Investors
SEC Filings
Form 10-Q
PERNIX THERAPEUTICS HOLDINGS, INC. filed this Form 10-Q on 11/13/2018
Document Outline
Entire Document (4434.5 KB)
Subdocument 1 - 10-Q - 10-Q
Page 1 - September 30, 2018
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Page 12 - Debt and Lines of Credit).
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Page 20 - Note 8. Goodwill and Intangible Assets
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Page 30 - Note 12. Income Taxes
Page 31 - Note 13. Commitments and Contingencies
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Page 53 - If we fail to successfully complete a restructuring or refinancing of all of our existing debt, we m
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Page 67 - we or third-party manufacturers fail to comply with regulatory requirements for Zohydro ER, the DEA
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Page 79 - could have an adverse impact upon the prevailing market price of our Common Stock.
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Subdocument 2 - EX-3.1 - ARTICLES SUPPLEMENTARY FOR 0% SERIES C PERPETUAL CONVERTIBLE PREFERRED STOCK
Page 1 - PERNIX THERAPEUTICS HOLDINGS, INC.
Page 2 - Affiliate means, with respect to any Person, any other Person that directly or indirectly through on
Page 3 - Closing Sale Price shall be the average of the mid-point of the last bid and ask prices for the Comm
Page 4 - Holder means each person in whose name shares of the Perpetual Convertible Preferred Stock are regis
Page 5 - Officer s Certificate means a certificate of the Corporation, signed by any duly authorized Officer
Page 6 - Reorganization Event shall have the meaning set forth in Section 15(a).
Page 7 - VWAP shall be determined without regard to after-hours trading or any other trading outside of the r
Page 8 - Optional Redemption ) on or after the Initial Issue Date, in whole or in part, at the Redemption Pri
Page 9 - N/A
Page 10 - Event ); provided however, with respect to the occurrence of any of the foregoing Events, so long as
Page 11 - Optional Conversion ), as described in this Section 10 and subject to satisfaction of the conversion
Page 12 - Notice of Conversion ); and
Page 13 - N/A
Page 14 - N/A
Page 15 - N/A
Page 16 - N/A
Page 17 - Change of Control ), or
Page 18 - Reference Property, with each unit of Reference Property meaning the kind and amount of Reference Pr
Page 19 - Election Notice ) and deliver via electronic mail to asmith@pernixtx.com and kpina@pernixtx.com duri
Page 20 - transfer encompasses any sale, pledge, transfer or other disposition whatsoever of any Perpetual Con
Page 21 - Beneficial Ownership Limitation shall be 4.985% of the number of shares of the Common Stock outstand
Page 22 - N/A
Page 23 - N/A
Page 24 - Exhibit A
Page 25 - PERNIX THERAPEUTICS HOLDINGS, INC.
Page 26 - N/A
Page 27 - N/A
Page 28 - N/A
Page 29 - Conversion ) [_______] shares of 0% Series C Perpetual Convertible Preferred Stock (the Perpetual Co
Page 30 - Perpetual Convertible Preferred Stock ), of Pernix Therapeutics Holdings, Inc. (hereinafter called t
Page 31 - N/A
Subdocument 3 - EX-10.1 - STOCKHOLDERS AGREEMENT, DATED JULY 27, 2018, BY AND AMONG NALPROPION PHARMACEUTICALS, INC.,
Page 1 - Exhibit 10.1
Page 2 - Stockholders Agreement
Page 3 - Agreement has the meaning set forth in the Preamble.
Page 4 - Change in Control means: (a) the sale, lease, transfer, exclusive license or other disposition, in a
Page 5 - Delaware Act means the General Corporation Law of the State of Delaware, Title 8, Chapter 1, and any
Page 6 - Exercising Applicable ROFR Rightholder has the meaning set forth in Section 4.03(d)(iiii).
Page 7 - HB Director has the meaning set forth in Section 2.01(a)(i)(A).
Page 8 - Permitted Transferee means a recipient of a Transfer made in accordance with Article IV of this Agre
Page 9 - ROFR Pro Rata Portion means, for any Applicable ROFR Rightholder, a fraction determined by dividing
Page 10 - Tag-along Sale has the meaning set forth in Section 4.04(a).
Page 11 - ARTICLE II
Page 12 - Subsidiary Board Composition. At all times, the composition of any board of directors of any Company
Page 13 - Vacancies. In the event that a vacancy is created on the Board at any time due to the death, disabil
Page 14 - Section 2.03 Board of Directors.
Page 15 - Action at Meeting. Any motion adopted by vote of the majority of the Directors then in office shall
Page 16 - N/A
Page 17 - N/A
Page 18 - Section 2.04 Compensation; No Employment.
