A Stock Pledge Agreement is commonly used when shares need to be provided as collateral for a loan or other obligation. This document is particularly relevant in the United States where it must comply with UCC requirements and federal/state securities regulations. The agreement typically specifies the pledged shares, representations about ownership, voting rights, dividend treatment, and enforcement mechanisms. It's essential for securing share-based collateral in financing transactions and requires careful consideration of both corporate and securities law implications.
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1. Parties: Identifies the pledgor (owner of the shares) and pledgee (recipient of security interest)
2. Background/Recitals: Explains the context of the pledge, typically referencing the underlying obligation being secured
3. Definitions: Defines key terms including Pledged Shares, Secured Obligations, Event of Default
4. Pledge and Security Interest: Core section establishing the pledge and grant of security interest in the shares
5. Representations and Warranties: Pledgor's statements regarding ownership, authority, and absence of encumbrances
6. Covenants: Ongoing obligations of the pledgor regarding the pledged shares
7. Events of Default: Circumstances constituting default under the agreement
8. Remedies: Rights and actions available to pledgee upon default
1. Voting Rights: Specifies who can exercise voting rights during pledge period - include when pledged shares have voting rights
2. Dividend Rights: Treatment of dividends during pledge period - include when shares may pay dividends
3. Registration Rights: Rights regarding registration of shares for public sale - include when shares might need to be registered for sale
4. Collateral Account: Provisions for maintaining pledged shares in specific account - include when shares will be held by third-party custodian
1. Description of Pledged Shares: Detailed list of shares being pledged including certificate numbers
2. Form of Stock Power: Template for stock transfer power document
3. UCC-1 Financing Statement: Form for perfecting security interest
4. Corporate Resolutions: Authorization for pledge from relevant corporate bodies
Relevant legal definitions
Clauses
Grant of Security Interest
Delivery and Control
Representations and Warranties
Covenants
Voting Rights
Dividend Rights
Events of Default
Remedies
Further Assurance
Power of Attorney
Perfection
Assignment
Notices
Governing Law
Jurisdiction
Indemnification
Severability
Amendment
Entire Agreement
Waiver
Termination
Counterparts
Registration Rights
Transfer Restrictions
Delivery and Control
Representations and Warranties
Covenants
Voting Rights
Dividend Rights
Events of Default
Remedies
Further Assurance
Power of Attorney
Perfection
Assignment
Notices
Governing Law
Jurisdiction
Indemnification
Severability
Amendment
Entire Agreement
Waiver
Termination
Counterparts
Registration Rights
Transfer Restrictions
Relevant Industries
Relevant Teams
Relevant Roles
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