tovarich86/analise-ilp-dados huggingface dataset:
NU HOLDINGS LTD. — Não Identificado — 2020-12-21
 signature page follows] Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código E1F4-F974-7354-C8AA. Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código E1F4-F974-7354-C8AA. DocuSign Envelope ID: 46F0E8F5-3C33-44B3-9651-3695823FC214 Signature Page to Amendment to Contingent Shares Award IN WITNESS WHEREOF, the undersigned have executed and delivered this Amendment effective as of the date first above written. Grantee: Company: Rua California Ltd. Nu Holdings Ltd. __________________________________ By: David Vélez Osorno By: Doug Leone Title: Director Title: Director Address: Address: Campbells Corporate Services Limited, Campbells Corporate Services Limited, Floor 4, Willow House, Cricket Square, Floor 4, Willow House, Cricket Square, Grand Cayman Grand Cayman KY1-9010, Cayman Islands KY1-9010, Cayman Islands E-mail: david@nu.bank E-mail: leone@sequoiacap.com Acknowledged and agreed on the date above by the Special Award Committee members: _______________________________________ Doug Leone _______________________________________ Nicolas Carlos Szekasy _______________________________________ Meyer “Micky” Malka Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.b
NU HOLDINGS LTD. — Não Identificado — 2020-12-21
____________________________________ Meyer “Micky” Malka Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código E1F4-F974-7354-C8AA. Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código E1F4-F974-7354-C8AA. DocuSign Envelope ID: 46F0E8F5-3C33-44B3-9651-3695823FC214 P A U L O H I D E O T A K A K I Rua Rosa Broseghini, 358-Pq. dos Príncipes - Osasco - CEP 06030-350 SP Tel: 011-995110977 Email: phtakaki@gmail.com Tradutor Público e Intérprete Comercial Português-Inglês TRADUÇÃO/VERSÃO NO : 5231 LIVRO: 57 FLS: 46 Matrícula Jucesp No 1550 RG 18.439.185-4 CPF 101.361.438-06 CCM 59655 Certifico e dou fé, para fins de direito, que o texto abaixo é uma tradução fiel de um documento comercial em idioma inglês, que me foi apresentado. ALTERAÇÃO À CONCESSÃO DE AÇÕES CONTINGENTES Nu Holdings Ltd. Esta Alteração à Concessão de Ações Contingentes (doravante denominada “Alteração”) é celebrada em 21 de dezembro de 2020, entre a Nu Holdings Ltd., sociedade isenta das Ilhas Cayman (doravante denominada “Sociedade”) e a Rua California Ltd., sociedade isenta das Ilhas Cayman (doravante denominada “Beneficiária”), com o reconhecimento e concordância de Doug Leone, Nicolas Carlos Szekasy e Meyer “Micky” Malka, na qualidade de membros do Comitê de Concessão Especial da Socie
NU HOLDINGS LTD. — Não Identificado — 2020-12-21
(doravante denominada “Beneficiária”), com o reconhecimento e concordância de Doug Leone, Nicolas Carlos Szekasy e Meyer “Micky” Malka, na qualidade de membros do Comitê de Concessão Especial da Sociedade (doravante denominado “Comitê de Concessão Especial”). Faz-se referência a determinada Notificação de Concessão de Ações Contingentes (doravante denominada “Notificação”), firmada entre a Sociedade e a Beneficiária, com o reconhecimento de David Vélez Osorno, em 6 de agosto de 2020 (junto com os Termos e Condições de Concessão de Ações Contingentes apensos a essa Notificação, doravante denominado “Contrato de Concessão”). Os termos grafados em maiúscula usados mas não definidos de outro modo neste instrumento deverão ter os significados atribuídos a eles no Contrato de Concessão. CONSIDERANDO QUE a Sociedade e a Beneficiária desejam alterar o Contrato de Concessão de acordo com os termos desta Alteração, conforme doravante previsto, de forma que a Sociedade tenha mais tempo para se preparar para a emissão de ações mediante a consecução de um evento-marco; e CONSIDERANDO QUE esta Alteração satisfaz as exigências acerca da alteração do Contrato de Concessão, de acordo com os seus termos. ISTO POSTO, por uma boa e valiosa contraprestação, cujo recebimento e suficiência são reconhecidos neste ato, a Sociedade e a Beneficiária têm entre si justo e acordado conforme a seguir: 1. Alteração ao Contrato de Concessão. O Contrato de Concessão deverá ser alterado conforme a seguir para
NU HOLDINGS LTD. — Não Identificado — 2020-12-21
