classes of Securitie s tha t may have been issued , from tim e t o tim e by th e DMT A Custome r (th e “Securities”) . DMTA’ s appointmen t shall tak e effec t upon receip t of a DMT A Custome r Boar d resolutio n in a for m acceptabl e to DMT A and upon DMTA’ s acceptanc e of its mandat e as articulate d in th e DMT A Custome r Boar d resolution. Th e Securitie s may be issued by th e DMT A Custome r subjec t t o Regulatio n A , Regulatio n C F or Regulatio n D o f th e Securitie s Ac t of 1933. In some cases , in th e even t th e partie s agree , DMT A may ac t as sub - registe r fo r th e Securities , whereas th e registe r fo r certai n othe r o f th e DMT A Customer’ s securitie s may be held by a differen t transfe r agent. DMT A may also ac t as DMT A Customer’ s Dividen d Distributin g Agent , in th e even t th e DMT A Custome r confirm s in writin g such additiona l reques t (th e “DMT A Services”). 2 . DMT A Ter m & Terminatio n Term Notwithstandin g anythin g t o th e contrar y in any Agreement , th e DMT A Service s provided pursuan t t o thi s DMT A Agreemen t shall have a term of thirty - si x (36) month s (“DMT A Term”) , commencing on th e Effectiv e Date , which DMT A Ter m shall automaticall y renew fo r successive three - yea r term s unless DMT A Custome r provides writte n notic e t o DMT A at leas t sixty days (60) prior t o th e completio n o f th e DMTA Term. Termination Notwithstandin g anythin g t o th e contrar y in thi s Agreement , th e followin g terminatio n provision s shall apply t o DMT A Services: Earl y Termination.

 

 

4 8 /57 I n th e even t tha t DMT A Custome r terminate s thi s DMT A Agreemen t prior t o th e end o f th e DMT A Ter m (“Earl y Termination”) , DMT A Custome r shall pay th e DMT A a break fe e (“Brea k Fee.”) Th e Brea k Fe e shall be equivalen t t o th e remainin g fee s due for th e balance of th e DMT A Term , pursuan t t o thi s DMT A Agreement , calculate d as follows : (a) Month s remainin g in th e DMT A Term shall be equivalen t t o th e DMT A Ter m minus the number o f month s of th e DMT A Ter m expired up to th e Earl y Terminatio n dat e requeste d by DMT A Custome r (“Month s Remaining”); (b) Month s Remainin g multiplie d by record maintenanc e fee s (pro - rate d monthly ) plus Month s Remaining multiplie d by th e Shareholde r Service s Managemen t Porta l Monthl y Fee . Thi s DMT A Agreemen t may be terminate d by DMT A (i) if th e DMT A Custome r is in breach o f thi s Agreemen t and does no t remedy such breach within sixty (60) days notice , in writing , or (ii) upon ninet y (90) days ' notice , in writing , being given to DMT A Customer. Thi s DMT A Agreemen t may be terminate d by eithe r th e DMT A Custome r or DMT A immediatel y upon notificatio n or writte n confirmatio n of any bankruptcy , receivership , or dissolutio n o f eithe r party. Withi n thirt y (30) days of th e terminatio n of thi s DMT A Agreemen t and provided tha t th e DMT A Custome r is in compliance wit h all o f th e terms of thi s Agreement , DMT A shall deliver over t o th e DMT A Custome r (or t o such thir d party as th e DMT A Custome r otherwis e requests ) th e Registers , share certificate s and any othe r document s connecte d wit h th e business o f th e DMT A Custome r as reasonabl y requested . 3 . Statu s of DMTA DMT A is a stoc k transfe r agen t registere d wit h th e Securitie s and Exchang e Commission. DMT A will no t custody , hold , manage , possess or otherwis e handle securities. DMT A is no t providin g escrow services t o DMT A Customer. 3.1 . DMT A Customer’ s Securitie s and Appointmen t o f DMTA “Securities” , as used in thi s Agreemen t shall mean th e equity , deb t and revenue share securities , includin g any warrant s and options , o f DMT A Custome r issued. DMT A Custome r affirms , represent s and warrant s tha t i t has provided to DMT A all applicabl e dat a concernin g it s Securitie s t o be covered by thi s Agreemen t and associate d holder positions. DMT A Custome r hereby certifie s tha t it has take n such actio n required t o appoin t DMT A t o provide th e services set ou t in thi s Agreement , which actio n shall remain valid so long as thi s Agreemen t is in forc e and effect . 3.2 . Managemen t o f Holders Registers , Records and Transfe r o f Securitie s DMT A shall keep and maintai n an electroni c registe r of holders and registe r o f transfer s o f Securities . Subjec t to any laws and governmen t regulation s in forc e fro m tim e t o tim e and t o any general or

