Warrant to purchase Chess Depositary InterestsWarrant Agreement • August 15th, 2019 • Gi Dynamics, Inc. • Surgical & medical instruments & apparatus • New York
This Warrant to Purchase CHESS Depositary Interests (the “Warrant”) certifies that, for good and valuable consideration, Crystal Amber Fund Limited (along with its permitted assignees, the “Holder”) is entitled to, and GI Dynamics, Inc., a Delaware corporation (the “Company”), hereby grants the Holder the right to, purchase, as of the date of issuance set forth above (the “Issue Date”), up to such number of fully paid and non-assessable CHESS Depositary Interests (with each CDI representing 1/50th of a share of the Company’s common stock, par value $0.01 per share (the “Common Stock”)) (the “CDIs”) as determined pursuant to Section 1(a) below, at a price per CDI equal to the Exercise Price (as defined below), subject to the provisions and upon the terms and conditions set forth in this Warrant. This Warrant is issued pursuant to the Note and Warrant Purchase Agreement (the “Purchase Agreement”) dated as of March 15, 2019 by and between the Company and the Holder.
GI Dynamics, Inc. Note and Warrant Purchase AgreementNote and Warrant Purchase Agreement • August 15th, 2019 • Gi Dynamics, Inc. • Surgical & medical instruments & apparatus • New York
This Note and Warrant Purchase Agreement (this “Agreement”) is made as of the 8th day of May, 2019 (the “Effective Date”) by and among GI Dynamics, Inc., a Delaware corporation (the “Company”), and Crystal Amber Fund Limited (the “Purchaser”). Capitalized terms used herein and not otherwise defined herein shall have the respective meanings given to them in the Note (as defined below).
THIRD AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTESenior Secured Convertible Promissory Note • August 15th, 2019 • Gi Dynamics, Inc. • Surgical & medical instruments & apparatus • New York
This Third Amendment to Senior Secured Promissory Note by and among GI Dynamics, Inc., a Delaware corporation (the “Payor”) and Crystal Amber Fund Limited (the “Holder”) is effective as of April 30, 2019. Capitalized terms used but not defined herein have the definitions ascribed thereto in that certain Senior Secured Convertible Promissory Note issued on June 15, 2017 by the Payor to the Holder, as amended December 31, 2018 and March 29, 2019 (the “Existing Note”).
GI Dynamics, INC. FOURTH AMENDMENT TO NOTE PURCHASE AGREEMENTNote Purchase Agreement • August 15th, 2019 • Gi Dynamics, Inc. • Surgical & medical instruments & apparatus • New York
THIS FOURTH AMENDMENT (the “Amendment”), dated effective as of June 30, 2019, is made to that certain Note Purchase Agreement, dated June 15, 2017, by and between GI Dynamics, Inc., a Delaware corporation (the “Company”) and Crystal Amber Fund Limited (the “Purchaser”), as amended on December 31, 2018, March 29, 2019 and April 30, 2019 (collectively, the “Agreement”). Capitalized terms used herein and not otherwise defined shall have the meaning given to them in the Agreement.
THIRD AMENDMENT TO NOTE PURCHASE AGREEMENTNote Purchase Agreement • August 15th, 2019 • Gi Dynamics, Inc. • Surgical & medical instruments & apparatus • New York
THIS THIRD AMENDMENT (the “Amendment”), dated effective as of April 30, 2019, is made to that certain Note Purchase Agreement, dated June 15, 2017, by and between GI Dynamics, Inc., a Delaware corporation (the “Company”) and Crystal Amber Fund Limited (the “Purchaser”), as amended on December 31, 2018 and March 29, 2019 (collectively, the “Agreement”). Capitalized terms used herein and not otherwise defined shall have the meaning given to them in the Agreement.
FOURTH AMENDMENT TO SENIOR SECURED CONVERTIBLE PROMISSORY NOTESenior Secured Convertible Promissory Note • August 15th, 2019 • Gi Dynamics, Inc. • Surgical & medical instruments & apparatus • New York
This Fourth Amendment to Senior Secured Promissory Note by and among GI Dynamics, Inc., a Delaware corporation (the “Payor”) and Crystal Amber Fund Limited (the “Holder”) is effective as of June 30, 2019. Capitalized terms used but not defined herein have the definitions ascribed thereto in that certain Senior Secured Convertible Promissory Note issued on June 15, 2017 by the Payor to the Holder, as amended December 31, 2018, March 29, 2019 and April 30, 2019 (the “Existing Note”).