idos neste ato, a Sociedade e a Beneficiária têm entre si justo e acordado conforme a seguir: 1. Alteração ao Contrato de Concessão. O Contrato de Concessão deverá ser alterado conforme a seguir para refletir um aumento na quantidade de tempo que a Sociedade teria para emitir ações para a Beneficiária após um evento-marco aplicável de acordo com o Contrato de Concessão (o texto que estiver com sublinhado duplo está incluído neste instrumento; o texto que estiver tachado está apagado deste instrumento): Mediante a consecução de um evento-marco durante o Relacionamento contínuo, o número de Ações a ser emitidas de acordo com esta Notificação deverá ser emitido para a Beneficiária dentro de 180 (cento e oitenta) dias assim que for administrativamente possível, e em qualquer caso no máximo em 30 (trinta) dias, após a data do evento-marco aplicável, observando-se os Termos. 2. Pleno Vigor e Efeito. Exceto conforme previsto neste instrumento, todas as outras disposições do Contrato de Concessão deverão permanecer inalteradas e em pleno vigor e efeito. 3. Vias. Esta Alteração poderá ser assinada em qualquer número de vias, cada uma delas deverá ser considerada um original, mas todas juntas deverão constituir um único e mesmo instrumento. [restante desta página deixado intencionalmente em branco; página de assinatura a seguir] EM TESTEMUNHO DO QUÊ, os abaixo assinados assinaram e entregaram esta Alteração, com entrada em vigor na data designada acima. Beneficiária: Rua California Ltd
NU HOLDINGS LTD. — Não Identificado — 2020-12-21
m branco; página de assinatura a seguir] EM TESTEMUNHO DO QUÊ, os abaixo assinados assinaram e entregaram esta Alteração, com entrada em vigor na data designada acima. Beneficiária: Rua California Ltd. [assinatura] Por: David Vélez Osorno Cargo: Conselheiro Endereço: Campbells Corporate Services Limited, Floor 4, Willow House, Cricket Square, Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código E1F4-F974-7354-C8AA. Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código E1F4-F974-7354-C8AA. P A U L O H I D E O T A K A K I Rua Rosa Broseghini, 358-Pq. dos Príncipes - Osasco - CEP 06030-350 SP Tel: 011-995110977 Email: phtakaki@gmail.com Tradutor Público e Intérprete Comercial Português-Inglês TRADUÇÃO/VERSÃO NO : 5231 LIVRO: 57 FLS: 47 Matrícula Jucesp No 1550 RG 18.439.185-4 CPF 101.361.438-06 CCM 59655 Grand Cayman KYI-9010, Ilhas Cayman E-mail: david@nu.bank Sociedade: Nu Holdings Ltd. [assinatura] Por: Doug Leone Cargo: Conselheiro Endereço: Campbells Corporate Services Limited, Floor 4, Willow House, Cricket Square, Grand Cayman KYI-9010, Ilhas Cayman E-mail: leone@sequoiacap.com Reconhecido e acordado na data acima pelos membros do Comitê de Concessão Especial: [assinatura] Doug Leone [assinatura] Nicolas Carlos Szekasy [assinatura] Meyer “Micky” M
NU HOLDINGS LTD. — Não Identificado — 2020-12-21
-mail: leone@sequoiacap.com Reconhecido e acordado na data acima pelos membros do Comitê de Concessão Especial: [assinatura] Doug Leone [assinatura] Nicolas Carlos Szekasy [assinatura] Meyer “Micky” Malka. Página de Assinatura da Alteração à Concessão de Ações Contingentes Nada mais constava do documento acima que devolvo com esta tradução, segundo o meu melhor entender, as quais conferi, achei conforme e assino. São Paulo, 28 de outubro de 2021. Emolumentos Pagos Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código E1F4-F974-7354-C8AA. Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código E1F4-F974-7354-C8AA. PROTOCOLO DE ASSINATURA(S) O documento acima foi proposto para assinatura digital na plataforma Portal de Assinaturas Certisign. Para verificar as assinaturas clique no link: https://www.portaldeassinaturas.com.br/Verificar/E1F4-F974-7354-C8AA ou vá até o site https://www.portaldeassinaturas.com.br:443 e utilize o código abaixo para verificar se este documento é válido. Código para verificação: E1F4-F974-7354-C8AA Hash do Documento A658DA86B189E42F7F1BC5A83100E58B16389E50C29BD4C640D05713CA896094 O(s) nome(s) indicado(s) para assinatura, bem como seu(s) status em 28/10/2021 é(são) : Paulo Hideo Takaki - 101.361.438-06 em 28/10/2021 17:31 UTC03:00
NU HOLDINGS LTD. — Não Identificado — 2020-12-21
F1BC5A83100E58B16389E50C29BD4C640D05713CA896094 O(s) nome(s) indicado(s) para assinatura, bem como seu(s) status em 28/10/2021 é(são) : Paulo Hideo Takaki - 101.361.438-06 em 28/10/2021 17:31 UTC03:00 Tipo: Certificado Digital
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