 

 

4 9 /57 particula r instruction s as may from tim e to tim e be given to i t by th e DMTA Customer , and subjec t t o any othe r writte n agreemen t applicabl e to DMT A from tim e t o time , DMT A shall: 1.1 . make such entrie s fro m tim e t o tim e in th e Registe r as are necessary in order tha t th e account s of each holder o f Securitie s be properly and accuratel y kep t and transfer s o f Securitie s properly recorded; 1.2 . record on th e Registe r th e particular s o f all transfer s o f Securities; 1.3 . furnis h to th e DMT A Customer , upon th e reasonabl e reques t and a t th e expense o f the DMT A Customer , such statements , lists , entries , informatio n and material , concernin g transfers and othe r matters , as are maintaine d or prepared by it pursuan t hereto ; and shall be th e sole person authorize d to add , modif y or remove Securitie s fro m th e Register. 3.3 . Shar e Certificates 1 . Securitie s issued followin g th e dat e hereo f shall be held in “book entry ” for m only . “Boo k entry ” means tha t ownershi p interest s shall be recorded and kep t only on th e books and records o f DMT A Custome r (including , i f applicable , in Direc t Registratio n Statemen t form). No physical certificate s shall be issued or received by DMTA. Th e Securitie s covered by thi s Agreemen t are no t DT C eligibl e unless explicitl y state d otherwis e in th e Orde r Form. 2 . Th e DMT A Customer hereby confirm s tha t it has reviewe d it s articles/certificat e o f incorporation , by - laws and other governin g document s and such document s allow fo r th e issuance o f book - based securities . Th e DMT A Custome r acknowledge s and agrees tha t upon receip t o f writte n instruction s from th e DMTA Custome r to th e DMTA , DMT A may issue such book - base d positions , as represente d by DR S advice or otherwise , on all new share issuances and/o r transfers. I f a shareholde r or it s representativ e request s a change to a physical share certificate , DMT A shall convert said share certificat e to book entr y form and make th e requeste d change. 3 . Th e DMT A Custome r shall no t issue any share certificat e withou t such certificat e being countersigne d by DMT A in its capacit y as Transfe r Agent . 4 . I n th e case o f th e loss , thef t or destructio n o f any share certificate , befor e a replacemen t certificat e will be issued , DMT A mus t receive : a . evidence satisfactor y t o DMT A of th e loss , thef t or destructio n o f such certificate ; and

 

 

