The Stock Investment Agreement is a crucial document used in Australian corporate transactions when a company seeks to raise capital through the issue of shares to investors. This agreement serves as the primary legal framework governing the relationship between the company and its investors, ensuring compliance with Australian corporate law, particularly the Corporations Act 2001 (Cth) and ASIC requirements. It is typically used in various funding rounds, from seed investments to later-stage capital raises, and can be adapted for both minority and majority investments. The document encompasses essential elements such as investment terms, shareholder rights, corporate governance provisions, and various protective mechanisms for both the company and investors. The agreement's structure and content reflect Australian market practice while incorporating international investment standards where appropriate.
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1. Parties: Identifies the company, the investor(s), and any other relevant parties to the agreement
2. Background: Explains the context of the investment and the company's business
3. Definitions and Interpretation: Defines key terms used throughout the agreement and interpretation rules
4. Investment Terms: Details of the investment amount, share class, price per share, and payment terms
5. Conditions Precedent: Conditions that must be satisfied before the investment proceeds
6. Completion: Process and requirements for completing the investment transaction
7. Warranties and Representations: Company's warranties about its business, assets, and liabilities
8. Investor Rights: Rights attached to the shares including voting, dividends, and information rights
9. Board Representation: Provisions regarding investor representation on the company's board
10. Reserved Matters: Decisions requiring investor consent
11. Pre-emptive Rights: Rights of first refusal on future share issues
12. Confidentiality: Obligations regarding confidential information
13. General Provisions: Standard legal provisions including notices, amendments, governing law
1. Tag-Along Rights: Optional protection allowing investors to join in sales by other shareholders, typically included for minority investors
2. Drag-Along Rights: Optional right forcing minority shareholders to join in a company sale, typically included for majority investments
3. Anti-Dilution Protection: Optional protection against share value dilution in future funding rounds
4. Founder Commitments: Optional section dealing with founder non-compete and continued involvement, relevant when founders are key to the business
5. Future Funding Rounds: Optional provisions regarding planned future investment rounds
6. Exit Strategy: Optional provisions regarding planned exit timeframes and mechanisms
7. Environmental, Social and Governance (ESG): Optional provisions regarding ESG compliance and reporting
8. Management Rights: Optional provisions regarding investor involvement in management decisions
1. Schedule 1 - Company Details: Detailed information about the company including corporate structure and capital table
2. Schedule 2 - Share Capital and Rights: Detailed breakdown of share classes and associated rights
3. Schedule 3 - Warranties: Comprehensive list of company warranties
4. Schedule 4 - Reserved Matters: Detailed list of matters requiring investor consent
5. Schedule 5 - Completion Requirements: Detailed list of completion deliverables and requirements
6. Schedule 6 - Key Performance Indicators: Specific performance metrics and targets if applicable
7. Appendix A - Share Certificate: Form of share certificate to be issued
8. Appendix B - Deed of Accession: Form of deed for new shareholders to join the agreement
Relevant legal definitions
Accession Deed
Affiliate
Anti-Dilution Rights
ASIC
ASX
Board
Business
Business Day
Business Plan
Completion
Completion Date
Confidential Information
Constitution
Corporations Act
Director
Drag-Along Rights
Encumbrance
Event of Default
Exercise Period
Exit Event
Financial Year
FIRB
Fully Diluted Basis
General Meeting
Group
GST
Holding Company
Independent Director
Initial Public Offering (IPO)
Investment Amount
Investor Director
Issue Price
Key Performance Indicators
Listing Rules
Material Adverse Change
New Securities
Nominee
Ordinary Shares
Permitted Transferee
Pre-emptive Rights
Preference Shares
Purchase Price
Qualified IPO
Related Body Corporate
Related Party
Reserved Matters
Resolution
Securities
Security Interest
Share Capital
Shareholder
Shareholders Agreement
Shares
Subsidiary
Subscription Shares
Tag-Along Rights
Tax
Third Party
Transaction Documents
Transfer
Warranties
Affiliate
Anti-Dilution Rights
ASIC
ASX
Board
Business
Business Day
Business Plan
Completion
Completion Date
Confidential Information
Constitution
Corporations Act
Director
Drag-Along Rights
Encumbrance
Event of Default
Exercise Period
Exit Event
Financial Year
FIRB
Fully Diluted Basis
General Meeting
Group
GST
Holding Company
Independent Director
Initial Public Offering (IPO)
Investment Amount
Investor Director
Issue Price
Key Performance Indicators
Listing Rules
Material Adverse Change
New Securities
Nominee
Ordinary Shares
Permitted Transferee
Pre-emptive Rights
Preference Shares
Purchase Price
Qualified IPO
Related Body Corporate
Related Party
Reserved Matters
Resolution
Securities
Security Interest
Share Capital
Shareholder
Shareholders Agreement
Shares
Subsidiary
Subscription Shares
Tag-Along Rights
Tax
Third Party
Transaction Documents
Transfer
Warranties
Clauses
Interpretation
Definitions
Share Subscription
Consideration
Conditions Precedent
Completion
Company Warranties
Investor Warranties
Pre-emptive Rights
Share Transfer Restrictions
Tag-Along Rights
Drag-Along Rights
Anti-Dilution Protection
Board Composition
Reserved Matters
Information Rights
Dividend Rights
Voting Rights
Future Funding Rounds
Exit Provisions
Non-Competition
Confidentiality
Intellectual Property
Regulatory Compliance
FIRB Approval
ASX Compliance
Representations and Warranties
Indemnification
Default
Termination
Assignment
Notices
Costs and Expenses
Governing Law
Dispute Resolution
General Provisions
Entire Agreement
Amendment
Severability
Force Majeure
Definitions
Share Subscription
Consideration
Conditions Precedent
Completion
Company Warranties
Investor Warranties
Pre-emptive Rights
Share Transfer Restrictions
Tag-Along Rights
Drag-Along Rights
Anti-Dilution Protection
Board Composition
Reserved Matters
Information Rights
Dividend Rights
Voting Rights
Future Funding Rounds
Exit Provisions
Non-Competition
Confidentiality
Intellectual Property
Regulatory Compliance
FIRB Approval
ASX Compliance
Representations and Warranties
Indemnification
Default
Termination
Assignment
Notices
Costs and Expenses
Governing Law
Dispute Resolution
General Provisions
Entire Agreement
Amendment
Severability
Force Majeure
Relevant Industries
Technology and Software
Financial Services
Healthcare and Biotechnology
Manufacturing
Real Estate
Retail and Consumer Goods
Energy and Resources
Professional Services
Agriculture
Media and Entertainment
Infrastructure
Education
Relevant Teams
Legal
Finance
Corporate Development
Compliance
Board of Directors
Executive Leadership
Investment
Company Secretariat
Risk Management
Relevant Roles
Chief Executive Officer
Chief Financial Officer
Chief Legal Officer
Company Secretary
Investment Director
Corporate Lawyer
Investment Manager
Venture Capital Partner
Private Equity Manager
Corporate Development Director
Board Director
Financial Controller
Compliance Officer
Investment Analyst
Legal Counsel
Managing Director
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