#11464585/6 1 703279859 v4 NOTICE OF CONTINGENT SHARES AWARD Nu Holdings Ltd. FOR GOOD AND VALUABLE CONSIDERATION, Nu Holdings Ltd., a Cayman Islands exempted company (the “Company”), hereby grants to Rua California Ltd., a Cayman Islands exempted company (the “Grantee”) the contingent right to be issued a number of Ordinary Shares of the Company of a par value of US$0.00004 each (“Shares”) to be determined as set forth in this Notice of Contingent Shares Award (the “Notice”), subject to certain restrictions as outlined below in this Notice and the additional provisions set forth in the attached Terms and Conditions of Contingent Shares Award (the “Terms”). Grant Date: 6th of August, 2020 (the “Grant Date”) Number of Shares and Conditions to Issuance: Shares shall be issued to the Grantee only upon the occurrence of the milestone events described below, provided that, from the Grant Date through the date of each such milestone event, (i) David Vélez Osorno (“Vélez”) has continued to be related to the Company or any of its affiliates, whether as a director, officer, employee or consultant (“Relationship”) and (ii) the Grantee continues to be owned and controlled by Vélez, as follows: # Milestone Event Number of Shares to be Issued 1 The closing of the first Applicable Transaction (as defined below), in which the price or equivalent economic terms of such Applicable Transaction were determined based on a premoney valuation of the Company that is equal to or greater than US$20 B
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
(as defined below), in which the price or equivalent economic terms of such Applicable Transaction were determined based on a premoney valuation of the Company that is equal to or greater than US$20 Billion but less than US$30 Billion as verified and confirmed by the Board of Directors of the Company, or a duly authorized and appointed committee thereof (the “First Milestone Event”) The number of Shares (the “First Milestone Shares”) that would be equal to 0.5% of the total number of Shares of the Company as of immediately following the closing of such Applicable Transaction and the issuance of such First Milestone Shares, determined on an asconverted, fully-diluted basis. 2 The closing of the first Applicable Transaction (as defined below) in which the price or equivalent economic terms of such Applicable Transaction were determined based on a premoney valuation of the Company that is equal to or greater than US$30 Billion as verified and confirmed by the Board of Directors of the Company, or a duly authorized and appointed committee thereof (the “Second Milestone Event”) The number of shares (the “Second Milestone Shares”) that would need to be issued such that the aggregate number of Shares that have been issued hereunder in respect of the First Milestone Event and the Second Milestone Event (i.e., the First Milestone Shares plus the Second Milestone Shares) is equal to 1% of the total number of Shares of the Company as of immediately following the closing of such Applicab
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
Milestone Event (i.e., the First Milestone Shares plus the Second Milestone Shares) is equal to 1% of the total number of Shares of the Company as of immediately following the closing of such Applicable Transaction and the issuance of such Second Milestone Shares, determined on an asconverted, fully-diluted basis. For purposes hereof, the term “Applicable Transaction” shall mean any bona fide (i) equity financing transaction of the Company, (ii) secondary sale of shares of the Company, or (iii) Liquidation Event, as such term is defined in the Company’s Ninth Amended and Restated Memorandum and Articles of Association (as the same hereafter may be amended or restated, the “Articles”), in each case wherein the aggregate amount or value of the consideration paid or given in such transaction is at least US$100 Million and wherein at least one party to such transaction is a person or entity (other than the Company) that is not Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código 4484-0BDB-45D8-06D7. Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código 4484-0BDB-45D8-06D7. DocuSign Envelope ID: 3E1CF937-4952-45D8-87A6-ADE3009FDD1F 2 703279859 v4 an Affiliate (as such term is defined in the Articles) of the Grantee or Vélez. For avoidance of doubt, if the
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
