Document:

exhibit102formofrestrict

1    AMERANT BANCORP INC.  RESTRICTIVE COVENANT AGREEMENT     This Restrictive Covenant Agreement (“Agreement”) is made and entered into on  this [___________] day of [________], 20[__], by and among Amerant Bancorp Inc., its  successors and assigns (collectively, the "Company"), Amerant Bank, N.A., its successors, and  assigns (collectively, the “Bank”), and [__________] (“Employee”).    WHEREAS the Bank, along with its Affiliates (as defined in Section 4(a) herein), are in  the business of banking; fiduciary, trust and custody services; securities, insurance brokerage,  investment management, advice and related services; payments; money transmissions; lending;  extending credit and deposit taking, all of the foregoing, whether domestic, international or both,  and all services related or incidental to any of the foregoing (collectively, the “Business”);     WHEREAS the Bank and/or its Affiliates (as applicable) desire to employ or continue to  employ Employee to provide services which are of vital importance to the continued success of  the Business, provided that Employee agrees to enter into and abides by the terms of this  Agreement;      WHEREAS to enable Employee to perform Employee’s job duties for the Bank and its  Affiliates, the Bank and its Affiliates will provide Employee with highly confidential and  proprietary information and trade secrets of the Bank, its Affiliates, and/or third parties with whom  the Bank and/or its Affiliates are bound by a duty of confidentiality;  WHEREAS the highly confidential and proprietary information and trade secrets that  Employee will receive during Employee’s employment with the Bank and its Affiliates, are  important to the success of the Bank and/or its Affiliates; and   WHEREAS Employee recognizes that the Bank and its Affiliates have substantial  relationships with prospective and existing customers and clients, and expect to further develop  these substantial relationships in the future, and that, as an employee of the Bank or its Affiliates,  Employee will necessarily learn a great deal about and participate in the development of such  substantial relationships as part of Employee’s job duties for the Bank or its Affiliates.   NOW, THEREFORE, in consideration of the foregoing premises and the mutual  covenants expressed herein, including the Bank’s and its Affiliates’ agreement to provide  Employee access to highly confidential and proprietary information and trade secrets of the Bank  and its Affiliates and the business goodwill of the Bank and its Affiliates, the initial or continued  employment of Employee by the Bank or its Affiliates, and for other good and valuable  consideration, the receipt and sufficiency of which is hereby acknowledged, the parties agree as  follows:  1. Recitals.  The foregoing recitals are true and correct and are incorporated into and  made a part of this Agreement.    2. At-Will Employment Status of Employee.  Employee acknowledges and  understands that this Agreement is not a contract of employment, and the Agreement does not alter  

 

2    Employee’s status as an “at-will” employee of the Bank or any of its Affiliates.  Employee’s  employment may be terminated at will and at any time, with or without cause or notice, at the  option of either the Bank and its Affiliates or Employee.      3. Non-Disclosure of Confidential and Proprietary Information and Trade Secrets.      A. For purposes of this Agreement,     1) “Confidential Information” means and includes all information,  whether written or oral, tangible or intangible (in any form or format, whether in paper format,  electronic format or otherwise), of a private, secret, proprietary or confidential nature, of or  concerning the Bank, its Affiliates, and/or the Business or operations of the Bank and its Affiliates,  including without limitation:  the Bank's and its Affiliate's unique selling, origination and servicing  methods and business techniques; training, service and business manuals; promotional materials,  and other training and instructional materials; vendor and product information; customer and  prospective customer lists, other customer and prospective customer information; and other  business information; financial information; proprietary computer programs, software,  applications, directories, databases, passwords and access codes; marketing plans, materials,  strategies and information; information regarding corporate opportunities; operating and business  plans and strategies; research and development; policies and manuals; training materials; personnel  information of employees that is private and confidential and is unrelated to wages, hours and  other terms and conditions of employment; and information concerning planned or pending  acquisitions or divestitures.  Notwithstanding the foregoing, the term “Confidential Information”  shall not include information which: (i) was known by Employee prior to employee’s employment  with the Bank or its Affiliates; (ii) becomes available to Employee from a source other than the  Bank, its Affiliates, or third parties with whom the Bank or its Affiliates are not bound by a duty  of confidentiality; or becomes generally available or known in the industry or by the public through  lawful means (except where such public disclosure has been made by Employee without  authorization).    2) “Trade Secrets” means all forms and types of information including,  but not limited to, business, technical, economic, or financial information, and any technical and  nontechnical data compilations, programs, devices, methods, techniques, processes, prototypes,  financial reports and plans, product plans, or lists of actual or potential clients or customers of the  Bank or its Affiliates, which: (i) derive economic value, actual or potential, from not being  generally known to, and not being readily ascertainable through proper means by, other persons  who can obtain economic value from the disclosure or use, and (ii) are the subject of efforts by the  Bank or its Affiliates that are reasonable under the circumstances to maintain the secrecy of the  information.     3) “Third Party Information” includes confidential and proprietary  information or trade secrets belonging to third parties, including but not limited to clients,  customers, and vendors with whom the Bank or its Affiliates conduct business, which is disclosed  to the Bank or its Affiliates pursuant to an agreement or understanding that such information be  treated by the Bank and its Affiliates as confidential.    

 

3    B. In disclosing Confidential Information, Trade Secrets, and Third Party  Information to Employee, the Bank and its Affiliates are relying upon the following covenants,  representations and agreements of Employee:    1) Employee agrees that all Confidential Information and Trade  Secrets and all physical embodiments thereof received or developed by Employee are confidential  to, and are and will remain the sole and exclusive property of, the Bank and its Affiliates.      2) Employee will not disclose, orally or in writing, directly or  indirectly, any Confidential Information, Trade Secrets, or Third Party Information to any person  or business entity unless such disclosure is legally mandated, expressly permitted by this  Agreement, or prior written authorization is obtained from the Bank.    3) In the event that Employee is requested or required (by oral  questions, interrogatories, requests for information or documents, subpoena, investigative demand  or similar process) to disclose any Confidential Information, Trade Secrets, or Third-Party  Information, Employee agrees to provide the Bank with prompt notice of such request(s) so that  the Bank or its Affiliates may seek an appropriate protective order or other appropriate remedy.   In the event that such protective order or other remedy is not obtained, or that the Bank grants  Employee a waiver of the provisions hereunder, Employee may furnish that portion (and only that  portion) of the Confidential Information, Trade Secrets, or Third-Party Information which  Employee is required to disclose.     4) Employee will not use or permit use of any Confidential  Information, Trade Secrets, or Third-Party Information for any reason except in the course of  performing Employee’s duties during Employee’s employment with the Bank or its Affiliates, and  solely on behalf of the Bank and its Affiliates.     5) During the course of Employee’s employment with the Bank or its  Affiliates, Employee agrees to use Employee’ best efforts to maintain the confidentiality of the  Confidential Information, Trade Secrets and Third-Party Information, including adopting and  implementing all reasonable procedures prescribed by the Bank or its Affiliates to prevent  unauthorized use of Confidential Information, Trade Secrets or Third-Party Information, or  unauthorized disclosure of Confidential Information, Trade Secrets or Third-Party Information to  any unauthorized person.    6) All documents, notes, records, memoranda or other written  materials containing any Confidential Information, Trade Secrets, or Third Party Information,  including copies, transcriptions, prints, work papers, reports, drawings, photographs, negatives,  prototypes, summaries and reproductions thereof, whether in print, electronic or any other  medium, and any other Bank or Affiliate property (including, laptop, cell phone, keys, keycards,  access devices and codes), shall be returned to the Bank promptly upon termination of Employee’s  employment with the Bank or its Affiliates, or at any other time upon the request of the Bank or  its Affiliates.  In the event that such items are not so returned upon termination of employment,  the Bank or its Affiliates will have the right to charge Employee for all reasonable damages, costs,  attorneys’ fees and other expenses incurred in searching for, taking, removing and/or recovering  

 

4    such property. Except as necessary in the performance of Employee’s duties for the Bank or its  Affiliates and as authorized by the Bank or its Affiliates, Employee agrees that Employee will not  remove any hard copies of Confidential Information, Trade Secrets, or Third Party Information  from the Bank’s or its Affiliate's premises, will not download, upload, or otherwise transfer copies  of Confidential Information, Trade Secrets, or Third Party Information to any external storage  media, cloud storage, personal email address of Employee, or email address that is not owned by  the Bank or its Affiliates, and will not print hard copies of any Confidential Information, Trade  Secrets, or Third Party Information that Employee accesses electronically from a remote location.     7) Employee specifically acknowledges that all such Confidential  Information, whether reduced to writing, maintained on any form of electronic media, or  maintained in Employee's mind or memory and whether compiled by the Bank or its Affiliates, or  the Employee, derives independent economic value from not being readily known to or  ascertainable by proper means by others who can obtain economic value from its disclosure or use,  that reasonable efforts have been made by the Bank or its Affiliates to maintain the secrecy of such  information, that such information is the sole property of the Bank or its Affiliates and that any  retention and use of such information by the Employee during Employee's employment with the  Bank or its Affiliates (except in the course of performing Employee's duties and obligations in the  course of Employee's employment with the Bank or its Affiliates) or after the termination of  Employee’s employment shall constitute a misappropriation of the Bank's and its Affiliate's trade  secrets.    C. The covenants and agreements herein restricting Employee’s disclosure and  use of Confidential Information, Trade Secrets, and Third-Party Information shall survive the  termination of this Agreement and shall continue while Employee is employed by the Bank or its  Affiliates and thereafter. The covenants and agreements restricting Employee’s disclosure and use  of Trade Secrets, whether belonging to the Bank, its Affiliates, or to a third party, will continue  and be maintained for as long as permitted by any applicable law protecting Trade Secrets.      D. Notwithstanding any of the foregoing provisions, this Agreement does not  preclude Employee from: (i) filing a charge or participating in a proceeding conducted by the  Equal Employment Opportunity Commission or any other federal, state or local government  agency charged with enforcement of any law; (ii) reporting possible violations of any law, rule or  regulation to any governmental agency or entity charged with enforcement of any law, rule or  regulation; or (iii) making other disclosures that are protected under the whistleblower provisions  of any law, rule, or regulation.      E. Immunity Notice: Employee acknowledges that an individual shall not be  held criminally or civilly liable under any Federal or State trade secret law for the disclosure of a  trade secret that: (i) is made in confidence to a Federal, State, or local government official, either  directly or indirectly, or to an attorney, and made solely for the purpose of reporting or  investigating a suspected violation of law; or (ii) is made in a complaint or other document filed  in a lawsuit or other proceeding, if such filing is made under seal.  Employee further acknowledges  that an individual who files a lawsuit against an employer for retaliation for reporting a suspected  violation of law may disclose the trade secret to the attorney representing the individual and use  the trade secret information in the court proceeding, if the individual: (a) files any document  

