SEC Contract Filing

Filing Date: 2018-02-23

Document Content:
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<TYPE>EX-10.1
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<FILENAME>a18-2705_14ex10d1.htm
<DESCRIPTION>EX-10.1
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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 10.1<a name="Exhibit10_1_070624"></a></font></b></p>
<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">&nbsp;</font></p>
<p align="center" style="margin:0in 0in .0001pt;text-align:center;"><b><u><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">REGISTRATION RIGHTS AGREEMENT</font></u></b></p>
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<p style="margin:0in 0in .0001pt;text-indent:.5in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">This Registration Rights Agreement (this &#147;<b>Agreement</b>&#148;) is made and entered into effective as of February&nbsp;16, 2018, by and among Avinger,&nbsp;Inc., a Delaware corporation (the &#147;<b>Company</b>&#148;), and CRG Partners III L.P., CRG Partners III - Parallel Fund &#147;<b>A</b>&#148; L.P., CRG Partners III &#151; Parallel Fund &#147;<b>B</b>&#148; (Cayman) L.P. CRG Partners III (Cayman) Lev AIV I L.P., and CRG Partners III (Cayman) Unlev AIV I L.P. (together, &#147;<b>CRG</b>&#148; or the &#147;<b>Purchasers</b>&#148;, with each of the purchasing entities, a &#147;<b>Purchaser</b>&#148;).</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;">RECITALS:</font></b></p>
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<p style="font-size:10.0pt;margin:0in 0in .0001pt;text-indent:.5in;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">WHEREAS</font></b>, the Company (in consideration for the conversion and modification of certain of its outstanding debt) has offered and sold in compliance with Rule&nbsp;506 of Regulation D promulgated under the Securities Act to accredited investors in a private placement offering (the &#147;<b>Offering</b>&#148;) shares of Series&nbsp;A Preferred Stock of the Company, par value $0.001 per share (the &#147;<b>Shares</b>&#148;), pursuant to that certain Series&nbsp;A Preferred Stock Purchase Agreement of even date herewith (the &#147;<b>Purchase Agreement</b>&#148;) entered into by and among the Company and the Purchasers; and</p>
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<p style="font-size:10.0pt;margin:0in 0in .0001pt;text-indent:.5in;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">WHEREAS</font></b>, the Company has agreed to enter into a registration rights agreement with each of the Purchasers;</p>
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<p style="font-size:10.0pt;margin:0in 0in .0001pt;text-indent:.5in;"><b><font size="2" face="Times New Roman" style="font-size:10.0pt;font-weight:bold;">NOW, THEREFORE</font></b>, in consideration of the mutual promises, representations, warranties, covenants, and conditions set forth herein, the parties mutually agree as follows:</p>
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<p style="font-size:10.0pt;margin:0in 0in .0001pt;text-indent:.5in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">1.</font><font size="1" style="font-size:3.0pt;">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; </font><u>Definitions</u>. As used in this Agreement, the following terms shall have the following respective meanings:</p>
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<p style="margin:0in 0in .0001pt;text-indent:.5in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">&#147;<u>Approved Market</u>&#148; means the Nasdaq Stock Market, the New York Stock Exchange or the NYSE MKT.</font></p>
<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">&nbsp;</font></p>
<p style="margin:0in 0in .0001pt;text-indent:.5in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">&#147;<u>Business Day</u>&#148; means any day of the year, other than a Saturday, Sunday, or other day on which banks in the State of New York are required or authorized to close.</font></p>
<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">&nbsp;</font></p>
<p style="margin:0in 0in .0001pt;text-indent:.5in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">&#147;<u>Commission</u>&#148; means the U. S. Securities and Exchange Commission or any other federal agency at the time administering the Securities Act.</font></p>
<p style="margin:0in 0in .0001pt;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">&nbsp;</font></p>
<p style="margin:0in 0in .0001pt;text-indent:.5in;"><font size="2" face="Times New Roman" style="font-size:10.0pt;">&#147;<u>Common Stock</u>&#148; means the common stock, par value $0.001 per share, of the Company and any and all shares of capital stock or other equity securities of: (i)&nbsp;the Company which are added to or exchanged or substituted for the Common Stock by reason o