As filed with the Securities and
Exchange Commission on November 9, 2017
Registration No. 333-219898
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
AMENDMENT NO. 3
TO
FORM S-4
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
APOLLO
MEDICAL HOLDINGS, INC.
(Exact name of registrant as specified in
its charter)
Delaware
(State or Other Jurisdiction of
Incorporation or Organization)
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8742
(Primary Standard Industrial
Classification Code Number)
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20-8046599
(I.R.S. Employer
Identification Number)
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700 N. Brand Blvd., Suite 1400
Glendale, CA 91203
(818) 396-8050
(Address, Including Zip Code, and Telephone
Number,
Including Area Code, of Registrant’s
Principal Executive Offices)
Warren Hosseinion, M.D.
Chief Executive Officer
Apollo Medical Holdings, Inc.
700 N. Brand Blvd., Suite 1400
Glendale, CA 91203
(818) 396-8050
(Name, address, including zip code, and
telephone
number, including area code, of agent for service)
Copies to:
Mark Mihanovic, Esq.
Paul Carr-Rollitt, Esq.
Gary Emmanuel, Esq.
McDermott Will & Emery LLP
2049 Century Park East, 38th
Floor
Los Angeles, CA 90067
(310) 277-4110
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Thomas Lam, M.D.
Chief Executive Officer
Network Medical Management, Inc.
1668 S. Garfield Avenue
Alhambra, CA 91801
(626) 282-0288
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Tin Kin Lee, Esq.
Tin Kin Lee Law Offices
1811 Fair Oaks Avenue
South Pasadena, CA 91030
(626) 229-9828
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Approximate date of commencement of
proposed sale to the public: As soon as practicable after this Registration Statement is declared effective and all other conditions
to the transaction contemplated by the Agreement and Plan of Merger, dated as of December 21, 2016, as amended on March 30, 2017
and October 17, 2017, described in the enclosed joint proxy statement/prospectus have been satisfied or waived.
If the securities being registered on this
Form are being offered in connection with the formation of a holding company and there is compliance with General Instruction G,
check the following box. ¨
If this Form is filed to register additional
securities for an offering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement for the same offering. ¨
If this Form is a post-effective amendment
filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement
number of the earlier effective registration statement for the same offering. ¨
Indicate by check mark whether the registrant
is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth
company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting
company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer ¨ |
Accelerated filer ¨ |
Non-accelerated filer ¨ (Do not check if a smaller reporting company) |
Smaller reporting company x |
|
Emerging Growth company ¨ |
If an emerging growth company, indicate
by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act ☐
If applicable, place an X in the box to
designate the appropriate rule provision relied upon in conducting this transaction:
Exchange Act Rule 13e-4(i) (Cross-Border Issuer Tender Offer) |
¨ |
Exchange Act Rule 14d-1(d) (Cross-Border Third-Party Tender Offer) |
¨ |
The registrant hereby amends this registration
statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment
which specifically states that this registration statement shall thereafter become effective in accordance with Section 8(a) of
the Securities Act of 1933 or until the registration statement shall become effective on such date as the Securities and Exchange
Commission, acting pursuant to said Section 8(a), may determine.
Explanatory Note
Apollo Medical Holdings,
Inc. (the “Registrant”) is filing this Amendment No. 3 (the “Amendment”) to its Registration Statement
on Form S-4 (Registration Statement No. 333-219898) as an exhibits-only filing to file Exhibit 8.1 and restate the list of exhibits
set forth in Item 8 of Part II of the Registration Statement. Accordingly, this Amendment consists only of the facing page, this
explanatory note, Part II of the Registration Statement, including the signature page and the exhibit index, and the filed exhibit.
The prospectus is unchanged and has been omitted.
PART II
INFORMATION NOT REQUIRED IN JOINT PROXY
STATEMENT/PROSPECTUS
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Item 20. |
Indemnification of Directors and Officers |
ApolloMed is a Delaware
corporation. Reference is made to Section 102(b)(7) of the Delaware General Corporation Law, which enables a corporation in its
original certificate of incorporation or an amendment thereto to eliminate or limit the personal liability of a director for violations
of the director’s fiduciary duty, except (1) for any breach of the director’s duty of loyalty to the corporation or
its stockholders, (2) for acts or omissions not in good faith or which involve intentional misconduct or a knowing violation of
law, (3) pursuant to Section 174 of the Delaware General Corporation Law (providing for liability of directors for unlawful payment
of dividends or unlawful stock purchase or redemptions) or (4) for any transaction from which a director derived an improper personal
benefit.
Reference also is made
to Section 145 of the Delaware General Corporation Law, which provides that a corporation may indemnify any persons, including
officers and directors, who are, or are threatened to be made, parties to any threatened, pending or completed legal action, suit
or proceeding, whether civil, criminal, administrative or investigative (other than an action by or in the right of such corporation),
by reason of the fact that such person was an officer, director, employee or agent of such corporation or is or was serving at
the request of such corporation as a director, officer, employee or agent of another corporation or enterprise. The indemnity may
include expenses (including attorney’s fees), judgments, fines and amounts paid in settlement actually and reasonably incurred
by such person in connection with such action, suit or proceeding, provided such officer, director, employee or agent acted in
good faith and in a manner he reasonably believed to be in or not opposed to the corporation’s best interest and, for criminal
proceedings, had no reasonable cause to believe that his conduct was unlawful. A Delaware corporation may indemnify officers and
directors in an action by or in the right of the corporation under the same conditions, except that no indemnification is permitted
without judicial approval if the officer or director is adjudged to be liable to the corporation. Where an officer or director
is successful on the merits or otherwise in the defense of any action referred to above, the corporation must indemnify him against
the expenses that such officer or director actually and reasonably incurred.
