Company: APM
Filing Date: 2025-10-06
Form Type: S-4
Source: 0001213900-25-096656
Chunk: 209

Company: Aptorum Group Ltd
Filing Date: 2025-10-06
Form: S-4
Chunk 209
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 complete one prior to the closing of the Merger to ensure they have sufficient funds for the Merger Consideration. Between May 12, 2025 and July 13, 2025, Aptorum and DiamiR, and their respective legal counsels, prepared, reviewed, and negotiated the terms of the Merger Agreement, disclosure schedules, and other ancillary transaction agreements, and prepared the necessary disclosures as required on Forms S -4and F -1to be filed with the SEC. On July 7, 2025, after the consideration, review, and approval of DiamiR’s Chief Executive Officer, DiamiR entered into a financial advisory agreement with H.C. Wainwright & Co., LLC (“Wainwright”), with Wainwright to act as exclusive financial advisor to DiamiR in connection with the merger with Aptorum. As compensation for its services, upon the consummation of the Merger, Wainwright will receive common stock purchase warrants to purchase up to a number of shares of common stock of the Combined Company equal to $500,000 divided by the closing price of the Combined Company’s common stock on the date of consummation of the Merger, which warrants shall have an exercise price of $0.01 per share and a term of exercise of five years. For illustrative purposes only, since the ultimate warrant will be based on the Combined Company’s closing price and will provide the right to receive shares of the Combined Company’s common stock, based on the closing price of Aptorum’s Class A ordinary shares on September30, 2025, Wainwright would receive warrants to purchase up to 247,525shares of the Combined Company’s common stock. In the event that DiamiR (or the Combined Company) consummates one or more financing transactions, with gross proceeds of at least $4,000,000 following the execution of the Merger Agreement through and including the consummation of the Merger and within 90 days thereafter, Wainwright shall receive a cash fee 102 of $250,000, which cash fee shall be paid in lieu of a number of warrants equal to $250,000 as described in the immediately preceding sentence (and, if previously issued, a number of warrants equal to $250,000 shall be cancelled). In addition, Wainwright shall receive reimbursement of reasonable out -of-pocketexpenses, including legal fees and expenses, incurred by Wainwright in connection with financial advisory agreement. As of October3,