Attached files
| file | filename |
|---|---|
| EX-10.3 - EXHIBIT 10.3 - Neurotrope, Inc. | tv509983_ex10-3.htm |
| EX-10.1 - EXHIBIT 10.1 - Neurotrope, Inc. | tv509983_ex10-1.htm |
| 8-K - FORM 8-K - Neurotrope, Inc. | tv509983_8k.htm |
Exhibit 10.2
AMENDMENT NO. 1 TO
ADVISORY CONSULTING AGREEMENT
AMENDMENT NO. 1 TO ADVISORY CONSULTING AGREEMENT (the “Amendment”) dated as of December 31, 2018, by and between MAXIM GROUP LLC, a broker dealer registered with the Financial Industry Regulatory Authority (“FINRA”) (“Maxim”) and NEUROTROPE, INC., a publicly traded company incorporated in the State of Nevada (the “Company”).
WHEREAS, Maxim and Neurotrope entered into that certain Advisory Consulting Agreement, dated as of December 14, 2018 (the “Agreement”), and now desire to amend the Agreement to reflect certain changes agreed to by the parties.
NOW, THEREFORE, in consideration of the mutual covenants and agreements contained herein, the receipt and sufficiency of which are hereby acknowledged, the Company and Maxim agree as follows:
| 1. | Amendment. The second paragraph of Section 4 of the Agreement is hereby amended to read as follows: |
“Also, at the closing of the Offering, the Company will deliver to Maxim (or its designees), warrants to purchase 12,500 shares of the Company’s Common Stock (the “Consulting Warrants”). The Consulting Warrants shall have an exercise price equal to $6.25 and expire five (5) years from the date of grant, include a net exercise provision (in the event of the resale of the shares of common stock underlying the Consulting Warrants are not then registered or in the event of a sale of the Company), and include the customary anti-dilution provisions covering stock splits, dividends, mergers and similar transactions. All warrants shall not be transferable until after six months from issuance except, to the extent permitted by applicable laws, transfers to Maxim’s employees and affiliates and the warrants may be issued directly to Maxim’s employees and affiliates at Maxim’s request.”
| 2. | Governing Law; Consent to Jurisdiction. This Amendment shall be governed by and construed in accordance with the law of the State of New York without giving effect to the principles of conflicts of law thereof. |
| 3. | Effectiveness. Except as amended and set forth above, the Agreement shall continue in full force and effect. |
| 4. | Counterparts. This Amendment may be executed in one or more counterparts, each of which shall be deemed an original and all of which together shall constitute one and the same instrument. The exchange of copies of this Amendment and of signature pages by facsimile transmission or in pdf format shall constitute effective execution will be accepted as original signatures. |
[SIGNATURE PAGE FOLLOWS]
IN WITNESS WHEREOF, the parties have caused this Amendment to be duly executed as of the date first above written.
| Neurotrope, Inc. | |
| By: /s/ Robert Weinstein | |
| Name: Robert Weinstein | |
| Title: Chief Financial Officer | |
| Maxim Group LLC | |
| By: /s/ Clifford A. Teller | |
| Name: Clifford A. Teller | |
| Title: Executive Managing Director, Investment Banking |
| 2 |