SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • December 9th, 2020 • Amryt Pharma PLC • Pharmaceutical preparations • New York
Cantor Fitzgerald & Co. (“Cantor”), one of our placement agents in this offering, entered into an Offer of Settlement with the Commodity Futures Trading Commission and acknowledged service of an Order Instituting Proceedings Pursuant to Sections 6(c) and 6(d) of the Commodity Exchange Act, Making Findings and Imposing Remedial Sanctions on February 22, 2011 (the “2011 Order”) whereby our Managing-Broker-Dealer consented to the issuance of the 2011 Order. The 2011 Order alleged that an employee of Cantor engaged in wash sales and non-competitive trades in violation of Section 4c(a) of the Commodity Exchange Act, 7 U.S.C. Section 6c(a) (2006) (the “Commodity Act”) and Commission Regulation (the “Commodity Regulation”) 1.38(a), pursuant to Section 2(a)(1)(B) of the Commodity Act and Commodity Regulation 1.2. The 2011 Order provided, among other requirements, that Cantor pay a civil monetary penalty of $100,000 plus post-judgment interest.
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • December 9th, 2020 • Amryt Pharma PLC • Pharmaceutical preparations • New York
This REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of December 7, 2020 by and among Amryt Pharma plc, a public limited company incorporated under the laws of England and Wales (the “Company”), and the “Investors” named in that certain Securities Purchase Agreement by and among the Company and the Investors, dated as of December 7, 2020 (the “Purchase Agreement”). Capitalized terms used herein have the respective meanings ascribed thereto in the Purchase Agreement unless otherwise defined herein.
