ContractWarrant Agreement • November 15th, 2018 • Aptorum Group LTD • Pharmaceutical preparations • New York
THESE WARRANTS AND ANY SHARES ACQUIRED UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED, OR UNDER ANY APPLICABLE STATE SECURITIES LAWS. THESE WARRANTS AND SUCH SHARES AND ANY INTEREST OR PARTICIPATION HEREIN OR THEREIN MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM UNDER SUCH ACT AND UNDER ANY APPLICABLE STATE SECURITIES LAWS. THESE WARRANTS AND SUCH SHARES MAY NOT BE EXERCISED OR TRANSFERRED EXCEPT UPON THE CONDITIONS SPECIFIED IN THIS WARRANT CERTIFICATE, AND NO EXERCISE OR TRANSFER OF THESE WARRANTS OR TRANSFER OF SUCH SHARES SHALL BE VALID OR EFFECTIVE UNLESS AND UNTIL SUCH CONDITIONS SHALL HAVE BEEN COMPLIED WITH.
SUBSCRIPTION AGREEMENT Class A Ordinary Shares of Aptorum Group LimitedSubscription Agreement • November 15th, 2018 • Aptorum Group LTD • Pharmaceutical preparations
This subscription agreement (this “Subscription Agreement”) is dated _________, 2018, by and between the investor identified on the signature page hereto (the “Investor”) and Aptorum Group Limited, a Cayman Islands exempted company (the “Company”). The parties agree as follows:
UNDERWRITING AGREEMENTUnderwriting Agreement • November 15th, 2018 • Aptorum Group LTD • Pharmaceutical preparations • New York
OFFERING DEPOSIT ACCOUNT AGENCY AGREEMENTOffering Deposit Account Agency Agreement • November 15th, 2018 • Aptorum Group LTD • Pharmaceutical preparations • New York
This OFFERING DEPOSIT ACCOUNT AGENCY AGREEMENT (this “Agreement”) dated as of this 3rd day of November 2018, by and among APTORUM GROUP LIMITED, a Cayman Islands company (the “Company”), having an address at 17th Floor, Guangdong Investment Tower, 148 Connaught Road Central, Hong Kong, Boustead Securities, LLC, serving as the representative of the underwriters (the “Representative”), having an address at 6 Venture, Suite 265, Irvine CA 92618, and FINTECH CLEARING, LLC (the “Deposit Account Agent”), a Delaware limited liability company and FINRA registered broker/dealer having an office at 6 Venture, Suite 265, Irvine, CA 92618. All capitalized terms not herein defined shall have the meaning ascribed to them in that certain Prospectus, contained in a registration statement on Form F-1 filed by the Company with the Securities and Exchange Commission, including all attachments, schedules and exhibits thereto, as amended from time to time (the “Prospectus”).