5 0 /57 b . a lette r of indemnit y fro m th e shareholde r and th e DMT A Custome r in a for m acceptabl e t o DMTA . 5 . Th e DMT A Customer represent s and warrant s tha t all Securitie s t o be covered by thi s Agreemen t tha t are issued and outstandin g on th e Effectiv e Date are issued and outstandin g as full y paid and non - assessabl e and tha t wit h respec t t o futur e allotment s and issuances o f Securities , DMT A shall be entitle d to regard such Securitie s as full y paid and non - assessable. 6 . DMT A shall be entitle d t o trea t as valid any shareholde r data , share certificat e or DR S positio n fo r Securitie s purportin g t o have been issued or prepared by or on behal f o f th e DMT A Custome r prior to th e Effectiv e Dat e o f thi s Agreemen t and th e DMT A Custome r shall indemnif y and save harmless DMTA , it s officers , directors , employees , successors , assigns and agent s from any liabilit y or claims tha t may be made agains t the m by reason o f DMT A treatin g any such shareholde r data , certificat e or DR S positio n as valid . DMT A is hereby expressly relieve d from any dut y or obligatio n t o (a) correc t incomplet e shareholde r dat a prepared on behal f o f th e DMT A Custome r prior t o th e Effectiv e Dat e o f thi s Agreement ; and (b) verif y th e signatur e or th e authorit y t o sign of th e person or persons purportin g to sign any such certificat e on behal f o f th e DMT A Custome r or on behal f o f any other institutio n tha t was appointe d th e Transfe r Agen t o f th e Securitie s prior t o the Effectiv e Date . 4 . Dividen d Distributio n Agen t (if requeste d b y DMT A Customer) 4.1 . I n th e even t tha t DMT A Custome r appoint s DMT A as agen t t o distribut e t o holders o f Securitie s dividend s as may from tim e to tim e be declared by th e board o f director s o f the DMT A Customer , DMT A agrees to accep t such appointmen t subjec t to terms t o be agreed upon by th e parties . 4.2 . DMT A Custome r shall provide securit y holder informatio n t o DMT A in order fo r DMT A Custome r t o contac t such holders and obtai n th e informatio n necessary t o make dividen d payment s or pay amount s owing under deb t securities . 4.3 . I f directe d by DMT A Customer , DMT A may provide administrativ e reconciliatio n services fo r investo r ta x form completio n bu t DMT A Custome r is solely responsibl e fo r submittin g required ta x form s t o th e IRS . 4.4 . I f DMT A Custome r chooses to appoin t DMT A as th e Dividen d Distributio n Agen t in accordance wit h thi s section , DMT A Custome r acknowledge s tha t DMT A is no t th e dividen d distributio n paying agent. DMT A shall disburse dividend s in accordance herewit h upon receiving writte n direction fro m th e DMT A Custome r and a certifie d copy o f a resolutio n of th e board o f director s o f th e DMT A Custome r declarin g such dividend s bu t all payment s shall be made by DMT A Custome r fro m DMT A Custome r funds .

 

 

5 1 /57 4.5 . A t leas t one business day befor e th e dat e on which such dividend s are payable , the DMT A Custome r shall deliver to DMT A by electroni c transfe r or certifie d cheque , funds sufficien t t o pay such dividends , or make such othe r arrangement s fo r th e provision of fund s as may be agreeabl e betwee n th e parties . 4.6 . I f any fund s are received by DMT A in th e form o f uncertifie d cheques , DMT A shall be entitle d t o delay th e tim e fo r release o f such fund s unti l such uncertifie d cheques shall be determine d t o have cleared th e financia l institutio n upon which th e same are drawn . 5 . Othe r Services 5.1 . DMT A shall perfor m such othe r services normally inciden t wit h th e role o f Transfe r Agent and Registra r or Dividen d Disbursin g Agent , if applicable , as th e DMT A Custome r may reques t in writin g fro m tim e t o tim e for such fee s as may be agreed t o from tim e to tim e betwee n th e parties , in accordance wit h the term s hereof . 5.2 . DMT A may , in connectio n wit h th e services described in thi s Agreement , engage , a t DMTA’ s sole expense (unless agreed in writin g by DMT A Customer) , withou t notice , subcontractors , agent s and service providers in it s sole and absolut e discretion. DMT A Custome r agrees tha t DMT A is authorize d t o appoin t such individual s and entitie s and do all othe r acts required t o carry ou t th e Agreement. 5.3 . DMT A may be required t o perfor m othe r work on behal f o f th e DMT A Custome r wit h respect t o new or existin g industr y regulation s (for example , relate d to provincia l Securitie s Acts , th e U.S. Securitie s Exchang e Ac t o f 1934 (“1934 Act”) , th e Interna l Revenue Code , stat e escheatmen t or unclaime d propert y legislatio n or other) . DMT A is hereby authorized , a t its discretio n and a t th e expense of th e DMT A Customer , where applicable , to perfor m such work. 5.4 . Th e DMT A Custome r hereby acknowledge s and authorize s DMT A t o use th e DMT A Customer’ s online DealMake r Shareholde r online porta l to communicat e wit h shareholder s fo r th e purpose o f deliverin g th e DMT A shareholde r Service s described herein , includin g bu t no t limited t o (i) uploadin g book entr y statements and (2) respondin g t o shareholde r actio n requests . 5.5 . Th e DMT A Custome r acknowledges and agrees tha t DMT A is no t responsibl e fo r th e escheatmen t o f unclaime d property, includin g securitie s or fund s issued and/o r held by DMT A as a resul t o f DMT A performin g its services as Transfe r Agen t and Disbursin g Agen t (“Unclaime d Property”), which may be required under any stat e laws or th e 1934 Act . DMTA’ s role is limite d t o completin g tw o los t holder searches pursuan t t o SE C rule 17 Ad - 1 7 (“Los t Holder Searches”) . Th e DMT A Custome r acknowledge s tha t i t is solely responsibl e for all obligation s wit h respec t t o Unclaime d Propert y tha t is in th e possession o f DMT A at any tim e and agrees tha t DMT A does no t offe r escheatmen t services. DMT A shall have no responsibilit y to provide additional services regardin g los t holder account s fo r DMT A Customer’ s Securities .