 

5    containing the trade secret under seal; and (b) does not disclose the trade secret, except pursuant  to court order.    4. Non-Competition and Non-Solicitation.    A. Definitions.  As used in this Agreement:    1) “Affiliates” means the Company, and all direct and indirect  subsidiaries, parents, affiliated, or related companies of either of the Bank or the Company for which  Employee worked or had responsibility at the time of termination of Employee's employment  hereunder and at any time during the two (2) year period prior to such termination.    2) “Applicable Period” means the period beginning with the date of this  Agreement and ending one (1) year after the termination of Employee’s employment with the Bank  or its Affiliates for any reason.    3) “Area” means (a) the geographic area within the county of any state in  which the Bank or its Affiliates currently operate or operate in the future and (b) all of the specific  customer accounts, whether within or outside of the geographic area described in (a) above, with  which Employee had any contact or for which Employee had any responsibility (either direct or  supervisory) at the time of termination of Employee's employment and at any time during the two (2)  year period prior to such termination.    B. Acknowledgements.  The Bank and Employee acknowledge that: (i) the  covenants contained herein restricting Employee’s right to compete with the Bank and its Affiliates  and solicit the Bank’s and its Affiliates’ clients, customers and employees until the expiration of the  Applicable Period are essential to the Bank’s or its Affiliate's willingness to employ or continue to  employ Employee; (ii) the restrictive covenants contained herein are reasonable and necessary for  protection of the legitimate business interests of the Bank and its Affiliates, including, but not  limited to: the Confidential Information, Trade Secrets, client and customer good will, the Bank  and its Affiliates’ substantial relationships with prospective and existing clients, customers and a  productive, competent and undisrupted workforce; (iii) it would be inequitable and constitute unfair  competition against the Bank and its Affiliates for Employee to compete with the Bank and its  Affiliates in violation of this Agreement; and (vi) the restrictive covenants in this Agreement will  not prevent Employee from earning a livelihood in Employee’s chosen business and they do not  impose an undue hardship on Employee.    C. Agreement Not to Compete.     (1)  During Employee's employment with the Bank or its Affiliates,  Employee shall not compete with the Bank or its Affiliates anywhere in the world and, in accordance  with this restriction, but without limiting its terms, Employee shall not: (a) enter into or engage in any  Business which competes with the Business; (b) solicit customers, business, patronage or orders for,  or sell, any products or services in competition with, or for any business that competes with the  Business; (c) divert, entice or otherwise take away any customers, business, patronage or orders of  the Bank or its Affiliates or attempt to do so; or (d) promote or assist, financially or otherwise, any  

 

6    person, firm, association, partnership, corporation or other entity engaged in any business which  competes with the Business. Employee agrees that following the termination of Employee's  Employment and for the Applicable Period, Employee will not, anywhere within the Area, either  directly or indirectly, on Employee’s own behalf or in the service of or on behalf of others: (x) enter  into or engage in any Business which competes with the Business; (y) solicit customers, business,  patronage or orders for, or sell, any products or services in competition with, or for any business that  competes with the Business; or (z) divert, entice or otherwise take away any customers, business,  patronage or orders of the Bank or its Affiliates or attempt to do so.    (2) Employee will be in violation of this Section 4.C. if Employee engages  in any or all of the activities set forth in Section 4. C. (1) directly as an individual on Employee's  own account, or indirectly as a partner, joint venturer, employee, agent, salesperson, consultant,  officer and/or director of any firm, association, partnership, corporation or other entity, or as a  stockholder of any corporation in which Employee or Employee's spouse, child or parent owns,  directly or indirectly, individually or in the aggregate, more than five percent (5%) of the  outstanding stock or Voting Securities. For purposes of this Agreement, “Voting Securities” shall  have the meaning provided in Board of Governors of the Federal Reserve System Regulation Y,  §225.2(q).    D. Agreement Not to Solicit.  Employee will not, directly or indirectly, at any  time during the Applicable Period, attempt to disrupt, damage, impair or interfere with the Business  by raiding any of the Bank's or Affiliate's employees or soliciting any of them to resign from their  employment with the Bank or Affiliate, or by disrupting the relationship between the Bank or Affiliate  and any of its consultants, agents, representatives or vendors. Employee acknowledges that this  covenant is necessary to enable the Bank and its Affiliates to maintain a stable workforce and remain  in business.    E. Agreement Not to Disparage. Employee agrees and covenants that Employee  will not at any time make, publish or communicate to any person or entity or in any public forum  any defamatory or disparaging remarks, comments or statements concerning the Bank or its  Affiliates, employees, officers, and existing and prospective customers, investors and other  associated third parties. However, this Section 4.E. is not intended to and shall not be construed  to: (a) interfere with Employee's rights as described in 3.E. above, (b) in any way, restrictor impede  Employee from exercising protected rights to the extent that such rights cannot be waived by  agreement, (c) in any way preclude Employee from filing a charge or complaint with any  governmental agency (such as the EEOC or state or local equivalent), or (d) prohibit Employee  from complying with any applicable law or regulation or a valid subpoena or order of a court of  competent jurisdiction or an authorized government agency, provided that such compliance does  not exceed that required by the law, regulation or order, and also provided that to the extent  permissible under applicable law Employee promptly provides written notice of any such  subpoena or order to the Corporate Secretary of the Bank, as applicable. In addition, this Section  4.E. does not in any way restrict or impede Employee from making good faith statements in  internal performance discussions or reviews or denying false statements made by others.    F. Reformation.  If any covenant or provision in this Section 4 shall be declared  by a court of competent jurisdiction to be invalid as to time or geographic limitation, such court shall  

 

7    reduce the invalid provisions to a reasonable and enforceable time or geographic limitation so as to  make such provision valid, and the covenant, as modified, shall be enforced with retroactive effect.    G. Equitable Tolling.  The parties agree that the Applicable Period shall be  extended by the length of time during which Employee is in breach of any of the covenants in this  Section 4.  H. Irreparable Harm/Relief.  The parties acknowledge that a breach by Employee  of any of Employee’s covenants and agreements under this Section 4 would cause irreparable harm  to the Bank and its Affiliates, and that in the event of such a breach the Bank and its Affiliates shall  be entitled to injunctive relief without the necessity of posting a bond (to the extent permissible under  applicable law), in addition to all other remedies available at law or in equity. Additionally, except  as provided under the terms of any plan or arrangement or applicable law or the Bank's or its  Affiliate's clawback policies (whether in existence as of the date of this Agreement or later  adopted), any breach of the Employee's covenants and agreements under this Section 4 will result  in the immediate cessation and forfeiture of any remaining unpaid amounts under such plan or  arrangement and the recovery of previously paid amounts under such plan or arrangement (any  determination regarding the recovery of such payments will be made by the Bank in its sole  discretion and in accordance with applicable law).    5. Inventions, Ideas, Processes and Designs.    A. Employee agrees that the Bank and its Affiliates will own all rights, title,  and interest to all work product, ideas, concepts, know-how, techniques, processes, methods,  inventions, discoveries, developments, software, writing, innovations and improvements or other  material or design developed or created by Employee, either solely or jointly with others, that: (a)  are reasonably related to the Business; (b) involve the Bank’s and its Affiliate's actual or  demonstrably anticipated research or development; (c) result from any work performed by  Employee for the Bank or its Affiliates; (d) were conceived or originated at the Bank’s or its  Affiliate's expense, at its facilities, or at its request; (e) were based on knowledge or information  obtained during Employee’s employment with the Bank or its Affiliates; or (f) incorporate any  Confidential Information or Trade Secrets (collectively, “Inventions”).  Employee agrees that any  idea, discovery, invention, improvement, software, writing or other material or design that relates  to the Business or relates to the Bank's or its Affiliate's actual or demonstrably anticipated research  or development which is conceived or suggested by Employee, either solely or jointly with others,  within one (1) year following the termination of Employee's employment with the Bank or its  Affiliates shall be presumed to have been so made, conceived or suggested in the course of such  employment with the use of the Bank's or its Affiliate's equipment, supplies, facilities, or Trade  Secrets. Inventions that are also Confidential Information and/or Trade Secrets shall also be subject  to the provisions of Section 3 above.      B. In order to determine the rights of Employee and the Bank or its Affiliates  in any Invention, and to insure the protection of the same, Employee agrees that during the  Employee's employment, and for one (1) year after termination of Employee's employment with  the Bank or its Affiliate, the Employee will disclose immediately and fully to the Bank or Affiliate  any Invention. The Bank and its Affiliates agree to keep any such disclosures confidential.  Employee also agrees to record descriptions of all work in the manner directed by the Bank or  