BDB-45D8-06D7. DocuSign Envelope ID: 3E1CF937-4952-45D8-87A6-ADE3009FDD1F 2 703279859 v4 an Affiliate (as such term is defined in the Articles) of the Grantee or Vélez. For avoidance of doubt, if the aggregate amount or value of the consideration paid in a series of related equity financing transactions or secondary transactions within a 6-month period aggregate to at least US$100 Million, that shall be sufficient to meet this condition required to be an Applicable Transaction on the date of the transaction that crosses the US$100 Million threshold. For purposes of this Agreement, the term “fully-diluted basis” shall include all Ordinary Shares of the Company (including all Ordinary Shares issued or issuable upon conversion of any convertible securities or upon the exercise of outstanding warrants or options, and all Ordinary Shares reserved for issuance pursuant to stock plans of the Company). Upon achievement of a milestone event while in continuous Relationship, the number of Shares to be issued pursuant to this Notice shall be issued to the Grantee as soon as administratively practicable, and in any event not more than thirty (30) days, after the date of the applicable milestone event, subject to the Terms. If a public offering of Shares by the Company or any other sale of the Company’s securities on a recognized stock exchange (the first of any such events to occur being the “IPO”) occurs at a time in which the First Milestone Event has not been achieved, then the Grante
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
e Company’s securities on a recognized stock exchange (the first of any such events to occur being the “IPO”) occurs at a time in which the First Milestone Event has not been achieved, then the Grantee will have no right to the First Milestone Shares or Second Milestone Shares, but instead, provided that Vélez has been in continuous Relationship through such time, immediately prior to the IPO, the Grantee shall be made an award that provides that: (i) the Grantee will be issued a number of First Post-IPO Milestone Shares (as defined below) when the Company’s market capitalization following the IPO equals or exceeds US$20 Billion for a period of 30 consecutive trading days (the “First Post-IPO Milestone Event”). The number of First Post-IPO Milestone Shares will be calculated as 0.5% of the total number of Shares of the Company at the time of the First Post-IPO Milestone Event assuming issuance of such First PostIPO Milestone Shares (the “First Post-IPO Milestone Shares”). Once the First Post-IPO Milestone Event occurs, the First Post-IPO Milestone Shares will be issued within thirty (30) days after the date of such First Post-IPO Milestone Event, or, if later, on the date that the lockup and market standoff periods following the IPO expire; and (ii) the Grantee will be issued a number of Second Post-IPO Milestone Shares (as defined below) when the Company’s market capitalization following the IPO equals or exceeds US$30 Billion for a period of 30 consecutive trading days (the
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
umber of Second Post-IPO Milestone Shares (as defined below) when the Company’s market capitalization following the IPO equals or exceeds US$30 Billion for a period of 30 consecutive trading days (the “Second Post-IPO Milestone Event”). The number of Second Post-IPO Milestone Shares will be calculated as 0.5% of the total number of Shares of the Company at the time of the Second Post-IPO Milestone Event assuming issuance of such Second Post-IPO Milestone Shares (the “Second Post-IPO Milestone Shares”). Once the Second PostIPO Milestone Event occurs, the Second Post-IPO Milestone Shares will be issued within thirty (30) days after the date of such Second Post-IPO Milestone Event, or, if later, on the date that the lockup and market standoff periods, if any, following the IPO expire. If the IPO occurs at a time in which the First Milestone Event has been achieved but the Second Milestone Event has not been achieved, then the Grantee will have no right to the Second Milestone Shares, but instead, provided that Vélez has been in continuous Relationship through such time, immediately prior to the IPO, the Grantee shall be made an award that provides that when the Second Post-IPO Milestone Event occurs, the Second Post-IPO Milestone Shares will be issued to the Grantee within thirty (30) days after the date of such Second Post-IPO Milestone Event, or, if later, on the date that the lockup and market standoff periods, if any, following the IPO expire. For the sake of clarity, it is
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
