有价证券质押贷款，有价证劵质押协议（中英文对照）

AGREEMENT OF SECURITIES PLEDGE

有价证劵质押协议（中英文对照）

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目录

SECTION 1 DEFINITION靠前条 定义

SECTION 2 PLEDGE 第二条 质押

SECTION 3 NATURE OF LOAN AND PLEDGE

第三条 贷款和抵押的性质

SECTION 4 SCOPE OF PLEDGE AND REDELIVERY OF THE PLEDGED COLLATERAL

第四条 抵押品的抵押范围及重新发运

SECTION 5 REPRESENTATIONS AND WARRANTIES

第五条 陈述与保证

SECTION 6 AFFIRMATIVE COVENANTS

第六条 肯定性条款

SECTION 7 APPOINTMENT OF AGENTS AND ACTIONS BY LENDER

第七条 代理人指定及贷方行为

SECTION 8 SALE AND TREATMENT OF PLEDGED COLLATERAL

第八条 承诺抵押品的出售及处理

SECTION 9 DIVIDENDS AND VOTING RIGHTS

第九条 股息及表决权

SECTION 10 RIGHTS AND REMEDIES

第十条 权利及赔偿

SECTION 11 APPLICATION OF PROCEEDS OF PLEDGED COLLATERAL IN EVENT OF DEFAULT

第十一条 违约情况下承诺抵押品的收益应用

SECTION 12 COMPLIANCE WITH SECURITIES LAWS

第十二条 有价证券法律的遵守

SECTION 13 MONETARY RELIEF

第十三条 货币补偿

SECTION 14 MISCELLANEOUS

第十四条 其他款项



部分章节示例如下：



SECTION 9 DIVIDENDS AND VOTING RIGHTS 第九条 股息及表决权

9.1 Dividends, Interest and Other Distributions. The Pledgor, as the transferor of the stock, shall receive from EFH a payment or credit against interest due of an amount equivalent to all interest dividends and other distributions which the beneficial owner of those securities is entitled to receive during the period of the loan which ends with the transfer of identical securities back to the Pledgor when all outstanding principal, interest and other amounts due under the Agreement are paid and all obligations of the Pledgor are extinguished. See, IRC § 1058(b)(2) (hereinafter referred to as the “Dividend Amount”).

股息，利息及其他分配。作为股票转让者的抵押人，应当从EFH收到支付或对到期利息的贷款，数额与那些有价证券的受益所有人有权在贷款期间接受的所有股息利息和其他分配相等，当所有未偿付的资本，利息及其他在协议内的到期金额已经支付及抵押人所有债务付清时，贷款以将相同的有价证券转回抵押人告终。请见See, IRC § 1058(b)(2) （以下简称“股息数额”）



(a) The Dividend Amount shall be first credited against any interest due and unpaid for the quarter which is unpaid and accruing at the time the Dividend Amount is actually paid out to shareholders. To the extent the Dividend Amount is less than the quarterly interest payment owed by the Pledgor, the Pledgor shall remain obligated to pay the net amount of interest due to the Lender.

股息数额应首先对任何到期及本季度未付而股息数额被实际向股东支付时增长的利息放贷。如股息数额少于抵押人所有的季度利息支付数额，则抵押人应继续有义务支付应付给贷方的净额利息。



(b) To the extent the Dividend Amount exceeds the quarterly interest payment owed by the Pledgor after first crediting the Dividend Amount against any interest due and unpaid for the quarter as described in Section 9.1(a) above, the Lender shall so notify the Pledgor in writing and pay, in due course, any excess remaining after crediting the Dividend Amount to the Pledgor.

如果如9.1(a)条中的描述，股息数额在首次对任何到期及季度未付利息放贷后超过抵押人所有的季度利息支付数额，贷方则应以书面通知抵押人，并及时向支付向抵押人股息数额放贷后剩余的任何超额。



Voting Rights and Powers. All voting or other such consensual rights and powers transfer to the Lender. The Lender will not exercise any voting or other such consensual rights or powers under the terms of this Agreement.