 

8    Affiliate and agrees that all such records and copies will be the exclusive property of the Bank and  its Affiliates. Employee agrees that at the request of and without charge to the Bank or its Affiliate,  but at the Bank's or its Affiliate's expense, the Employee will execute a written assignment of the  Invention to the Bank or its Affiliate and will execute any agreement to further document  assignment to the Bank or its Affiliate any application for letter patent or for trademark registration  made thereon, and to any common-law or statutory copyright therein; and that Employee will do  whatever may be necessary or desirable to enable the Bank or its Affiliate to secure any patent,  trademark, copyright, or other property right therein in the United States and in any foreign  country, and any division, renewal, continuation, or continuation in part thereof, or for any reissue  of any patent issued thereon. In the event the Bank or its Affiliate is unable, after reasonable effort,  and in any event after ten (10) business days, to secure Employee's signature on a written  assignment to the Bank or Affiliate of any application for letters patent or to any common-law or  statutory copyright or other property right therein, whether because of the Employee's physical or  mental incapacity or for any other reason whatsoever, the Employee irrevocably designates and  appoints the Corporate Secretary of the Bank as attorney-in-fact to act on Employee's behalf to  execute and file any such application and to do all other lawfully permitted acts to further the  prosecution and issuance of such letters patent, copyright or trademark.    C. Employee acknowledges that, to the extent permitted by law, all work  papers, reports, documentation, drawings, photographs, negatives, tapes and masters therefor,  prototypes and other materials (hereinafter, “items”) (including, without limitation, any and all  such items generated and maintained on any form of electronic media) generated by Employee  during Employee's employment with the Bank or its Affiliates shall be considered a “work made  for hire” and that ownership of any and all copyrights in any and all such items shall belong to the  Bank. The item will recognize the Bank as the copyright owner, will contain all proper copyright  notices, e.g., “(creation date) Amerant Bank, N.A., All Rights Reserved,” and will be in condition  to be registered or otherwise placed in compliance with registration or other statutory requirements  throughout the world.    6. Controlling Law.  This Agreement and the validity, execution, construction,  interpretation, performance and enforcement thereof shall be governed by the substantive and  procedural laws of the state of Florida.    7. Jurisdiction and Venue.  Any and all actions, causes of action, lawsuits, litigation,  legal proceedings or special proceedings to construe, interpret or determine the validity of this  Agreement and/or to enforce performance thereof shall be brought only in Miami Dade County,  Florida.  The parties consent to the choice of such a venue and waive any objections the parties  might otherwise have to an inconvenient forum.     8. Waiver of Jury Trial.  EMPLOYEE KNOWINGLY, VOLUNTARILY AND  INTENTIONALLY WAIVES THE RIGHT TO A JURY TRIAL IN ANY LAWSUIT THAT  ARISES AT ANY TIME OUT OF THIS AGREEMENT OR EMPLOYEE’S EMPLOYMENT  WITH THE BANK OR ITS AFFILIATES, WHETHER AT LAW OR IN EQUITY, WHETHER  BASED ON A CLAIM OR COUNTERCLAIM AND REGARDLESS OF THE NATURE OF  THE CLAIM OR COUNTERCLAIM, INCLUDING CLAIMS UNDER TORT, CONTRACT,  STATUTORY, OR COMMON LAW.  

 

9      9. Attorney’s Fees.  In any litigation, lawsuit, legal or other proceedings brought in  connection with the construction, interpretation, meaning, validity, performance or enforcement  of this Agreement, the prevailing party shall be entitled to recover reasonable attorney’s fees and  costs from the other party, whether the same be for negotiation, trial or appellate work.    10. Severability.  The invalidity or partial invalidity of any portion of the Agreement  will not affect the validity of any other provision.  In the event that any provision of this Agreement  is held to be invalid, the remaining provisions shall be deemed to be in full force and effect as if  they had been executed by the parties subsequent to the expungement or judicial modification of  the invalid provision.    11. Modification.  This Agreement sets forth and establishes the entire understanding  between the Bank and/or its Affiliates and the Employee and supersedes any previous agreement  between the Bank and/or its Affiliates and the Employee relating to the subject matter hereof. No  amendment or modification of this Agreement shall be valid or effective unless it is in writing and  properly executed by all parties hereto.    12. Waiver.  The waiver by any party of a breach of any provision of this Agreement  shall not operate or be construed as a waiver of any subsequent breach by any party.      13. Assignment.  This Agreement may be assigned by the Bank without the  authorization or consent of Employee, and shall be fully enforceable by the Bank’s successors and  assigns.  Employee cannot assign this Agreement or delegate Employee’s responsibilities under  this Agreement.  Employee agrees that each of the Bank’s current and future parent, subsidiaries,  and Affiliates is an express third party beneficiary of this Agreement, and this Agreement,  including the restrictive covenants set forth herein, are for the benefit of each of the Bank’s current  and future parent, subsidiaries, and Affiliates.  As such, each of the Bank’s current and future  parent, subsidiaries, and Affiliates shall be entitled to enforce the Bank’s rights and remedies  hereunder in all respects.    14. Notice.  Any notice required or permitted under this Agreement shall be sent by  certified mail or overnight courier to: (a) the Bank at its principal place of business, and (b) to  Employee at the address provided to the Bank by Employee for income tax purposes.    15. Binding Effect.  This Agreement shall be binding upon the parties as well as their  heirs, executors, personal representatives, successors and assigns.    16. Survival; Independent Covenants.  Except as otherwise provided in this Agreement,  the provisions of this Agreement shall survive the termination of Employee’s employment with  the Bank or its Affiliates.  The restrictive covenants contained this Agreement are independent of  any other obligations owed by the Bank to Employee.  The existence of any claim or cause of  action by Employee against the Bank or its Affiliates, whether based on this Agreement or  otherwise created, shall not create a defense to the enforcement by the Bank or its Affiliates of any  of the covenants contained herein.      

 

10    17. Headings; Original Counterparts.  The headings contained in the Agreement are for  reference purposes only and shall not in any way affect the meaning or interpretation of this  Agreement.  This Agreement may be executed by electronic transmissions and in one or more  counterparts, each of which shall be construed to be an original.    18. Employee’s Right to Counsel.  Before signing this Agreement, Employee was  advised of Employee’s right to consult with an attorney to review this Agreement and had the  opportunity to have an attorney throughout the process leading up to the execution of this  Agreement.  Before signing this Agreement, Employee had full and adequate opportunity to review  and read it.  Moreover, Employee has read and reviewed this Agreement and acknowledges that  Employee fully understands its contents, terms, provisions and conditions.    IN WITNESS WHEREOF, the parties have executed this Agreement as of the date first  written above.      EMPLOYEE    ____________________________________      ____________________________________  Print Name    AMERANT BANCORP INC.    ____________________________________    By:_________________________________    Its:_________________________________     AMERANT BANK, N.A.    ____________________________________    By:_________________________________    Its:_________________________________EX-4.1

 Exhibit 4.1 
  

 
 IMPERIAL PETROLEUM INC. 

and 
 AMERICAN STOCK
TRANSFER & TRUST COMPANY, LLC as 
 Warrant Agent 
  

 
 Warrant Agency Agreement 

Dated as of March 23, 2022 

 WARRANT AGENCY AGREEMENT 

WARRANT AGENCY AGREEMENT, dated as of March 23, 2022 (“Agreement”), between Imperial Petroleum Inc., a corporation
organized under the laws of the Republic of the Marshall Islands (the “Company”), and American Stock Transfer & Trust Company, LLC (the “Warrant Agent”). 

W I T N E S S E T H 
 WHEREAS,
pursuant to a registered offering by the Company of 37,500,000 Units (the “Offering”), with each Unit consisting of one Common Share of the Company, par value $0.01 per share (the “Common Share”) (or one pre-funded warrant to purchase one Common Shares at an exercise price of $0.01 per share (the “Pre-Funded Warrants”) for any purchaser who, as a result of
purchasing securities in the Offering, would, together with its affiliates and other related parties, beneficially own more than 4.99% of the Company’s outstanding Common Shares immediately following the consummation of the Offering) and one
Class B warrant (the “Class B Warrants”, together with the Pre-Funded Warrants, the “Warrants”, and the Common Shares issuable upon exercise of the
Warrants, the “Warrant Shares”) to purchase one Common Share at a price of $1.60 per share (or 100% of the price of each Unit sold in the Offering); and 

WHEREAS, the Company granted an over-allotment option to purchase up to fifteen percent (15%) of the aggregate number of Shares and/or
Prefunded Warrants and/or Warrants sold, including warrants to purchase an additional 5,624,950 Common Shares (the “Over-Allotment Option”) to the Underwriters (for the avoidance of doubt, the defined term “Warrants”
includes any Warrants issued as part of the Over-Allotment Option); and 
 WHEREAS, upon the terms and subject to the conditions hereinafter
set forth and pursuant to an effective registration statement on Form F-1, as amended (File Nos. 333-263593 and 263725) (the “Registration Statement”), and the terms and conditions of the
Warrant Certificate, the Company wishes to issue the Warrants in book entry form entitling the respective holders of the Warrants (the “Holders,” which term shall include a Holder’s transferees, successors and assigns and
“Holder” shall include, if the Warrants are held in “street name,” a Participant (as defined below) or a designee appointed by such Participant); and 

WHEREAS, the Common Shares (or Pre-Funded Warrants) and Warrants to be issued in connection with the
Offering shall be immediately separable and will be issued separately, but will be purchased together in the Offering; and 
 WHEREAS, the
Company wishes the Warrant Agent to act on behalf of the Company, and the Warrant Agent is willing so to act, in connection with the issuance, registration, transfer, exchange, exercise and replacement of the Warrants and, in the Warrant
Agent’s capacity as the Company’s transfer agent, the delivery of the Warrant Shares (as defined below). 
 NOW, THEREFORE, in
consideration of the premises and the mutual agreements herein set forth, the parties hereby agree as follows: 
 Section 1. Certain
Definitions. For purposes of this Agreement, all capitalized terms not herein defined shall have the meanings hereby indicated: 
 (a)
“Affiliate” has the meaning ascribed to it in Rule 12b-2 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”). 