 

 

5 2 /57 5.6 . Notwithstandin g th e foregoing , in th e even t one or more shareholder s is no t responsive t o th e Los t Holder Searches , DMT A Custome r may retai n DMT A to conduc t additional databas e searches t o locat e th e shareholder , a t th e DMT A Customer’ s sole expense , in accordance wit h DMTA’ s the n applicabl e fee s (“Additiona l Searches”) . DMT A Custome r acknowledge s tha t i t remains solely responsibl e fo r all obligation s wit h respec t t o Unclaime d Propert y even if DMT A is directe d t o conduc t Additiona l Searches. 6 . Fee s an d Expenses Thi s sectio n applies only t o th e provision o f DMT A Service s and in th e even t o f a conflict , supersedes any prior paragraph s concernin g Fee s containe d in thi s Agreement: 6.1.Th e DMT A Custome r shall pay th e fee s outline d on th e Orde r For m fo r th e services described therein . Fee s are subjec t t o revision by DMT A from tim e to time DMT A Custome r shall reimburse DMT A fo r all cost s and expenses incurred in connectio n herewith. Withou t limitin g th e generalit y o f th e foregoin g and notwithstandin g any othe r provision of thi s Agreemen t or of any fees , th e DMT A Custome r agrees t o pay DMT A such additiona l compensation , costs and expenses as are agreed betwee n th e partie s t o be warrante d by any additiona l time , effor t and/o r responsibilit y incurred or expende d by DMT A in order t o comply wit h any laws or regulation s it may be subjec t to as Registrar, Transfe r Agen t or as dividen d distributio n disbursin g agent , including , withou t limitation, unclaime d propert y legislatio n or futur e imposed regulations. 6.2 . Al l DMT A Fee s are incurred immediatel y at tim e of service and non - refundable. Th e DMT A Custome r will be bille d as set ou t in th e Terms . 6.3 . Al l ou t of pocke t costs and expense recoveries are payable in advance , unless otherwise agreed t o in writing . 6.4 . I n th e even t tha t a corporat e actio n or reorganizatio n occurs , th e DMT A Custome r agrees t o compensat e DMT A a t a rat e based on th e terms of th e transactio n and th e duties required o f DMTA . 6.5 . I n th e even t th e DMT A Custome r default s in its paymen t obligation s t o DMT A (“Paymen t Default”) , DMT A shall have th e right , commencing thirt y (30) days followin g writte n notificatio n to th e DMT A Custome r of Paymen t Defaul t and unless such Paymen t Defaul t has been remedied , t o immediatel y suspend service or terminat e thi s Agreement , subjec t to DMTA' s right s and recourses under thi s Agreemen t or applicabl e law . 7 . DMT A Customer’ s Responsibilit y Fo r Documents 7.1 . Th e DMT A Custome r agrees tha t it will promptl y furnis h t o DMT A fro m tim e t o time : 7.1.1 . certifie d copies o f all articles , any amendment s theret o and all relevan t By - laws; 7.1.2 . certifie d copies o f all resolution s or othe r authorizin g document s allottin g or providin g for th e issuance of Securities;

 

 

