SEC Contract Filing

Filing Date: 2017-03-30

Document Content:
<DOCUMENT>
<TYPE>EX-10.2
<SEQUENCE>3
<FILENAME>investorrightsagreement.htm
<DESCRIPTION>EXHIBIT 10.2
<TEXT>
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<div><a name="sC24D5427774ED9EAB0CB1F8AFC68B280"></a></div><div><div style="line-height:138%;padding-bottom:13px;text-align:right;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">EXECUTION VERSION</font></div></div><div><br></div><div style="line-height:120%;"><hr></div><div style="line-height:120%;padding-bottom:16px;text-align:left;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">INVESTOR RIGHTS AGREEMENT </font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">by and between </font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">SHANGHAI HUAXIN GROUP (HONGKONG) LIMITED</font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">and</font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">COWEN GROUP, INC.</font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;font-weight:bold;">March 29, 2017</font></div><div style="line-height:120%;padding-bottom:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;"><br></font></div><div style="line-height:120%;"><hr></div><div style="line-height:120%;padding-bottom:16px;text-align:left;font-size:11pt;"><font style="font-family:inherit;font-size:11pt;"><br></font></div><div><a name="s66429658FED101A8B8EB1F8AFC6B5971"></a></div><div style="line-height:138%;padding-bottom:16px;padding-top:16px;text-align:center;font-size:12pt;"><font style="font-family:inherit;font-size:12pt;">TABLE OF CONTENTS </font></div><div style="line-height:138%;padding-bottom:16px;padding-top:16px;text-align:center;font-size:12pt;"><a style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;" href="#sE80520309597F8DDD26A1F8AFCB9E6B7"><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Article I</font></a><font style="font-family:inherit;font-size:10pt;">&#32;<br></font><font style="font-family:inherit;font-size:12pt;color:#0000ff;">&#32;</font><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;"><br>DEFINITIONS</font></div><div style="line-height:138%;padding-bottom:13px;text-align:left;padding-left:96px;text-indent:96px;font-size:12pt;"><a style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;" href="#sC8CD1FA9EFEDDFD4309E1F8AFD0762FF"><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Section 1.1</font></a><font style="font-family:inherit;font-size:12pt;"></font><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Definitions</font><font style="font-family:inherit;font-size:12pt;">&#160;&#160;&#160;&#160;1</font></div><div style="line-height:138%;padding-bottom:13px;text-align:left;padding-left:96px;text-indent:96px;font-size:12pt;"><a style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;" href="#sA653E2692E3EEBFE17A81F8AFD0F3F3A"><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Section 1.2</font></a><font style="font-family:inherit;font-size:12pt;"></font><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Interpretation and Rules of Construction</font><font style="font-family:inherit;font-size:12pt;">&#160;&#160;&#160;&#160;6</font></div><div style="line-height:138%;padding-bottom:16px;padding-top:16px;text-align:center;font-size:12pt;"><a style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;" href="#s6E284ADF8AEDD3C2BF6D1F8AFD3F00D4"><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Article II</font></a><font style="font-family:inherit;font-size:10pt;">&#32;<br></font><font style="font-family:inherit;font-size:12pt;color:#0000ff;">&#32;</font><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;"><br>VOTING RIGHTS; BOARD REPRESENTATION</font></div><div style="line-height:138%;padding-bottom:13px;text-align:left;padding-left:96px;text-indent:96px;font-size:12pt;"><a style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;" href="#s80CB483799539E23F0091F8AFD61B592"><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Section 2.1</font></a><font style="font-family:inherit;font-size:12pt;"></font><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Voting of Shares</font><font style="font-family:inherit;font-size:12pt;">&#160;&#160;&#160;&#160;7</font></div><div style="line-height:138%;padding-bottom:13px;text-align:left;padding-left:96px;text-indent:96px;font-size:12pt;"><a style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;" href="#sCDEC259016D4A3F9D8371F8AFDBD08CD"><font style="font-family:inherit;font-size:12pt;color:#0000ff;text-decoration:underline;">Section 2.2</font></a><font style="font-fam