(b) “Business Day” means any day except any Saturday, any Sunday, any day which is a federal legal holiday in the United
States or any day on which the Nasdaq Stock Market is authorized or required by law or other governmental action to close. 
 (c)
“Close of Business” on any given date means 5:00 p.m., New York City time, on such date; provided, however, that if such date is not a Business Day it means 5:00 p.m., New York City time, on the next succeeding
Business Day. 

  
 2 

 (d) “Person” means an individual, corporation, association, partnership,
limited liability company, joint venture, trust, unincorporated organization, government or political subdivision thereof or governmental agency or other entity. 

(e) “Warrant Certificate” means a certificate in substantially the form attached as Exhibit 1A (as it relates to the
Class B Warrants) or Exhibit 1B (as it relates to the Pre-Funded Warrants) hereto, representing such number of Warrant Shares as is indicated therein, provided that any reference to the delivery of
a Warrant Certificate in this Agreement shall include delivery of a Definitive Certificate or a Global Warrant (each as defined below). 

All other capitalized terms used but not otherwise defined herein shall have the meaning ascribed to such terms in the Warrant Certificate.

 Section 2. Appointment of Warrant Agent. The Company hereby appoints the Warrant Agent to act as agent for the Company in
accordance with the terms and conditions hereof, and the Warrant Agent hereby accepts such appointment. 
 Section 3. Global
Warrants. 
 (a) The Warrants shall be registered securities and shall be evidenced by a global warrant (the “Global
Warrants”), in the form of the Warrant Certificate, which shall be deposited with the Warrant Agent and registered in the name of Cede & Co., a nominee of The Depository Trust Company (the “DTC”), or as otherwise
directed by the DTC. Ownership of beneficial interests in the Warrants shall be shown on, and the transfer of such ownership shall be effected through, records maintained by (i) the DTC or its nominee for each Global Warrant or
(ii) institutions that have accounts with the DTC (such institution, with respect to a Warrant in its account, a “Participant”). 

(b) If the DTC subsequently ceases to make its book-entry settlement system available for the Warrants, the Company may instruct the Warrant
Agent regarding other arrangements for book-entry settlement. In the event that the Warrants are not eligible for, or it is no longer necessary to have the Warrants available in, book-entry form, the Warrant Agent shall provide written instructions
to the DTC to deliver to the Warrant Agent for cancellation of each Global Warrant, and the Company shall instruct the Warrant Agent to deliver to each Holder a Warrant Certificate. 

(c) A Holder has the right to elect at any time or from time to time a Warrant Exchange (as defined below) pursuant to a Warrant Certificate
Request Notice (as defined below). Upon written notice by a Holder to the Company and the Warrant Agent for the exchange of some or all of such Holder’s Global Warrants for a separate certificate in the form attached hereto as Exhibit 1A
or Exhibit 1B, as the case may be (such separate certificate, a “Definitive Certificate”) evidencing the same number of Warrants, which request shall be in the form attached hereto as Exhibit 2 (a “Warrant
Certificate Request Notice” and the date of delivery of such Warrant Certificate Request Notice by the Holder, the “Warrant Certificate Request Notice Date” and the surrender by the Holder to the Warrant Agent of a number
of Global Warrants for the same number of Warrants evidenced by a Warrant Certificate, a “Warrant Exchange”), the Company and the Warrant Agent shall promptly effect the Warrant Exchange and the Company shall promptly issue and
deliver to the Holder a Definitive Certificate for such number of Warrants in the name set forth in the Warrant Certificate Request Notice. Such Definitive Certificate shall be dated the Initial Exercise Date of the Warrants, shall be manually
executed by an authorized signatory of the Company, shall be in the form attached hereto as Exhibit 1A or Exhibit 1B, as the case may be, and shall be reasonably acceptable in all respects to such Holder. In connection with a Warrant
Exchange, the Company agrees to deliver the Definitive Certificate to the Holder within ten (10) Business Days of the Warrant Certificate Request Notice pursuant to the delivery instructions in the Warrant Certificate Request Notice
(“Warrant Certificate Delivery Date”). If the Company fails for any reason to deliver to the Holder the Definitive Certificate subject to the Warrant Certificate Request Notice by the Warrant Certificate Delivery Date, the Company
shall pay to the Holder, in cash, as liquidated damages and not as a penalty, for each $1,000 of Warrant Shares evidenced by such Definitive Certificate (based on the VWAP (as defined in the Warrants) of the Common Shares on the Warrant Certificate
Request Notice 

  
 3 

 
Date), $10 per Business Day for each Business Day after such Warrant Certificate Delivery Date until such Definitive Certificate is delivered or, prior to delivery of such Warrant Certificate,
the Holder rescinds such Warrant Exchange. The Company covenants and agrees that, upon the date of delivery of the Warrant Certificate Request Notice, the Holder shall be deemed to be the holder of the Definitive Certificate and, notwithstanding
anything to the contrary set forth herein, the Definitive Certificate shall be deemed for all purposes to contain all of the terms and conditions of the Warrants evidenced by such Warrant Certificate and the terms of this Agreement, other than
Sections 3(c), 3(d) and 9 herein, shall not apply to the Warrants evidenced by the Definitive Certificate. Notwithstanding anything herein to the contrary, the Company shall act as warrant agent with respect to any Definitive Certificate requested
and issued pursuant to this section. Notwithstanding anything to the contrary contained in this Agreement, in the event of inconsistency between any provision in this Agreement and any provision in a Definitive Certificate, as it may from time to
time be amended, the terms of such Definitive Certificate shall control. 
 (d) A Holder of a Definitive Certificate (pursuant to a Warrant
Exchange or otherwise) has the right to elect at any time or from time to time a Global Warrants Exchange (as defined below) pursuant to a Global Warrants Request Notice (as defined below). Upon written notice by a Holder to the Company for the
exchange of some or all of such Holder’s Warrants evidenced by a Definitive Certificate for a beneficial interest in Global Warrants held in book-entry form through the DTC evidencing the same number of Warrants, which request shall be in the
form attached hereto as Exhibit 3 (a “Global Warrants Request Notice” and the date of delivery of such Global Warrants Request Notice by the Holder, the “Global Warrants Request Notice Date” and the surrender
upon delivery by the Holder of the Warrants evidenced by Definitive Certificates for the same number of Warrants evidenced by a beneficial interest in Global Warrants held in book-entry form through the DTC, a “Global Warrants
Exchange”), the Company shall promptly effect the Global Warrants Exchange and shall promptly direct the Warrant Agent to issue and deliver to the Holder Global Warrants for such number of Warrants in the Global Warrants Request Notice,
which beneficial interest in such Global Warrants shall be delivered by the DTC’s Deposit or Withdrawal at Custodian system to the Holder pursuant to the instructions in the Global Warrants Request Notice. In connection with a Global Warrants
Exchange, the Company shall direct the Warrant Agent to deliver the beneficial interest in such Global Warrants to the Holder within ten (10) Business Days of the Global Warrants Request Notice pursuant to the delivery instructions in the
Global Warrant Request Notice (“Global Warrants Delivery Date”). If the Company fails for any reason to deliver to the Holder Global Warrants subject to the Global Warrants Request Notice by the Global Warrants Delivery Date, the
Company shall pay to the Holder, in cash, as liquidated damages and not as a penalty, for each $1,000 of Warrant Shares evidenced by such Global Warrants (based on the VWAP (as defined in the Warrants) of the Common Stock on the Global Warrants
Request Notice Date), $10 per Business Day for each Business Day after such Global Warrants Delivery Date until such Global Warrants are delivered or, prior to delivery of such Global Warrants, the Holder rescinds such Global Warrants Exchange. The
Company covenants and agrees that, upon the date of delivery of the Global Warrants Request Notice, the Holder shall be deemed to be the beneficial holder of such Global Warrants. 

Section 4. Form of Warrant Certificates. The Warrant Certificate, together with the form of election to purchase Common Shares
(“Notice of Exercise”) and the form of assignment to be printed on the reverse thereof, shall be substantially in the form of Exhibit 1A or Exhibit 1B, as the case may be, hereto. 