表决权利及权力。所有表决或此种双方自愿的权利和权力均转移到贷方。在本协议的条款下，贷方不得执行任何表决或其他这种双方自愿的权利或权力。



SECTION 10 RIGHTS AND REMEDIES 第十条 权利及赔偿

10.1 Rights Upon Default. Upon the occurrence of an Event of Default under the Loan Agreement or under the Pledge Agreement which remains uncured, the Obligations, together with any accrued and unpaid interest thereon, shall be immediately due and payable without notice or demand, presentment, or protest, all of which are hereby expressly waived.

根据违约的权利。在未生效的贷款协议或者抵押协议内发生违约情况，则债务以及随之而来的任何应计的未偿还利息应立即到期，无需通知或要求，陈述，或者声明，这些在本协议中均可明确放弃。



At any time after the occurrence of an Event of Default which remains uncured, Lender may exercise the rights and remedies afforded to it under the Loan Agreement, which rights and remedies are herein incorporated by reference. To the extend the Lender has not already done so, under Section 8 the Lender may sell or otherwise dispose of the Pledged Collateral as the Lender’s own property. Pledgor agrees that Lender may or may not proceed, as it determines in its sole discretion, with any or all rights, benefits, and remedies which it may have against Pledgor and in regard to the Pledged Collateral.

任何时候如发生违约而尚未处理，贷方可行使贷款协议下赋予其的权利及补偿，权利及补偿以引用方式包含在本协议内。如贷方尚未做出如此行为，则根据第八条，贷方可出售或另外将承诺抵押品处理为贷方自己的财产。抵押人同意贷方有权全权决定继续或不继续对抵押人及有关承诺抵押品的任何或所有权利，利益及补偿。



SECTION 11 APPLICATION OF PROCEEDS OF PLEDGED COLLATERAL IN EVENT OF DEFAULT

第十一条 违约情况下承诺抵押品的收益应用

11.1 Application of Proceeds of Collateral Upon Sale. In the event of a default, the Lender shall apply the proceeds of the sale of any Pledged Collateral held by the Lender at the time that the Lender chooses to exercise its rights in an event of default as follows:

申请抵押品出售的收益。如有违约，贷方应该申请当时贷方持有的任何承诺抵押品的出售利益，如有违约则贷方选择做出如下行使权利的行为：



(i) first, if applicable, to the payment to or reimbursement of Lender for any fees and expenses for which it is entitled to be paid or reimbursed pursuant to the Loan Documents;

首先，如果根据贷款文件规定，适用于贷方有权被支付或偿还的任何费用和开销的支付或偿还



(ii) second, if applicable, to the interest compounding at the Default Rate;

其次，如果适用于在违约日期的复利息；



(iii) third, to the payment of any accrued and unpaid interest due under the Loan Agreement; and

第三，适用于贷款协议下的任何累积及未付的到期利息；



(iv) fourth, to such use as the Lender may elect (it being understood that Lender shall have no obligation to credit such payment to principal except to the extent that principal is due).

第四，贷方可选择这种用途（被解读为贷方不得有义务对此资本付款进行放贷，除非资本已到期）。



This Section 11.1 does not modify or supersede the Lender’s rights under Section 8 of this Pledge Agreement to sell any or all of the Pledged Collateral during the term of the Loan or otherwise take actions with respect to the Pledged Collateral nor does it require that the Lender apply the proceeds of the sale of any Pledged Collateral that may occur during the term of the Loan to reduce the Loan Principal Amount or any other Obligation.

第11.1条并不对本抵押协议中第八条内贷方在贷款期间出售任意或全部承诺抵押品或另外采取有关承诺抵押品的行动的权利进行修改或取代，也并不要求贷方申请在贷款期间出售任何承诺抵押品可能得到的收益，以减少贷款本金或任何其他债务。



SECTION 13 MONETARY RELIEF 第十三条 货币补偿

13.3 Arbitrations seeking monetary relief less than $100,000.00 in the aggregate will be held within the federal judicial district encompassing the city where Pledgor resides or is located. Arbitrations seeking monetary relief of $100,000.00 or more in the aggregate will be held in Indianapolis, Indiana.

