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Title: |
Securities Purchase Agreement |
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Entities: |
Morgan Stanley Group Inc; Yahoo! Inc.; Cleary, Gottlieb, Steen & Hamilton; Gibbons, Del Deo, Dolan, Griffinger & Vecchione |
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Date: |
2000 |
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Size: |
Preview shows 7KB of 108KB total |
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Price: |
$51 |
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ID: |
#1538863 |
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<SEQUENCE>3
<FILENAME>0003.txt
<TEXT>
CONFORMED COPY
SECURITIES PURCHASE AGREEMENT
between
NATIONAL DISCOUNT BROKERS GROUP, INC.
and
DB U.S. FINANCIAL MARKETS HOLDING CORPORATION
Dated as of May 15, 2000
<PAGE>
TABLE OF CONTENTS
Page
----
ARTICLE I
PURCHASE AND SALE OF SHARES
1.1 Purchase and Sale....................................................1
1.2 Closing..............................................................1
ARTICLE II
REPRESENTATIONS AND WARRANTIES OF THE COMPANY
2.1 Organization and Corporate Power.....................................2
2.2 Authorization........................................................2
2.3 Government Approvals.................................................2
2.4 Authorized and Outstanding Stock.....................................3
2.5 Subsidiaries.........................................................3
2.6 Securities Law Compliance............................................4
2.7 Commission Documents; Financial Information and Controls.............4
2.8 Absence of Certain Events; No Material Adverse Effect................5
2.9 Litigation...........................................................6
2.10 Compliance with Laws and Other Instruments...........................6
2.11 Taxes................................................................6
2.12 Intellectual Property; Proprietary Rights; Employee Restrictions.....7
2.13 Date Compliance......................................................7
2.14 Agreements of Directors, Officers and Employees......................8
2.15 Governmental and Industrial Approvals................................8
2.16 Contracts and Commitments............................................8
2.17 Employee Matters.....................................................9
2.18 No Brokers or Finders................................................9
2.19 Transactions with Affiliates.........................................9
2.20 Assumptions, Guarantees, etc. of Indebtedness of Other Persons.......9
2.21 Investment Company Act...............................................9
2.22 Disclosures..........................................................9
ARTICLE III
REPRESENTATIONS OF THE PURCHASER
3.1 Representations and Warranties......................................10
3.2 Wholly Owned Subsidiary.............................................11
ARTICLE IV
CONDITIONS TO THE PURCHASER'S OBLIGATION
4.1 Effect of Conditions................................................11
4.2 Representations and Warranties......................................11
4.3 Performance.........................................................11
4.4 Board Election......................................................12
4.5 Opinions of Counsel.................................................12
4.6 Certified Documents, etc............................................12
4.7 No Material Adverse Effect..........................................12
4.8 Registration Rights Agreement.......................................12
4.9 Stockholder Agreement...............................................12
4.10 Venture Agreements..................................................12
4.11 HSR Act.............................................................12
4.12 Listing of Purchased Shares.........................................13
4.13 Consents and Waivers................................................13
4.14 Establishment of Firewalls..........................................13
4.15 Common Stock Certificate............................................13
ARTICLE V
CONDITIONS OF THE COMPANY'S OBLIGATION
5.1 Effect of Conditions................................................13
5.2 Representations and Warranties......................................13
5.3 Performance.........................................................13
5.4 Registration Rights Agreement.......................................13
5.5 Stockholder Agreement...............................................13
5.6 Venture Agreements..................................................14
5.7 HSR Act.............................................................14
5.8 Consents and Waivers................................................14
5.9 Listing of Purchased Shares.........................................14
5.10 Establishment of Firewalls..........................................14
5.11 Tender of Purchase Price............................................14
5.12 Fairness Opinion....................................................14
5.13 Opinions of Counsel.................................................14
5.14 Certified Documents, etc............................................15
ARTICLE VI
MISCELLANEOUS
6.1 Survival of Representations.........................................15
6.2 Parties in Interest.................................................15
6.3 Amendments and Waivers..............................................15
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