Section 5. Countersignature and Registration. The Global Warrant shall be executed on behalf of the Company by its Chief Executive
Officer, Chief Financial Officer or Vice President, by facsimile signature, and have affixed thereto the Company’s seal or a facsimile thereof which shall be attested by the Secretary or an Assistant Secretary of the Company, by facsimile
signature. The Global Warrant shall be countersigned by the Warrant Agent by electronic or facsimile signature and shall not be valid for any purpose unless so countersigned. In case any officer of the Company who shall have signed any of the Global
Warrant shall cease to be such officer of the Company before countersignature by the Warrant Agent and issuance and delivery by the Company, such Global Warrant, nevertheless, may be countersigned by the Warrant Agent, issued and delivered with the
same force and effect as though the person who signed such Global Warrant had not ceased to be such officer of the Company; and any Global Warrant may be signed on behalf of the Company by any person who, at the actual date of the execution of such
Global Warrant, shall be a proper officer of the Company to sign such Global Warrant, although at the date of the execution of this Agreement any such person was not such an officer. 

  
 4 

 The Warrant Agent will keep or cause to be kept, at one of its offices, or at the office of
one of its agents, books for registration and transfer of the Global Warrants issued hereunder. Such books shall show the names and addresses of the respective Holders of the Global Warrant, the number of warrants evidenced on the face of each of
such Global Warrant and the date of each of such Global Warrant. The Warrant Agent will create a special account for the issuance of Global Warrants. The Company will keep or cause to be kept at one of its offices, books for the registration and
transfer of any Definitive Certificates issued hereunder and the Warrant Agent shall not have any obligation to keep books and records with respect to any Definitive Warrants. Such Company books shall show the names and addresses of the respective
Holders of the Definitive Certificates, the number of warrants evidenced on the face of each such Definitive Certificate and the date of each such Definitive Certificate. 

Section 6. Transfer, Split Up, Combination and Exchange of Warrant Certificates; Mutilated, Destroyed, Lost or Stolen Warrant
Certificates. With respect to the Global Warrant, subject to the provisions of the Warrant Certificate and the last sentence of this first paragraph of Section 6 and subject to applicable law, rules or regulations, or any “stop
transfer” instructions the Company may give to the Warrant Agent, at any time after the closing date of the Offering, and at or prior to the Close of Business on the Termination Date (as such term is defined in the Warrant Certificate), any
Global Warrant or Global Warrants may be transferred, split up, combined or exchanged for another Global Warrant or Global Warrants, entitling the Holder to purchase a like number of Common Shares as the Global Warrant or Global Warrants surrendered
then entitled such Holder to purchase. Any Holder desiring to transfer, split up, combine or exchange any Global Warrant shall make such request in writing delivered to the Warrant Agent, and shall surrender the Global Warrant to be transferred,
split up, combined or exchanged at the principal office of the Warrant Agent. Any requested transfer of Warrants, whether in book-entry form or certificate form, shall be accompanied by reasonable evidence of authority of the party making such
request that may be required by the Warrant Agent. Thereupon the Warrant Agent shall, subject to the last sentence of this first paragraph of Section 6, countersign and deliver to the Person entitled thereto a Global Warrant or Global Warrants,
as the case may be, as so requested. The Company may require payment from the Holder of a sum sufficient to cover any tax or governmental charge that may be imposed in connection with any transfer, split up, combination or exchange of Global
Warrants. The Company shall compensate the Warrant Agent per the fee schedule mutually agreed upon by the parties hereto and provided separately on the date hereof. 

Upon receipt by the Warrant Agent of evidence reasonably satisfactory to it of the loss, theft, destruction or mutilation of a Warrant
Certificate, which evidence shall include an affidavit of loss, or in the case of mutilated certificates, the certificate or portion thereof remaining, and, in case of loss, theft or destruction, of indemnity in customary form and amount (but, with
respect to any Definitive Certificates, shall not include the posting of any bond by the Holder), and satisfaction of any other reasonable requirements established by Section 8-405 of the Uniform
Commercial Code as in effect in the State of Delaware, and reimbursement to the Company and the Warrant Agent of all reasonable expenses incidental thereto, and upon surrender to the Warrant Agent and cancellation of the Warrant Certificate if
mutilated, the Company will make and deliver a new Warrant Certificate of like tenor to the Warrant Agent for delivery to the Holder in lieu of the Warrant Certificate so lost, stolen, destroyed or mutilated. 

Section 7. Exercise of Warrants; Exercise Price; Termination Date. 

(a) The Warrants shall be exercisable commencing on the Initial Exercise Date. The Warrants shall cease to be exercisable as set forth in the
Warrant Certificate. Subject to the foregoing and to Section 7(b) below, the Holder of a Warrant may exercise the Warrant in whole or in part pursuant to Section 2 of the Warrant Certificate. Subject to Section 7(b) below, payment of
the Exercise Price (unless exercised via a cashless exercise) may be made, at the option of the Holder, by wire transfer or by certified or official bank check in United States dollars, to the Warrant Agent at the principal office of the Warrant
Agent or to the office of one of its agents as may be designated by the Warrant Agent from time to time. In the case of the Holder of a Global Warrant, the Holder shall deliver the executed Notice of Exercise and the payment of the Exercise Price as
described herein. Notwithstanding any other provision in this Agreement, a holder whose interest in a Global Warrant is a beneficial interest in a Global Warrant held in book-entry form through the DTC (or another established clearing corporation
performing similar functions), shall effect exercises by 

  
 5 

 
delivering to the DTC (or such other clearing corporation, as applicable) the appropriate instruction form for exercise, complying with the procedures to effect exercise that are required by the
DTC (or such other clearing corporation, as applicable). The Company acknowledges that the bank accounts maintained by the Warrant Agent in connection with the services provided under this Agreement will be in its name and that the Warrant Agent may
receive investment earnings in connection with the investment at Warrant Agent’s risk and for its benefit of funds held in those accounts from time to time. Neither the Company nor the Holders will receive interest on any deposits or Exercise
Price. No ink-original Notice of Exercise shall be required, nor shall any medallion guarantee (or other type of guarantee or notarization) of any Notice of Exercise be required. The Company hereby
acknowledges and agrees that, with respect to a holder whose interest in a Global Warrant is a beneficial interest in a Global Warrant held in book-entry form through the DTC (or another established clearing corporation performing similar
functions), upon delivery of irrevocable instructions to such holder’s Participant to exercise such warrants, that solely for purposes of Regulation SHO that such holder shall be deemed to have exercised such warrants. 

(b) Upon receipt of a Notice of Exercise for a Cashless Exercise, the Company will promptly calculate and transmit to the Warrant Agent the
number of Warrant Shares issuable in connection with such Cashless Exercise and deliver a copy of the Notice of Exercise to the Warrant Agent, which shall issue such number of Warrant Shares in connection with such Cashless Exercise. 

(c) Upon the exercise of the Warrant Certificate pursuant to the terms of Section 2 of the Warrant Certificate, the Warrant Agent shall
cause the Warrant Shares underlying such Warrant Certificate or Global Warrant to be delivered to or upon the order of the Holder of such Warrant Certificate or Global Warrant, registered in such name or names as may be designated by such Holder, no
later than the Warrant Share Delivery Date (as such term is defined in the Warrant Certificate). If the Company is then a participant in the DWAC system of the DTC and either (A) there is an effective registration statement permitting the
issuance of the Warrant Shares to or resale of the Warrant Shares by Holder or (B) the Warrant is being exercised via Cashless Exercise, then the certificates for Warrant Shares shall be transmitted by the Warrant Agent to the Holder by
crediting the account of the Holder’s broker with the DTC through its DWAC system. For the avoidance of doubt, if the Company becomes obligated to pay any amounts to any Holders pursuant to Section 2(d)(i) or 2(d)(iv) of the Warrant
Certificate, such obligation shall be solely that of the Company and not that of the Warrant Agent. Notwithstanding anything else to the contrary in this Agreement, except in the case of a Cashless Exercise, if any Holder fails to duly deliver
payment to the Warrant Agent of an amount equal to the aggregate Exercise Price of the Warrant Shares to be purchased upon exercise of such Holder’s Warrant as set forth in Section 7(a) hereof by the Warrant Share Delivery Date, the
Warrant Agent will not obligated to deliver such Warrant Shares (via DWAC or otherwise) until following receipt of such payment, and the applicable Warrant Share Delivery Date shall be deemed extended by one day for each day (or part thereof) until
such payment is delivered to the Warrant Agent.  
 (d) The Warrant Agent shall
deposit all funds received by it in payment of the Exercise Price for all Warrants in the account of the Company maintained with the Warrant Agent for such purpose (or to such other account as directed by the Company in writing) and shall advise the
Company via email at the end of each day on which notices of exercise are received or funds for the exercise of any Warrant are received of the amount so deposited to its account. 

Section 8. Cancellation and Destruction of Warrant Certificates. All Warrant Certificates surrendered for the purpose of exercise,
transfer, split up, combination or exchange shall, if surrendered to the Company or to any of its agents, be delivered to the Warrant Agent for cancellation or in canceled form, or, if surrendered to the Warrant Agent, shall be canceled by it, and
no Warrant Certificate shall be issued in lieu thereof except as expressly permitted by any of the provisions of this Agreement. The Company shall deliver to the Warrant Agent for cancellation and retirement, and the Warrant Agent shall so cancel
and retire, any other Warrant Certificate purchased or acquired by the Company otherwise than upon the exercise thereof. The Warrant Agent shall deliver all canceled Warrant Certificates to the Company, or shall, at the written request of the
Company, destroy such canceled Warrant Certificates, and in such case shall deliver a certificate of destruction thereof to the Company, subject to any applicable law, rule or regulation requiring the Warrant Agent to retain such canceled
certificates. 