寻求总额在100,000.00美元以下经济补偿的仲裁将在包括抵押人居住或所在城市的联邦司法区内举行。寻求总额在100,000.00美元及以上经济补偿的仲裁将在印第安纳州的印第安纳波利斯（印第安纳州首府）举行。



13.4 Lender will pay up to $2,500.00 in fees charged by the arbitration administrator for Claim(s) asserted by Pledgor in the arbitration, after Pledgor has paid an amount equivalent to the fee, if any, had such Claim(s) been filed in state or federal court (whichever is less) in the judicial district in which Pledgor resides or is located.

贷方将向仲裁管理员支付2,500.00美元的抵押人索赔费用，在抵押人支付与费用相等的数额之后，如果有这些数额，并将这种索赔上诉到抵押人居住或所在司法区的州立或联邦法院（以较少者为准）。



SECTION 14 MISCELLANEOUS 第十四条 其他款项

14.1 No Subrogation. Notwithstanding any payment or payments made by the Pledgor hereunder, the receipt of any amounts by the Lender with respect to the Pledged Collateral or any setoff or application of funds of the Pledgor by the Lender, the Pledgor shall not be entitled to be subrogated to any of the rights of the Lender.

无债权转移。尽管本协议内有的规定，尽管协议中抵押人已做出任何支付或付款，贷方收据的有关承诺抵押品或贷方向抵押人提出的任何扣除或资金申请的任何数额，抵押人不得有权被转移贷方的任何权利。



14.4 Severability. Any provision of this Agreement that is prohibited or unenforceable in any jurisdiction shall, as to such jurisdiction, be ineffective to the extent of such prohibition or unenforceability without invalidating the remaining provisions hereof, and any such prohibition or unenforceability in any jurisdiction shall not invalidate or render such provision unenforceable in any other jurisdiction.

可分割性。本协议内在任何司法权下被禁止或不可执行的任何条款将为无效，就其在这种司法权下的禁止和不可执行而言，不造成本协议内剩余条款失效。任何司法权下引起的条款禁止和不可执行不得使这种条款在其他任何司法权下失效或不可执行。



14.7 Governing Law. This Agreement shall be governed by, and shall be construed in accordance with, the laws of the State of Indiana without reference to its principles of Conflicts of Law.

适用法律。本协议的管辖和解读应根据印第安纳州法律，不需引用法律抵触法则。



14.9 Amendments. No provision of this Agreement may be amended, waived or modified, and (unless otherwise provided herein) no item of Pledged Collateral may be released, except in a writing signed by the Pledgor and the Lender.

修正。本协议内条款不得被修订，放弃或修改，（除非在本协议内另作规定）承诺抵押品任何款项不得让与，除非有抵押人和贷方签署的书面协议。



14.10 Expenses. The Pledgor hereby agrees to reimburse the Lender for the enforcement of the Lender’s rights under this Agreement, the sale of the Pledged Collateral or any part thereof and the collection of payments due under or in respect of the Pledged Collateral and all amounts due under this Agreement.

费用。抵押人在此同意为行使本协议下贷方的权利而偿还贷方，本协议内承诺抵押品或其任何部分的出售以及承诺抵押品下应支付或与之有关及本协议内所有应付金额的收取。



14.11 Waiver of Notice of Acceptance. The Pledgor hereby waives notice of the making of any Loan or the issuance of the Note and notice from the Lender of its acceptance of and reliance upon this Agreement.

承诺通知的放弃。抵押人在此放弃贷方指定任何贷款的通知，或接受及依靠本协议的便条或通知的发布。



14.12 Execution in Counterparts. This Agreement may be executed in any number of counterparts and by different parties on separate counterparts, all of which when taken together shall constitute but one and the same agreement.

副本的执行。本协议任何数量的副本及单独副本的各方都可执行，所有放在一起应构成唯一一个相同协议。