Document:

Exhibit 10.1

 

AMENDMENT NO. 1 TO

 

PLACEMENT AGENCY AGREEMENT

 

THIS AMENDMENT,
dated as of December 20, 2018 (this “Amendment”), between GP Nurmenkari Inc., a registered broker-dealer and member
of the Financial Industry Regulatory Authority (“FINRA”) (hereinafter referred to as the “Placement
Agent”) and Neurotrope Inc., a publicly traded Nevada corporation (the “Company”)

 

W I T N E S S E T H

 

WHEREAS, the
parties hereto have heretofore entered into a Placement Agency Agreement, dated December 17, 2018, ( the “Agreement”);
and

 

WHEREAS, the
Company and the Placement Agent wish to amend the Agreement on the terms set forth herein.

 

NOW, THEREFORE,
the parties hereto, in consideration of the mutual promises herein contained and for other good and valuable consideration, the
receipt and sufficiency of which is hereby acknowledged, hereby agree to amend the Agreement as follows:

 

1.Definitions;
References; Continuation of Agreement. Unless otherwise specified herein, each term used herein that is defined in the Agreement
shall have the meaning assigned to such term in the Agreement. Each reference to “hereof,” “hereto,” “hereunder,”
“herein” and “hereby” and each other similar reference, and each reference to “this Agreement”
and each other similar reference, contained in the Agreement shall from and after the date hereof refer to the Agreement as amended
hereby. Except as amended hereby, all terms and provisions of the Agreement shall continue unmodified and remain in full force
and effect.

 

2.Section
3(b). Section 3(b) is hereby deleted and replaced in its entirety as follows:

  

(b)       Also,
as soon as practicable following the Closing, the Company will deliver to the Placement Agent (or its designees), warrants to purchase
shares of the Company’s Common Stock, substantially in the form of Attachment I, equal, in the aggregate, to Two Percent
(2%) of the number of shares of Common Stock sold in the Offering (which shall not include the Warrant Shares) on which the Placement
Agent receives compensation pursuant to Section 3(a), with an initial exercise price equal to $6.25 per share of Common Stock (the
“Broker Warrants”). The Broker Warrants shall expire five (5) years from the date of the grant, include a net exercise
provision (in the event of the resale of the shares of common stock underlying the Broker 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. To the extent permitted by applicable laws, all warrants shall permit unencumbered transfer to the Placement
Agent’s employees and affiliates and the warrants may be issued directly to the Placement Agent’s employees and affiliates
at the Placement Agent’s request. The Broker Cash Fee and the Broker Warrants are sometimes referred to collectively as the
“Placement Agent’s Broker Compensation”.

 

3.       Counterparts.
This Amendment may be executed in two or more counterparts, all of which when taken together shall be considered one and the same
agreement and shall become effective when counterparts have been signed by each party and delivered to the other party, it being
understood that both parties need not sign the same counterpart.  In the event that any signature is delivered by facsimile
transmission or by e-mail delivery of a “.pdf” format data file, such signature shall create a valid and binding obligation
of the party executing (or on whose behalf such signature is executed) with the same force and effect as if such facsimile or
“.pdf” signature page were an original thereof. 

 

4.       Governing
Law. This Amendment shall be governed by and construed in accordance with the laws of the State of New York.

 

 

(Signature page to follow)

 

     

     

    

 

 

IN WITNESS WHEREOF,
the parties hereto have caused this Amendment to be duly executed on the date first above written.

 

	 	NEUROTROPE, INC.
	 	 
	 	 
	 	By: /s/ Robert Weinstein
	 	Robert Weinstein
	 	Chief Financial Officer
	 	 
	 	GP NURMENKARI
INC.
	 	 
	 	 
	 	By: /s/ Robert Fitzpatrick
	 	Robert Fitzpatrick
	 	Chief Compliance Officer 

 

 

 

    	 	2Exhibit 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

 

 

 

    	 	2Exhibit 10.3

 

AMENDMENT
NO. 1 TO

ADVISORY CONSULTING
AGREEMENT

 

AMENDMENT
NO. 1 TO ADVISORY CONSULTING AGREEMENT (the “Amendment”) dated as of December 21, 2018, by and between KATALYST SECURITIES
LLC, a broker dealer registered with the Financial Industry Regulatory Authority (“FINRA”) (“Katalyst”)
and NEUROTROPE, INC., a publicly traded company incorporated in the State of Nevada (the “Company”).

 

WHEREAS, Katalyst
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 Katalyst agree as follows:

 

		1.	Amendment. Section 4 of the Agreement is hereby amended and restated to read as follows:

 

“4.
Consulting Fee. The Company agrees to pay Katalyst an advisory consulting fee totaling One Million One Hundred Thirty-Five
Thousand Five Hundred Fifty-Eight Dollars and Sixty-Seven Cents ($1,135,558.67) for the Term promptly by wire transfer to the bank
designated by Katalyst. In addition, the Company agrees to pay the reasonable legal fees of Katalyst’s counsel not in excess
of $25,000.

 

Also,
at the closing of the Offering, the Company will deliver to Katalyst (or its designees), warrants to purchase 63,157 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. To the extent
permitted by applicable laws, all warrants shall permit unencumbered transfer to Katalyst’s employees and affiliates and
the warrants may be issued directly to Katalyst’s employees and affiliates at Katalyst’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
	 	 
	 	 
	 	Katalyst Securities LLC
	 	 
	 	 
	 	By: /s/ Michael Silverman
	 	Name: Michael Silverman
	 	Title: Managing Director

 

 

 

    	 	2

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