5 3 /57 7.1.3 . a curren t lis t o f th e director s of th e DMT A Custome r upon any change t o thi s information ; and 7.1.4 . tha t number o f unissued Shar e certificate s as is necessary fo r DMT A t o perfor m it s obligation s hereunde r from tim e to time 7.2 . DMT A Custome r agrees to direc t its broker - dealer , as applicable , t o share required onboardin g document s wit h DMT A upon request . 8 . DMT A Customer’ s Responsibilit y Fo r Signatories 8.1 . Th e DMT A Custome r shall deliver evidence of th e appointmen t o f it s signatorie s as such evidence may be requeste d fro m tim e t o tim e by DMTA . Th e DMT A Custome r shall promptly advise DMTA , in writing , as to any changes in th e authorize d signatorie s and the director s o f th e DMT A Custome r and DMT A shall no t be charged wit h notic e of any such change in authorize d signatorie s unless and unti l such notic e is provided in writin g in accordance wit h th e provisions herein wit h respec t t o Notice . 8.2 . DMT A may ac t upon any email or certificat e or othe r documen t believe d by i t t o be genuin e and t o have been signed by th e proper person or persons . DMT A may refuse t o process any requeste d transfe r or perfor m any othe r ac t requeste d o f it if it is no t satisfied as t o th e propriet y o f th e reques t or th e sufficienc y of th e evidence provided in suppor t of such request . 9 . Authorizatio n T o Act O n Electroni c Instructions 9.1 . Th e DMT A Custome r hereby direct s DMT A to accep t and ac t upon direction s including treasur y direction s sen t t o DMT A via e - mail or via communication s initiate d by DMT A Custome r throug h th e DMT A Customer’ s online porta l licensed from DealMaker.tech. 9.2 . Th e DMT A Custome r acknowledge s that: E - mai l is no t a secure means o f communication . Som e o f th e risks of e - mail communication s are that :  someone could intercept , read , retransmi t or alte r a communication ;  e - mails can be lost , delivere d late , or not received ; and  someone can send unauthorize d e - mails that appear to emanat e fro m a secure source . 9.3 . I n reviewin g direction s received via email , DMT A shall rely upon the customar y signatur e block o f th e individua l authorize d t o sign for th e DMT A Customer , as provided by th e DMT A Customer , fro m tim e t o time. I n reviewin g directio n received via DMT A Customer’ s deal portal , DMT A shall rely upon th e user credential s customaril y associate d wit h th e DMT A Customer’ s account.

 

 

5 4 /57 9.4 . DMT A shall be entitle d t o act upon any directio n received via e - mail or DealMaker.tec h tha t DMT A believes to be genuine . 9.5 . DMT A retain s th e right , at all times , to refus e to process any directio n where DMTA question s th e legitimac y of th e direction . Wher e DMT A question s th e legitimac y o f a direction , DMT A shall make a good fait h effor t to promptl y confir m th e legitimac y of the direction , which may include requestin g an originall y signed direction . DMT A shall not be liabl e to th e DMT A Custome r or any part y fo r any losses caused by DMTA’ s refusa l t o act on a directio n tha t DMT A is no t able t o confir m t o be legitimate. 10 . DMTA’ s Reservatio n Of Rights 10.1 . DMT A shall no t incur any liabilit y in refusin g in good fait h t o affec t any transfe r which in it s judgmen t is improper or unauthorized. 10.2 . DMT A shall retai n all right s and be entitle d to: 10.2.1 . refus e t o act , and shall no t be liabl e for refusin g to act , unless i t has received clear instruction s and/o r documentatio n and sufficien t tim e to give effec t to such instruction s and/o r documentation; 10.2.2 . refus e th e transfe r o f any Securitie s unti l such tim e as DMTA is satisfied , actin g reasonably , that : 10.2.2.1 . th e share certificate , if applicable , presente d to DMT A is valid; 10.2.2.2 . th e endorsemen t on th e Shar e Certificat e or DR S statemen t or appended stoc k power of attorney , as applicable , is genuine ; and 10.2.2.3 . th e transfe r requeste d is properly and legally authorized. 10.2.3 . trea t as valid any shareholde r dat a or share certificat e purportin g t o have been issued by or on behal f of th e DMT A Custome r prior to th e dat e o f thi s Agreement , as se t ou t in sectio n above; 10.2.4 . no t transfe r any Securit y if such Securit y is subjec t t o any restrictio n or prohibitio n on transfer , and DMT A shall no t be liable t o DMT A Custome r or any othe r part y fo r refusin g toaffec t any such transfer;

 

 