  
 6 

 Section 9. Certain Representations; Reservation and Availability of Common Shares or
Cash. 
 (a) This Agreement has been duly authorized, executed and delivered by the Company and, assuming due authorization, execution
and delivery hereof by the Warrant Agent, constitutes a valid and legally binding obligation of the Company enforceable against the Company in accordance with its terms, and the Warrants have been duly authorized, executed and issued by the Company
and, assuming due authentication thereof by the Warrant Agent pursuant hereto and payment therefor by the Holders as provided in the Registration Statement, constitute valid and legally binding obligations of the Company enforceable against the
Company in accordance with their terms and entitled to the benefits hereof; in each case except as enforceability may be limited by bankruptcy, insolvency, reorganization, moratorium and other similar laws relating to or affecting creditors’
rights generally or by general equitable principles (regardless of whether such enforceability is considered in a proceeding in equity or at law). 

(b) As of the date hereof, the authorized capital stock of the Company consists of (i) 2,000,000,000 Common Shares, of which approximately
60,412,272 Common Shares are issued and outstanding, and 47,024,950 Common Shares are reserved for issuance upon exercise of the Warrants, and (ii) 200,000,000 preferred shares, par value $0.01 per share, of which 795,878 Series A Preferred
Shares are currently issued and outstanding. Except as disclosed in the Registration Statement, there are no other outstanding obligations, warrants, options or other rights to subscribe for or purchase from the Company any class of capital stock of
the Company. 
 (c) The Company covenants and agrees that it will cause to be reserved and kept available out of its authorized and unissued
Common Shares or its authorized and issued Common Shares held in its treasury, free from preemptive rights, the number of Common Shares that will be sufficient to permit the exercise in full of all outstanding Warrants. 

(d) The Warrant Agent will create a special account for the issuance of Common Shares upon the exercise of Warrants. 

(e) The Company further covenants and agrees that it will pay when due and payable any and all federal and state transfer taxes and charges
which may be payable in respect of the original issuance or delivery of the Warrant Certificates or certificates evidencing Common Shares upon exercise of the Warrants. The Company shall not, however, be required to pay any tax or governmental
charge which may be payable in respect of any transfer involved in the transfer or delivery of Warrant Certificates or the issuance or delivery of certificates for Common Shares in a name other than that of the Holder of the Warrant Certificate
evidencing Warrants surrendered for exercise or to issue or deliver any certificate for Common Shares upon the exercise of any Warrants until any such tax or governmental charge shall have been paid (any such tax or governmental charge being payable
by the Holder of such Warrant Certificate at the time of surrender) or until it has been established to the Company’s reasonable satisfaction that no such tax or governmental charge is due. 

Section 10. Common Share Record Date. Each Person in whose name any certificate for Common Shares is issued (or to whose
broker’s account is credited Common Shares through the DWAC system) upon the exercise of Warrants shall for all purposes be deemed to have become the holder of record for the Common Shares represented thereby on, and such certificate shall be
dated, the date on which submission of the Notice of Exercise was made, provided that the Warrant Certificate evidencing such Warrant is duly surrendered (but only if required herein) and payment of the Exercise Price (and any applicable transfer
taxes) is received on or prior to the Warrant Share Delivery Date; provided, however, that if the date of submission of the Notice of Exercise is a date upon which the Common Shares transfer books of the Company are closed, such Person
shall be deemed to have become the record holder of such shares on, and such certificate shall be dated, the next succeeding day on which the Common Shares transfer books of the Company are open. 

  
 7 

 Section 11. Adjustment of Exercise Price, Number of Common Shares or Number of the
Company Warrants. The Exercise Price, the number of shares covered by each Warrant and the number of Warrants outstanding are subject to adjustment from time to time as provided in Section 3 of the Warrant Certificate. In the event that at
any time, as a result of an adjustment made pursuant to Section 3 of the Warrant Certificate, the Holder of any Warrant thereafter exercised shall become entitled to receive any shares of capital stock of the Company other than Common Shares,
thereafter the number of such other shares so receivable upon exercise of any Warrant shall be subject to adjustment from time to time in a manner and on terms as nearly equivalent as practicable to the provisions with respect to the shares
contained in Section 3 of the Warrant Certificate and the provisions of Sections 7, 11 and 12 of this Agreement with respect to the Common Shares shall apply on like terms to any such other shares. All Warrants originally issued by the Company
subsequent to any adjustment made to the Exercise Price pursuant to the Warrant Certificate shall evidence the right to purchase, at the adjusted Exercise Price, the number of Common Shares purchasable from time to time hereunder upon exercise of
the Warrants, all subject to further adjustment as provided herein. 
 Section 12. Certification of Adjusted Exercise Price or
Number of Common Shares. Whenever the Exercise Price or the number of Common Shares issuable upon the exercise of each Warrant is adjusted as provided in Section 11 or 13, the Company shall (a) promptly prepare a certificate setting
forth the Exercise Price of each Warrant as so adjusted, and a brief statement of the facts accounting for such adjustment, (b) promptly file with the Warrant Agent and with each transfer agent for the Common Shares a copy of such certificate
and (c) instruct the Warrant Agent to send a brief summary thereof to each Holder of a Warrant Certificate. 
 Section 13.
Fractional Shares of Common Shares. 
 (a) The Company shall not issue fractions of Warrants or distribute Warrant Certificates which
evidence fractional Warrants. Whenever any fractional Warrant would otherwise be required to be issued or distributed, the actual issuance or distribution shall reflect a rounding of such fraction to the nearest whole Warrant (rounded up). 

(b) The Company shall not issue fractions of Common Shares upon exercise of Warrants or distribute stock certificates which evidence
fractional Common Shares. Whenever any fraction of a Common Share would otherwise be required to be issued or distributed, the actual issuance or distribution in respect thereof shall be made in accordance with Section 2(d)(v) of the Warrant
Certificate. 
 Section 14. Conditions of the Warrant Agent’s Obligations. The Warrant Agent accepts its obligations herein
set forth upon the terms and conditions hereof, including the following to all of which the Company agrees and to all of which the rights hereunder of the Holders from time to time of the Warrant Certificates shall be subject: 

 

	 	(a)	 Compensation and Indemnification. The Company agrees promptly to pay the Warrant Agent the compensation
detailed on the fee schedule mutually agreed upon by the parties hereto and provided separately on the date hereof for all services rendered by the Warrant Agent and to reimburse the Warrant Agent for reasonable out-of-pocket expenses (including reasonable counsel fees) incurred without gross negligence or willful misconduct by the Warrant Agent in connection with the services rendered hereunder by the Warrant Agent.
The Company also agrees to indemnify the Warrant Agent for, and to hold it harmless against, any loss, liability or expense incurred without gross negligence or willful misconduct on the part of the Warrant Agent, arising out of or in connection
with its acting as Warrant Agent hereunder, including the reasonable costs and expenses of defending against any claim of such liability. The Warrant Agent shall be under no obligation to institute or defend any action, suit, or legal proceeding in
connection herewith or to take any other action likely to involve the Warrant Agent in expense, unless first indemnified to the Warrant Agent’s satisfaction. The indemnities provided by this paragraph shall survive the resignation or discharge
of the Warrant Agent or the termination of this Agreement. Anything in this Agreement to the contrary notwithstanding, in no event shall the Warrant Agent be liable under or in connection with the Agreement for indirect, special, incidental,
punitive or consequential losses or damages of any kind whatsoever, including but not limited to lost profits, whether or not foreseeable, even if the Warrant Agent has been advised of the possibility thereof and regardless of the form of action in
which such damages are sought, and the Warrant Agent’s aggregate liability to the Company, or any of the Company’s representatives or agents, under this Section 14(a) or under any other term or provision of this Agreement, whether in
contract, tort, or otherwise, is expressly limited to, and shall not exceed in any circumstances, one (1) year’s fees received by the Warrant Agent as fees and charges under this Agreement, but not including reimbursable expenses
previously reimbursed to the Warrant Agent by the Company hereunder. 

  
 8 

	 	(b)	 Agent for the Company. In acting under this Agreement and in connection with the Warrant Certificates,
the Warrant Agent is acting solely as agent of the Company and does not assume any obligations or relationship of agency or trust for or with any of the Holders of Warrant Certificates or beneficial owners of Warrants. 

 

	 	(c)	 Counsel. The Warrant Agent may consult with counsel satisfactory to it, which may include counsel for
the Company, and the written advice of such counsel shall be full and complete authorization and protection in respect of any action taken, suffered or omitted by it hereunder in good faith and in accordance with the advice of such counsel.

  

	 	(d)	 Documents. The Warrant Agent shall be protected and shall incur no liability for or in respect of any
action taken or omitted by it in reliance upon any Warrant Certificate, notice, direction, consent, certificate, affidavit, statement or other paper or document reasonably believed by it to be genuine and to have been presented or signed by the
proper parties. 

  

	 	(e)	 Certain Transactions. The Warrant Agent, and its officers, directors and employees, may become the owner
of, or acquire any interest in, Warrants, with the same rights that it or they would have if it were not the Warrant Agent hereunder, and, to the extent permitted by applicable law, it or they may engage or be interested in any financial or other
transaction with the Company and may act on, or as depositary, trustee or agent for, any committee or body of Holders of Warrant Securities or other obligations of the Company as freely as if it were not the Warrant Agent hereunder. Nothing in this
Agreement shall be deemed to prevent the Warrant Agent from acting as trustee under any indenture to which the Company is a party. 

  

	 	(f)	 No Liability for Interest. Unless otherwise agreed with the Company, the Warrant Agent shall have no
liability for interest on any monies at any time received by it pursuant to any of the provisions of this Agreement or of the Warrant Certificates. 