Page 19 - No Right of Employment Conferred. This Agreement does not, and is not intended to, confer upon any D
Page 20 - Prospective Purchaser ) and shall set forth the material terms and conditions of the proposed issuan
Page 21 - Over-allotment Exercise Period ).
Page 22 - ARTICLE IV
Page 23 - Transfers by the 1992 Funds and the Whitebox Funds. The 1992 Funds and the Whitebox Funds shall not
Page 24 - Joinder Agreement. Except with respect to any Transfer pursuant to a Public Offering or a Drag-along
Page 25 - Applicable ROFR Rightholders ), all in accordance with the following provisions of this Section 4.03
Page 26 - Exercise of Right of First Refusal; Over-Allotment Option.
Page 27 - Exercising Applicable ROFR Rightholder ) shall have the right to purchase all or any portion of the
Page 28 - Consummation of Sale to the Applicable ROFR Rightholders. In the event that the Applicable ROFR Righ
Page 29 - Section 4.04 Tag-along Right.
Page 30 - Exercise of Tag-along Right.
Page 31 - Conditions of Sale.
Page 32 - Expenses. The fees and expenses of the Selling Stockholder incurred in connection with a Tag-along S
Page 33 - Section 4.05 Drag-along Rights.
Page 34 - Conditions of Sale. The obligations of the Drag-along Stockholders in respect of a Drag-along Sale u
Page 35 - Cooperation. Each Drag-along Stockholder shall take all actions as may be reasonably necessary to co
Page 36 - Section 4.06 Pernix Purchase Option.
Page 37 - Section 5.01 Other Business Activities.. The parties hereto, including the Company, expressly acknow
Page 38 - Confidential Information ). In addition, each Stockholder acknowledges that: (i) the Company has inv
Page 39 - Section 5.03 Financial Statements. The Company shall furnish to each Stockholder the following repor
Page 40 - Monthly Financial Statements. As soon as available, and in any event within thirty (30) days after t
Page 41 - Trigger Event ), any net proceeds received by the Company from third parties and/or any distribution
Page 42 - ARTICLE VI
Page 43 - ARTICLE VII
Page 44 - Section 8.03 Headings. The headings in this Agreement are inserted for convenience or reference only
Page 45 - Section 8.09 Waiver. No waiver by any party of any of the provisions hereof shall be effective unles
Page 46 - Section 8.13 Dispute Resolution. Any and all claims, disputes or controversies arising out of, in co
Page 47 - Section 8.18 Stock Split. All references to amounts of Capital Stock in this Agreement shall be appr
Page 48 - Effect of Termination. The termination of this Agreement shall terminate all further rights and obli
Page 49 - N/A
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Page 52 - N/A
Page 53 - Schedule A
Page 54 - Exhibit A
Page 55 - Exhibit B
Page 56 - Registrable Securities means (a) any shares of Common Stock beneficially owned by the Stockholders,
Page 57 - Requesting Stockholders ) may request registration under the Securities Act of all or any portion of
Page 58 - Shelf Registration Statement ), the Stockholders shall have the right to request registration under
Page 59 - Piggyback Registration Statement ) to be used may be used for any registration of Registrable Securi
Page 60 - Piggyback Shelf Takedown ).
Page 61 - Section 4 shall not apply to sales of Registrable Securities to be included in such offering pursuan
Page 62 - Section 5(f);
Page 63 - Section 5(f), use its reasonable efforts to cause such Registrable Securities to be registered with
Page 64 - Controlling Person ) of the Company, to participate in the preparation of such Registration Statemen
Page 65 - Section 2(a), the holders of two-thirds of the Registrable Securities initially requesting such regi
Page 66 - Section 7, such indemnified party shall, if a claim in respect thereof is made against an indemnifyi
Page 67 - N/A
Page 68 - N/A
Page 69 - Exhibit C
Page 70 - N/A
Page 71 - N/A
Subdocument 4 - EX-10.2 - SERVICES AGREEMENT, DATED JULY 27, 2018, BETWEEN NALPROPION PHARMACEUTICALS, INC. AND PERNIX THERAPEUTICS, LLC
Page 1 - SERVICES AGREEMENT
Page 2 - TABLE OF CONTENTS
Page 3 - N/A
Page 4 - SERVICES AGREEMENT
Page 5 - Allocated Compensation means, with respect to any Corporate Service, the portion of the aggregate co
Page 6 - Company Board means the board of directors of the Company.