0) days after the date of such Second Post-IPO Milestone Event, or, if later, on the date that the lockup and market standoff periods, if any, following the IPO expire. For the sake of clarity, it is acknowledged and agreed that (i) if the IPO occurs after both the First Milestone Event and the Second Milestone Event have been achieved, then no Shares shall be awarded hereunder to the Grantee in respect of the IPO, and the sole Shares to be awarded hereunder shall be the First Milestone Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código 4484-0BDB-45D8-06D7. Este documento foi assinado digitalmente por Paulo Hideo Takaki. Para verificar as assinaturas vá ao site https://www.portaldeassinaturas.com.br:443 e utilize o código 4484-0BDB-45D8-06D7. DocuSign Envelope ID: 3E1CF937-4952-45D8-87A6-ADE3009FDD1F 3 703279859 v4 Shares and the Second Milestone Shares; and (ii) the IPO shall not be considered a First Milestone Event or a Second Milestone Event. Notwithstanding the foregoing, in the event that the Relationship of Vélez is terminated by the Company or any of its affiliates (and not by Vélez) without Cause or by Vélez for Good Reason prior to an IPO, then: (i) if such termination occurs prior to the First Milestone Event, the First Milestone Shares shall be issued to the Grantee or (ii) if such termination occurs subsequent to the First Milestone Event but prior
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
ch termination occurs prior to the First Milestone Event, the First Milestone Shares shall be issued to the Grantee or (ii) if such termination occurs subsequent to the First Milestone Event but prior to the Second Milestone Event, the Second Milestone Shares shall be issued to the Grantee within thirty (30) days of termination, or, if later, on the date that the lockup and market standoff periods, if any, following the IPO expire. Solely for purposes of the immediately preceding sentence, in the paragraphs above in which the capitalized terms “First Milestone Shares” and “Second Milestone Shares” are defined, the references to “the closing of the Applicable Transaction” shall be deemed to be references to such termination. Notwithstanding the foregoing, if the First Milestone Shares and Second Milestone Shares have not been issued and the Relationship of Vélez is terminated by the Company or any of its affiliates (and not by Vélez) without Cause or by Vélez for Good Reason after an IPO, then the First Post-IPO Milestone Shares shall be issued to the Grantee within thirty (30) days of termination, or, if later, on the date that the first lockup period following the IPO occurs. If the First Milestone Shares have been issued, but the Second Milestone Shares have not been issued and the Relationship of Vélez is terminated by the Company or any of its affiliates (and not by Vélez) without Cause or by Vélez for Good Reason after an IPO, then the second Post-IPO Milestone Shares sh
NU HOLDINGS LTD. — Não Identificado — 2020-08-06
 the Relationship of Vélez is terminated by the Company or any of its affiliates (and not by Vélez) without Cause or by Vélez for Good Reason after an IPO, then the second Post-IPO Milestone Shares shall be issued to the Grantee within thirty (30) days of termination, or, if later, on the date that the first lockup period following the IPO occurs. For purposes of the preceding two paragraphs, “Cause” shall mean Vélez’s (i) willful and material failure to perform his duties and responsibilities to the Company or any of its affiliates (or a successor, if appropriate); (ii) commission of any act of fraud or embezzlement; (iii) material unauthorized use or disclosure of any proprietary information or trade secrets of the Company or any of its affiliates (or a successor, if appropriate) or any other party to whom Vélez owes an obligation of nondisclosure as a result of his relationship with the Company or any of its affiliates (or a successor, if appropriate); or (iv) material breach of any of Vélez’s obligations under any written agreement or covenant with the Company or any of its affiliates (or a successor, if appropriate); provided, however, that neither the Company nor any of its affiliates shall terminate Vélez for Cause based on clause (i) or (iv) of this sentence without first providing Vélez with written notice of the acts or omissions constituting the grounds for “Cause” within thirty (30) days of the Company or its affiliate becoming aware of the grounds for “Cause” and