SEC Contract Filing

Filing Date: 2017-06-05

Document Content:
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<TYPE>EX-10.2
<SEQUENCE>4
<FILENAME>a17-14685_1ex10d2.htm
<DESCRIPTION>EX-10.2
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<p align="right" style="margin:0in 0in .0001pt;text-align:right;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">Exhibit 10.2</font></b></p>
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<p align="right" style="margin:0in 0in .0001pt;text-align:right;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">Execution Copy</font></p>
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<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">REGISTRATION RIGHTS AGREEMENT</font></b></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">REGISTRATION RIGHTS AGREEMENT (this &#147;Agreement&#148;), dated as of June&nbsp;1, 2017, by and among Neos Therapeutics,&nbsp;Inc., a Delaware corporation (the &#147;Company&#148;), Deerfield Private Design Fund III, L.P. (&#147;DPDF&#148;) and Deerfield Special Situations Fund, L.P. (&#147;DSSF&#148; and, together with DPDF, the &#147;Original Investors&#148; and each individually, an &#147;Original Investor&#148;).</font></p>
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<p style="margin:0in 0in .0001pt;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">WHEREAS:</font></b></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">A. In connection with the amendment of the Facility Agreement, dated as of May&nbsp;11, 2016, by and among the Company and the Original Investors (the &#147;Original Facility Agreement&#148;) pursuant to that certain First Amendment to Facility Agreement, dated as of the date hereof, by and among the Company, the Original Investors and the other parties thereto (the &#147;First Amendment&#148;), the Company is issuing Convertible Notes (as defined below) which permit each holder to convert the principal of the Convertible Note (as defined below) held thereby into shares of the Company&#146;s common stock (&#147;Common Stock&#148;), in each case, upon the terms and conditions, and subject to the limitations, set forth in the Convertible Notes; and</font></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">B. To induce the Original Investors to execute and deliver the First Amendment, the Company has agreed to provide certain registration rights under the Securities Act of 1933, as amended, and the rules&nbsp;and regulations thereunder, or any similar successor statute (collectively, the &#147;Securities Act&#148;), and applicable state securities laws.</font></p>
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<p style="font-size:10.0pt;margin:0in 0in .0001pt;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">NOW, THEREFORE</font></b>, in consideration of the premises and the mutual covenants contained herein and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the Company and each of the Investors hereby agree as follows:</p>
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<p style="margin:0in 0in .0001pt;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">1. DEFINITIONS.</font></b></p>
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<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">a. As used in this Agreement, the following terms shall have the following meanings:</font></p>
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<p style="font-size:10.0pt;margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">(i)&nbsp;&#147;Additional Filing Deadline&#148; means, with respect to any Registration Statement that may be required pursuant to Section&nbsp;2(a)(ii), (A)&nbsp;the first date or time that such Registrable Securities may then be included in a Registration Statement if such Registration Statement is required because the SEC shall have notified the Company in writing that certain Registrable Securities were not eligible for inclusion on a previously filed Registration Statement, or (B)&nbsp;if such additional Registration Statement is required for a reason other than as described in (A)&nbsp;above, the twentieth (20</font><font size="1" style="font-size:6.5pt;position:relative;top:-3.0pt;">th</font>) day following the date on which the Company first knows that such additional Registration Statement is required; provided, however, if the Additional Filing Deadline would otherwise fall more than 45 days, but less than 76 days, after the end of the Company&#146;s most recent fiscal year and the Company is unable to comply with the Additional Filing Deadline solely as a result of the unavailability of audited financial statements for such fisc