  

	 	(g)	 No Liability for Invalidity. The Warrant Agent shall have no liability with respect to any invalidity of
this Agreement or the Warrant Certificates (except as to the Warrant Agent’s countersignature thereon). 

  

	 	(h)	 No Responsibility for Representations. The Warrant Agent shall not be responsible for any of the
recitals or representations herein or in the Warrant Certificate (except as to the Warrant Agent’s countersignature thereon), all of which are made solely by the Company. 

 

	 	(i)	 No Implied Obligations. The Warrant Agent shall be obligated to perform only such duties as are herein
and in the Warrant Certificates specifically set forth and no implied duties or obligations shall be read into this Agreement or the Warrant Certificates against the Warrant Agent. The Warrant Agent shall not be under any obligation to take any
action hereunder which may tend to involve it in any expense or liability, the payment of which within a reasonable time is not, in its reasonable opinion, assured to it. The Warrant Agent shall not be accountable or under any duty or responsibility
for the use by the Company of any of the Warrant Certificates authenticated by the Warrant Agent and delivered by it to the Company pursuant to this Agreement or for the application by the Company of the proceeds of the Warrant Certificate. The
Warrant Agent shall have no duty or responsibility in case of any default by the Company in the performance of its covenants or agreements contained herein or in the Warrant Certificates or in the case of the receipt of any written demand from a
Holder of a Warrant Certificate with respect to such default, including, without limiting the generality of the foregoing, any duty or responsibility to initiate or attempt to initiate any proceedings at law. 

  
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 Section 15. Purchase or Consolidation or Change of Name of Warrant Agent. Any
corporation into which the Warrant Agent or any successor Warrant Agent may be merged or with which it may be consolidated, or any corporation resulting from any merger or consolidation to which the Warrant Agent or any successor Warrant Agent shall
be party, or any corporation succeeding to the corporate trust business of the Warrant Agent or any successor Warrant Agent, shall be the successor to the Warrant Agent under this Agreement without the execution or filing of any paper or any further
act on the part of any of the parties hereto, provided that such corporation would be eligible for appointment as a successor Warrant Agent under the provisions of Section 17. In case at the time such successor Warrant Agent shall succeed to
the agency created by this Agreement any of the Warrant Certificates shall have been countersigned but not delivered, any such successor Warrant Agent may adopt the countersignature of the predecessor Warrant Agent and deliver such Warrant
Certificates so countersigned; and in case at that time any of the Warrant Certificates shall not have been countersigned, any successor Warrant Agent may countersign such Warrant Certificates either in the name of the predecessor Warrant Agent or
in the name of the successor Warrant Agent; and in all such cases such Warrant Certificates shall have the full force provided in the Warrant Certificates and in this Agreement. 

In case at any time the name of the Warrant Agent shall be changed and at such time any of the Warrant Certificates shall have been
countersigned but not delivered, the Warrant Agent may adopt the countersignature under its prior name and deliver such Warrant Certificates so countersigned; and in case at that time any of the Warrant Certificates shall not have been
countersigned, the Warrant Agent may countersign such Warrant Certificates either in its prior name or in its changed name; and in all such cases such Warrant Certificates shall have the full force provided in the Warrant Certificates and in this
Agreement. 
 Section 16. Duties of Warrant Agent. The Warrant Agent undertakes the duties and obligations imposed by this
Agreement upon the following terms and conditions, by all of which the Company, by its acceptance hereof, shall be bound: 
 (a) The Warrant
Agent may consult with legal counsel reasonably acceptable to the Company (who may be legal counsel for the Company), and the opinion of such counsel shall be full and complete authorization and protection to the Warrant Agent as to any action taken
or omitted by it in good faith and in accordance with such opinion. 
 (b) Whenever in the performance of its duties under this Agreement
the Warrant Agent shall deem it necessary or desirable that any fact or matter be proved or established by the Company prior to taking or suffering any action hereunder, such fact or matter (unless other evidence in respect thereof be herein
specifically prescribed) may be deemed to be conclusively proved and established by a certificate signed by the Chief Executive Officer, Chief Financial Officer or Vice President of the Company; and such certificate shall be full authentication to
the Warrant Agent for any action taken or suffered in good faith by it under the provisions of this Agreement in reliance upon such certificate. 

(c) Subject to the limitation set forth in Section 14, the Warrant Agent shall be liable hereunder only for its own gross negligence or
willful misconduct, or for a breach by it of this Agreement. 
 (d) The Warrant Agent shall not be liable for or by reason of any of the
statements of fact or recitals contained in this Agreement or in the Warrant Certificate (except its countersignature thereof) by the Company or be required to verify the same, but all such statements and recitals are and shall be deemed to have
been made by the Company only. 
 (e) The Warrant Agent shall not be under any responsibility in respect of the validity of this Agreement
or the execution and delivery hereof (except the due execution hereof by the Warrant Agent) or in respect of the validity or execution of any Warrant Certificate (except its countersignature thereof); nor shall it be responsible for any breach by
the Company of any covenant or condition contained in this Agreement or in any Warrant Certificate; nor shall it be responsible for the adjustment of the Exercise Price or the making of any change in the number of Common Shares required under the
provisions of Section 11 or 13 or responsible for the manner, method or amount of any such change or the ascertaining of the existence 

  
 10 

 
of facts that would require any such adjustment or change (except with respect to the exercise of Warrants evidenced by the Warrant Certificates after actual notice of any adjustment of the
Exercise Price); nor shall it by any act hereunder be deemed to make any representation or warranty as to the authorization or reservation of any Common Shares to be issued pursuant to this Agreement or any Warrant Certificate or as to whether any
Common Shares will, when issued, be duly authorized, validly issued, fully paid and nonassessable. 
 (f) Each party hereto agrees that it
will perform, execute, acknowledge and deliver or cause to be performed, executed, acknowledged and delivered all such further and other acts, instruments and assurances as may reasonably be required by the other party hereto for the carrying out or
performing by any party of the provisions of this Agreement. 
 (g) The Warrant Agent is hereby authorized to accept instructions with
respect to the performance of its duties hereunder from the Chief Executive Officer, Chief Financial Officer or Vice President of the Company, and to apply to such officers for advice or instructions in connection with its duties, and it shall not
be liable and shall be indemnified and held harmless for any action taken or suffered to be taken by it in good faith in accordance with instructions of any such officer, provided Warrant Agent carries out such instructions without gross negligence
or willful misconduct. 
 (h) The Warrant Agent and any shareholder, director, officer or employee of the Warrant Agent may buy, sell or
deal in any of the Warrants or other securities of the Company or become pecuniarily interested in any transaction in which the Company may be interested, or contract with or lend money to the Company or otherwise act as fully and freely as though
it were not Warrant Agent under this Agreement. Nothing herein shall preclude the Warrant Agent from acting in any other capacity for the Company or for any other legal entity. 

(i) The Warrant Agent may execute and exercise any of the rights or powers hereby vested in it or perform any duty hereunder either itself or
by or through its attorney or agents, and the Warrant Agent shall not be answerable or accountable for any act, default, neglect or misconduct of any such attorney or agents or for any loss to the Company resulting from any such act, default,
neglect or misconduct, provided reasonable care was exercised in the selection and continued employment thereof. 
 Section 17.
Change of Warrant Agent. The Warrant Agent may resign and be discharged from its duties under this Agreement upon 30 days’ notice in writing sent to the Company and to each transfer agent of the Common Shares and to the Holders of the
Warrant Certificates. The Company may remove the Warrant Agent or any successor Warrant Agent upon 30 days’ notice in writing, sent to the Warrant Agent or successor Warrant Agent, as the case may be, and to each transfer agent of the Common
Shares, and to the Holders of the Warrant Certificates. If the Warrant Agent shall resign or be removed or shall otherwise become incapable of acting, the Company shall appoint a successor to the Warrant Agent. If the Company shall fail to make such
appointment within a period of 30 days after such removal or after it has been notified in writing of such resignation or incapacity by the resigning or incapacitated Warrant Agent or by the Holder of a Warrant Certificate (who shall, with such
notice, submit his Warrant Certificate for inspection by the Company), then the Holder of any Warrant Certificate may apply to any court of competent jurisdiction for the appointment of a new Warrant Agent, provided that, for purposes of this
Agreement, the Company shall be deemed to be the Warrant Agent until a new warrant agent is appointed. Any successor Warrant Agent, whether appointed by the Company or by such a court, shall be a corporation organized and doing business under the
laws of the United States or of a state thereof, in good standing, which is authorized under such laws to exercise corporate trust powers and is subject to supervision or examination by federal or state authority and which has at the time of its
appointment as Warrant Agent a combined capital and surplus of at least $50,000,000. After appointment, the successor Warrant Agent shall be vested with the same powers, rights, duties and responsibilities as if it had been originally named as
Warrant Agent without further act or deed; but the predecessor Warrant Agent shall deliver and transfer to the successor Warrant Agent any property at the time held by it hereunder, and execute and deliver any further assurance, conveyance, act or
deed necessary for the purpose. Not later than the effective date of any such appointment, the Company shall file notice thereof in writing with the predecessor Warrant Agent and each transfer agent of the Common Shares, and mail a notice thereof in
writing to the Holders of the Warrant Certificates. However, failure to give any notice provided for in this Section 17, or any defect therein, shall not affect the legality or validity of the resignation or removal of the Warrant Agent or the
appointment of the successor Warrant Agent, as the case may be. 