5 5 /57 10.2.5 . refus e t o act , and shall no t be liabl e for refusin g to ac t if , due t o a lack of informatio n or fo r any othe r reason whatsoever , DMTA , in its sole judgment , determines tha t such ac t migh t cause i t t o be in non - complianc e wit h any applicabl e anti - money launderin g or anti - terroris t legislation , regulatio n or guideline . 10.2.5.1 . Further , should DMTA , in its sole judgment , determin e a t any tim e tha t it s actin g under thi s Agreemen t has resulted in its being in non - complianc e wit h any applicabl e anti - money launderin g or anti - terrorist legislation , regulatio n or guideline , the n DMT A shall have th e righ t to resign on 10 days’ writte n notic e to th e DMT A Customer , provided tha t (i) DMTA’ s writte n notic e shall describe th e circumstance s o f such non - compliance ; and (ii) i f such circumstance s are rectifie d to DMTA’ s satisfactio n withi n such 10 day period , the n such resignatio n shall no t be effective ; and 10.3 . DMT A shall be under no obligatio n t o prosecut e or defen d any actio n or sui t in respec t o f it s agency relationshi p under thi s Agreemen t bu t will do so at th e reques t o f th e DMT A Customer , provided tha t th e DMT A Custome r furnishe s indemnit y and fundin g satisfactor y t o DMTA , acting reasonably , agains t any liability , cost or expense which migh t be incurred . 11 . Lega l Advic e 11.1 . DMT A is hereby authorized , at its discretio n and at th e expense o f th e DMT A Custome r t o refe r all document s or request s relatin g to any transfer s or any othe r matters contemplate d by thi s Agreemen t or requeste d to be performe d pursuan t to thi s Agreement to th e DMT A Customer' s or DMTA’ s legal counsel fo r advice , and DMT A shall be entitled bu t no t required t o rely on such advice. DMT A will , in all cases , endeavor to consul t wit h th e DMT A Custome r prior to engagin g outsid e counsel , unless as otherwis e required by a regulator y body . 12 . Data Access By Thir d Parties 12.1 . DMT A Custome r agrees tha t inspectio n of Securitie s records and Register s on th e systems o f DMT A may be subjec t t o th e inspectio n right s of securitie s regulator y authoritie s includin g th e Securitie s and Exchang e Commission . 12.2 . For thi s purpose , DMT A is hereby authorize d to make Securitie s and holder Registe r dat a availabl e t o industr y third - part y systems , bot h directl y and via an integrate d API , includin g bu t no t limite d t o DMTA s and securitie s exchanges , t o enable the m to obtai n informatio n abou t th e DMT A Customer’ s Securities , paymen t histor y o f Securities , confirmation s of holders ’ ownershi p positions , among others. 13 . Warrantie s an d Disclaimer

 

 

5 6 /57 13.1 . Mutua l Warranties: Eac h part y to thi s Agreemen t represent s t o th e othe r tha t (i) i t has th e righ t and authorit y to ente r int o thi s Agreemen t and t o perfor m all of it s respectiv e obligations ; (ii) th e Agreemen t has been duly execute d and delivere d and constitute d a valid , bindin g agreemen t enforceabl e in accordance wit h it s terms ; (iii) no othe r person is required t o authoriz e th e party’ s execution , delivery or performanc e o f th e Agreement ; and (iv) execution , delivery and performanc e o f thi s Agreemen t does no t violat e th e term s or condition s of any othe r agreemen t to which i t is a part y or by which i t is otherwis e bound. 14 . Warrantie s By DMT A Customer 14.1 . DMT A Custome r warrant s and represent s to DMT A tha t i t will provide complet e and accurat e informatio n and records wit h respec t to th e Securities , th e holders thereo f and th e restriction s applicabl e t o transfe r of th e Securitie s (includin g th e date s tha t any such restriction s are no longer applicable. 14. 2 I n th e even t o f a breach of any of th e DMT A Customer’ s warrantie s or responsibilitie s herein , DMT A will have th e righ t a t it s sole discretio n t o suspend DMT A Service s i f deemed necessary by DMT A t o preven t or eliminat e difficultie s in th e provisio n of DMT A Service s pursuan t t o thi s Agreemen t or t o preven t potentia l litigation. 14.3 . Disclaime r B y DMTA: Excep t as expressly set fort h in thi s Agreement , DMT A makes no representatio n or warrant y or any kind whethe r express , implied , or statutory. 15 . Limitatio n of Liabilit y Thi s sectio n applies only t o th e provision o f DMT A Service s and in th e even t o f a conflict , supersedes any prior paragraph s concernin g LImitatio n o f Liability containe d in thi s Agreement: 15.1 . Limit s O n Damages. DMT A shall no t be liabl e for any actio n take n or omitte d t o be take n by DMT A under or in connectio n wit h thi s Agreement , excep t for losses caused principall y and directl y by DMTA' s gross negligence , fraud, bad fait h or willfu l misconduct. Notwithstandin g any othe r provision in thi s Agreement , DMT A shall not , under any circumstances , be liabl e t o DMT A Custome r fo r special , indirect , incidental , consequential, exemplary , aggravate d or punitiv e damages arising ou t o f or relate d t o th e transaction s contemplate d under thi s Agreement , includin g bu t no t limite d t o los t profits , loss o f business or holder claims. 15.2 . Cap on LIability. Notwithstandin g any othe r provisio n o f thi s Agreement , DMT A Custome r agrees tha t DMTA’ s tota l liabilit y arising ou t of or relate d to thi s Agreement , regardless o f whethe r th e actio n or claim is based on contract , tort , warrant y or otherwise , shall be limited t o the amoun t o f fee s paid by th e DMT A Custome r t o DMT A in th e twelv e (12) month s immediately precedin g th e firs t receip t by DMT A o f notic e o f th e claim. 15.3 . Notwithstandin g and withou t limitatio n o f any othe r provisio n o f thi s Agreement , and notwithstandin g