Page 7 - Logistics Provider means the third party logistics provider engaged by Pernix from time to time to p
Page 8 - Pernix Parent means Pernix Therapeutics Holdings, Inc., a Maryland corporation or such successor Per
Page 9 - Stockholders Agreement means the Amended and Restated Stockholders Agreement among the Company, High
Page 10 - N/A
Page 11 - Corporate Services ) necessary for the management and operations of the Company as set forth in the
Page 12 - N/A
Page 13 - Services ). For the avoidance of doubt, the Parties acknowledge that all services and functions whic
Page 14 - Pernix Third Party Provider ); provided that Pernix shall remain responsible for ensuring that its o
Page 15 - Business Plan and Budget ) to be presented to the Company Board for its approval by December 15th of
Page 16 - Force Majeure Event ), including strikes, lockouts or other labor difficulties, fires, floods, acts
Page 17 - N/A
Page 18 - Company Third Party Provider ) in): (i) not attempting to obtain access to, use or interfere with an
Page 19 - Distribution Service ). In furtherance of the foregoing, and subject to the terms and conditions set
Page 20 - N/A
Page 21 - Order Forecast ) that correspond and are consistent with forecasts to be prepared by the Company (as
Page 22 - Third Party Manufacturing Agreement ) between the Company and any third party manufacturer (the Thir
Page 23 - Schedule IV.
Page 24 - Prosecution Activities ). In connection with the foregoing, Pernix shall, as part of the Corporate S
Page 25 - Territory Infringement ), it shall promptly notify the other Party in writing of such Territory Infr
Page 26 - N/A
Page 27 - Promotional Materials means all sales representative training materials and all written, printed, gr
Page 28 - Corporate Services Fees ), with respect to any Corporate Service provided during such calendar month
Page 29 - Expenses ).
Page 30 - Monthly Company Statement ) setting forth the Fees and Expenses payable by the Company during such c
Page 31 - Representatives ) to hold, in confidence, unless compelled to disclose by judicial or administrative
Page 32 - Business ); provided that nothing herein shall prohibit the acquisition by Pernix or any of its Affi
Page 33 - Pernix Indemnitees ) from and against any damage, loss, liability and expense, including but not lim
Page 34 - Indemnified Party ) shall give prompt notice in writing to the Party against whom indemnity is to be
Page 35 - N/A
Page 36 - N/A
Page 37 - Initial Term ), unless earlier terminated by the Parties as provided in Section 7.02; provided that
Page 38 - At Will Termination Notice ) at least one hundred and twenty (120) days prior to the date of termina
Page 39 - N/A
Page 40 - N/A
Page 41 - N/A
Page 42 - N/A
Page 43 - Dispute ) shall, at the written request of a Party (a Mediation Request ), be submitted to a neutral
Page 44 - N/A
Page 45 - N/A
Page 46 - N/A
Page 47 - Schedule I
Page 48 - Schedule II
Page 49 - Schedule III
Page 50 - N/A
Page 51 - N/A
Subdocument 5 - EX-10.6 - AMENDMENT NO. 3 TO THE ABL FACILITY, AUGUST 1, 2018, BY AND AMONG PERNIX, THE GUARANTORS AND LENDERS PARTY THERETO
Page 1 - AMENDMENT NO. 3 (ABL CREDIT AGREEMENT)
Page 2 - the Inventory that constitutes, or is used in the manufacturing or distribution of, the Contrave Ass
Page 3 - or the Orexigen Transaction).
Page 4 - Amendment Effective Date ): (x) when the Agent shall have received (i) from each of the Loan Parties
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
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Page 12 - N/A
Page 13 - N/A
Subdocument 6 - EX-10.7 - AMENDMENT NO. 2 TO THE TERM FACILITY, DATED AUGUST 1, 2018, BY AND AMONG PIP DAC, THE LENDERS PARTY THERETO
Page 1 - EXECUTION VERSION
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - SCHEDULE 1 AMENDED AND RESTATED SCHEDULE 3.2
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - SCHEDULE 2 AMENDED AND RESTATED SCHEDULE 5.17
Page 12 - N/A
Page 13 - N/A
Page 14 - N/A
Subdocument 7 - EX-10.8 - FIRST SUPPLEMENTAL INDENTURE, DATED JULY 27, 2018, BETWEEN PERNIX THERAPEUTICS HOLDINGS, INC. AND WILMINGTON TRUST,
Page 1 - N/A
Page 2 - Supplemental Indenture ), entered into as of July 27, 2018, among Pernix Ireland Pain Designated Act
Page 3 - Nalpropion Asset Purchase Agreement means that certain Asset Purchase Agreement, dated as of April 2
Page 4 - Orexigen Transaction means any transaction between Holdings or any of its Subsidiaries, on the one h
Page 5 - N/A
Page 6 - N/A
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Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Subdocument 8 - EX-31.1 - CEO 302 CERTIFICATE
Page 1 - N/A
Subdocument 9 - EX-31.2 - CFO 302 CERTIFICATE
Page 1 - N/A
Subdocument 10 - EX-32.1 - 906 CERTIFICATE
Page 1 - N/A
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