  
 11 

 Section 18. Issuance of New Warrant Certificates. Notwithstanding any of the
provisions of this Agreement or of the Warrants to the contrary, the Company may, at its option, issue new Warrant Certificates evidencing Warrants in such form as may be approved by its Board of Directors to reflect any adjustment or change in the
Exercise Price per share and the number or kind or class of shares of stock or other securities or property purchasable under the several Warrant Certificates made in accordance with the provisions of this Agreement. 

Section 19. Notices. Notices or demands authorized by this Agreement to be given or made (i) by the Warrant Agent or by the
Holder of any Warrant Certificate to or on the Company, (ii) subject to the provisions of Section 17, by the Company or by the Holder of any Warrant Certificate to or on the Warrant Agent or (iii) by the Company or the Warrant Agent
to the Holder of any Warrant Certificate shall be deemed given (a) on the date delivered, if delivered personally, (b) on the first Business Day following the deposit thereof with Federal Express or another recognized overnight courier, if
sent by Federal Express or another recognized overnight courier, (c) on the fourth Business Day following the mailing thereof with postage prepaid, if mailed by registered or certified mail (return receipt requested), and (d) the date of
transmission, if such notice or communication is delivered via facsimile or email attachment at or prior to 5:30 p.m. (New York City time) on a Business Day and (e) the next Business Day after the date of transmission, if such notice or
communication is delivered via facsimile or email attachment on a day that is not a Business Day or later than 5:30 p.m. (New York City time) on any Business Day, in each case to the parties at the following addresses (or at such other address for a
party as shall be specified by like notice): 
  

	 	(a)	 If to the Company, to: 

Imperial Petroleum Inc. 
 331
Kifissias Avenue 
 Erithrea 14561, Athens, Greece 
  

	 	(b)	 If to the Warrant Agent, to: 

American Stock Transfer & Trust Company, LLC 

6201 15th Ave 
 Brooklyn, NY
11219 
 Attention: Reorg Department - Warrants 

For any notice delivered by email to be deemed given or made, such notice must be followed by notice sent by overnight courier service to be delivered on the
next business day following such email, unless the recipient of such email has acknowledged via return email receipt of such email. 
 (c)
If to the Holder of any Warrant Certificate to the address of such Holder as shown on the registry books of the Company. Any notice required to be delivered by the Company to the Holder of any Warrant may be given by the Warrant Agent on behalf of
the Company. Notwithstanding any other provision of this Agreement, where this Agreement provides for notice of any event to a Holder of any Warrant, such notice shall be sufficiently given if given to the DTC (or its designee) pursuant to the
procedures of the DTC or its designee. 
 Section 20. Supplements and Amendments. 

(a) The Company and the Warrant Agent may from time to time supplement or amend this Agreement without the approval of any Holders of Global
Warrants in order to add to the covenants and agreements of the Company for the benefit of the Holders of the Global Warrants or to surrender any rights or power reserved to or conferred upon the Company in this Agreement, provided that such
addition or surrender shall not adversely affect the interests of the Holders of the Global Warrants or Warrant Certificates in any material respect. 

  
 12 

 (b) In addition to the foregoing, with the consent of Holders of Warrants entitled, upon
exercise thereof, to receive not less than a majority of the Common Shares issuable under Warrants which are not beneficially owned by Affiliates of the Company, the Company and the Warrant Agent may modify this Agreement for the purpose of adding
any provisions to or changing in any manner or eliminating any of the provisions of this Agreement or modifying in any manner the rights of the Holders of the Global Warrants; provided, however, that no modification of the terms
(including but not limited to the adjustments described in Section 11) upon which the Warrants are exercisable or the rights of holders of Warrants to receive liquidated damages or other payments in cash from the Company or reducing the
percentage required for consent to modification of this Agreement may be made without the consent of the Holder of each outstanding Warrant Certificate affected thereby; provided, further, however, that no amendment hereunder
shall affect any terms of any Warrant Certificate issued in a Warrant Exchange. As a condition precedent to the Warrant Agent’s execution of any amendment, the Company shall deliver to the Warrant Agent a certificate from a duly authorized
officer of the Company that states that the proposed amendment complies with the terms of this Section 20. 
 Section 21.
Successors. All covenants and provisions of this Agreement by or for the benefit of the Company or the Warrant Agent shall bind and inure to the benefit of their respective successors and assigns hereunder. 

Section 22. Benefits of this Agreement. Nothing in this Agreement shall be construed to give any Person other than the Company,
the Holders of Warrant Certificates and the Warrant Agent any legal or equitable right, remedy or claim under this Agreement. This Agreement shall be for the sole and exclusive benefit of the Company, the Warrant Agent and the Holders of the Warrant
Certificates. Notwithstanding anything to the contrary contained herein, to the extent any provision of a Warrant Certificate conflicts with any provision of this Agreement, the provisions of the Warrant Certificate shall govern and be controlling.

 Section 23. Governing Law. This Agreement and each Warrant Certificate and Global Warrant issued hereunder shall be governed
by, and construed in accordance with, the laws of the State of New York, without giving effect to the conflicts of law principles thereof. 

Section 24. Counterparts. This Agreement may be executed in any number of counterparts and each of such counterparts shall for all
purposes be deemed to be an original, and all such counterparts shall together constitute but one and the same instrument. 

Section 25. Captions. The captions of the sections of this Agreement have been inserted for convenience only and shall not control
or affect the meaning or construction of any of the provisions hereof. 
 Section 26. Information. The Company agrees to
promptly provide to the Holders of the Warrants any information it provides to the holders of the Common Shares, except to the extent any such information is publicly available on the EDGAR system (or any successor thereof) of the Securities and
Exchange Commission. 
 [Signature page to follow] 

  
 13 

 IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly executed as of
the day and year first above written. 
  

			
	IMPERIAL PETROLEUM INC.
		
	By:	 	 /s/ Fenia Sakellari

		 	Name: Fenia Sakellari
		 	Title: Chief Financial Officer
	
	AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC
		
	By:	 	 /s/ Michael Legregin

		 	Name: Michael Legregin
		 	Title: Senior Vice President

  
 14 

 Exhibit 1A and Exhibit 1B 

Form of Warrant Certificates 

 Exhibit 2 

Form of Warrant Certificate Request Notice 

WARRANT CERTIFICATE REQUEST NOTICE 
 To: American
Stock Transfer & Trust Company, as Warrant Agent for Imperial Petroleum Inc. (the “Company”) 
 The undersigned Holder of Common Share
Purchase Warrants (“Warrants”) in the form of Global Warrants issued by the Company hereby elects to receive a Warrant Certificate evidencing the Warrants held by the Holder as specified below: 

 

	1.	 Name of Holder of Warrants in form of Global Warrants: _____________________________ 

 

	2.	 Name of Holder in Warrant Certificate (if different from name of Holder of Warrants in form of Global
Warrants): ________________________________ 

  

	3.	 Number of Warrants in name of Holder in form of Global Warrants: ___________________ 

 

	4.	 Number of Warrants for which Warrant Certificate shall be issued: __________________ 

 

	5.	 Number of Warrants in name of Holder in form of Global Warrants after issuance of Warrant Certificate, if any:
___________ 

  

	6.	 Warrant Certificate shall be delivered to the following address: 

 
  

 
  

 
  

 
  

The undersigned hereby acknowledges and agrees that, in connection with this Warrant Exchange and the issuance of the Warrant Certificate, the Holder is
deemed to have surrendered the number of Warrants in form of Global Warrants in the name of the Holder equal to the number of Warrants evidenced by the Warrant Certificate. 

[SIGNATURE OF HOLDER] 
 Name of Investing Entity:
____________________________________________________ 
 Signature of Authorized Signatory of Investing Entity: ______________________________ 

Name of Authorized Signatory: ________________________________________________ 

Title of Authorized Signatory: _________________________________________________ 

Date: _______________________________________________________________ 

 Exhibit 3 

Form of Global Warrant Request Notice 

GLOBAL WARRANT REQUEST NOTICE 
 To: American
Stock Transfer & Trust Company, as Warrant Agent for Imperial Petroleum Inc. (the “Company”) 
 The undersigned Holder of Common Share
Purchase Warrants (“Warrants”) in the form of Warrants Certificates issued by the Company hereby elects to receive a Global Warrant evidencing the Warrants held by the Holder as specified below: 

 

	1.	 Name of Holder of Warrants in form of Warrant Certificates: _____________________________

  

	2.	 Name of Holder in Global Warrant (if different from name of Holder of Warrants in form of Warrant
Certificates): ________________________________ 

  

	3.	 Number of Warrants in name of Holder in form of Warrant Certificates: ___________________

  

	4.	 Number of Warrants for which Global Warrant shall be issued: __________________ 

 

	5.	 Number of Warrants in name of Holder in form of Warrant Certificates after issuance of Global Warrant, if any:
___________ 

  

	6.	 Global Warrant shall be delivered to the following address: 

 
  

 
  

 
  

 
  

The undersigned hereby acknowledges and agrees that, in connection with this Global Warrant Exchange and the issuance of the Global Warrant, the Holder is
deemed to have surrendered the number of Warrants in form of Warrant Certificates in the name of the Holder equal to the number of Warrants evidenced by the Global Warrant. 

[SIGNATURE OF HOLDER] 
 Name of Investing Entity:
____________________________________________________ 
 Signature of Authorized Signatory of Investing Entity: ______________________________ 

Name of Authorized Signatory: ________________________________________________ 

Title of Authorized Signatory: _________________________________________________ 

Date: _______________________________________________________________

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