 

 

5 7 /57 whethe r such losses or damages are foreseeabl e or unforeseeable, DMT A and each Indemnifie d Part y shall no t be liabl e under any circumstances whatsoeve r fo r any breach by any othe r person , which ter m includes corporations, partnerships , trust s or othe r entities , o f securitie s laws or othe r rule o f any securities regulator y authority , for los t profit s or for special , indirect , incidental , consequential, exemplary , aggravate d or punitiv e losses or damages . DMT A Custome r agrees tha t it s liabilit y hereunde r shall be absolut e and unconditional, regardless of th e correctnes s o f any representation s o f any thir d partie s and regardless of any liabilit y o f thir d partie s to any of th e Indemnifie d Partie s and shall accrue and become enforceabl e withou t prior demand or any othe r preceden t actio n or proceeding . 15.4 . For so long as th e DMT A Custome r is a clien t of DMTA , th e DMTA Custome r undertake s t o advise DMT A in writin g as soon as reasonabl y practicabl e in th e even t tha t th e DMT A Customer becomes , or ceases to be , a reportin g DMT A Custome r wit h th e Unite d State s Securitie s and Exchang e Commission . 15.5 . Th e provision s o f thi s sectio n shall survive th e resignatio n or removal o f DMT A and th e terminatio n o f thi s Agreement. 16 . Miscellaneous 16.1 . No Implie d License. DMT A Custome r has no right , titl e or interes t in th e technolog y used and th e DMT A Service s or by thir d partie s engage d by th e DMTA. Thi s Agreemen t is no t intende d and will no t be construe d to confe r upon eithe r part y any license right s t o any patent , trademark , copyright , or othe r intellectua l propert y right s o f eithe r part y heret o or any othe r right s o f any kind no t specificall y conferre d in thi s Agreement . 16.2 . No Underwriting . DMT A Custome r agrees tha t DMT A is no t actin g as an underwrite r o f any Securitie s offering , nor as a broker or dealer on any Securitie s transaction. 16.3 . No Investmen t Advice. DMT A Custome r agrees tha t DMT A is no t providin g investmen t advice , does no t make any Securitie s recommendation , and does no t solici t th e offe r or sale o f Securitie s t o any investo r or DMT A Customer . 16.4 . No Legal or Accountin g Advice. DMT A Custome r agrees tha t DMT A does no t provide any legal or accountin g advice , includin g bu t no t limite d to legal advice or recommendation s wit h respec t t o th e vesting , conversion or expiry of any securitie s (collectivel y “Conversio n Events”). DMT A Custome r shall rely solely on it s own professional advisors as it deems appropriat e t o do so , includin g bu t no t limite d t o matter s in relatio n t o Conversio n Events. DMT A reserves th e righ t t o seek legal advice as needed and in it s sole discretion , as se t ou t in thi s Agreement.