The ApolloMed Bylaws
allow for, and the ApolloMed Charter provides for, indemnification of ApolloMed’s current and former directors, officers,
committee members or representatives to the full extent permitted by Delaware law. ApolloMed has an existing Directors and Officers
Insurance Policy that provides coverage for its directors and officers in certain situations. ApolloMed has also entered into indemnification
agreements with its directors and executive officers, in addition to the indemnification provided for in the ApolloMed Charter
and ApolloMed Bylaws.
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Item 21. |
Exhibits and Financial Statements |
(a) Exhibit Index
A list of exhibits filed with this registration
statement on Form S-4 is set forth on the Exhibit Index and is incorporated herein by reference.
(b) Financial Statements
The financial statements filed with this
registration statement on Form S-4 are set forth on the Financial Statement Index and is incorporated herein by reference.
(a) The
undersigned registrant hereby undertakes:
(1) To
file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
(i) to
include any prospectus required by Section 10(a)(3) of the Securities Act of 1933;
(ii) to
reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent
post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set
forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered
(if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or
high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Securities and Exchange
Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than a 20 percent change
in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration
statement; and
(iii) to
include any material information with respect to the plan of distribution not previously disclosed in the registration statement
or any material change to such information in the registration statement.
(2) That,
for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed
to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time
shall be deemed to be the initial bona fide offering thereof.
(3) To
remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the
termination of the offering.
(b) The
undersigned registrant hereby undertakes as follows:
(1) That
prior to any public reoffering of the securities registered hereunder through use of a proxy statement/prospectus/information statement
which is a part of this registration statement, by any person or party who is deemed to be an underwriter within the meaning of
Rule 145(c), the issuer undertakes that such reoffering proxy statement/prospectus/information statement will contain the
information called for by the applicable registration form with respect to reofferings by persons who may be deemed underwriters,
in addition to the information called for by the other items of the applicable form.
(2)
That every proxy statement/prospectus (i) that
is filed pursuant to paragraph (b)(1) immediately preceding, or (ii) that purports to meet the requirements of Section 10(a)(3)
of the Securities Act and is used in connection with an offering of securities subject to Rule 415, will be filed as a part
of an amendment to the registration statement and will not be used until such amendment is effective, and that, for purposes of
determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration
statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the
initial bona fide offering thereof.
(3)
To respond to requests for information that is incorporated
by reference into this proxy statement/prospectus/information statement pursuant to Item 4 10(b), 11, or 13 of this Form, within
one business day of receipt of such request, and to send the incorporated documents by first class mail or other equally prompt
means. This includes information contained in documents filed subsequent to the effective date of the registration statement through
the date of responding to the request.
(4)
To supply by means of a post-effective
amendment all information concerning a transaction, and the company being acquired involved therein, that was not the subject of
and included in the registration statement when it became effective.
(c) Insofar
as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons
of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the
Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore,
unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant
of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action,
suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered,
the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court
of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities
Act and will be governed by the final adjudication of such issue.
Signatures
Pursuant to the
requirements of the Securities Act of 1933, as amended, the registrant has duly caused this registration statement to be signed
on its behalf by the undersigned, thereunto duly authorized, in the city of Glendale, State of California, on the 9th
day of November, 2017.
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APOLLO MEDICAL HOLDINGS, INC. |
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By: |
/s/ Warren Hosseinion, M.D. |
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Warren Hosseinion, M.D. |
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Chief Executive Officer |
Pursuant to the requirements of the Securities
Act of 1933, as amended, this registration statement has been signed below by the following persons on behalf of the registrant
and in the capacities and on the dates indicated.
Signature |
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Title |
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Date |
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/s/ Warren
Hosseinion, M.D. |
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Chief Executive Officer and Director |
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November 9, 2017 |
Warren Hosseinion, M.D. |
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(Principal Executive Officer) |
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/s/ Mihir
Shah |
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Chief Financial Officer |
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November 9, 2017 |
Mihir Shah |
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(Principal Financial Officer and Principal Accounting
Officer) |
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* |
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Executive Chairman and Director |
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November 9, 2017 |
Gary Augusta |
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* |
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Director |
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November 9, 2017 |
Mark Fawcett |
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* |
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Director |
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November 9, 2017 |
Suresh Nihalani |
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* |
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Director |
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November 9, 2017 |
David Schmidt |
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* |
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Director |
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November 9, 2017 |
Thomas Lam, M.D. |
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* |
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Director |
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November 9, 2017 |
Ted Schreck |
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* By: |
/s/ Warren Hosseinion, M.D. |
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Warren Hosseinion |
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Attorney-in-fact |
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Exhibit Index
Exhibit
No.
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Description |
2.1†*
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Agreement and Plan of Merger, dated December
21, 2016, among Apollo Medical Holdings, Inc., Network Medical Management, Inc., Apollo Acquisition Corp. and Kenneth Sim,
M.D. (attached as Annex A to the joint proxy statement/prospectus that is a part of this Registration Statement).
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2.2*
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Amendment to Agreement and Plan of Merger, dated
March 30, 2017, among Apollo Medical Holdings, Inc., Network Medical Management, Inc., Apollo Acquisition Corp. and Kenneth
Sim, M.D. (attached as Annex A to the joint proxy statement/prospectus that is a part of this Registration
Statement).
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2.3*
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Amendment No. 2 to Agreement and Plan of Merger, dated October 17, 2017, among Apollo Medical Holdings, Inc., Network Medical
Management, Inc., Apollo Acquisition Corp. and Kenneth Sim, M.D. (attached as Annex A to the joint proxy
statement/prospectus that is a part of this Registration Statement).
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3.1 |
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Restated
Certificate of Incorporation (filed as an exhibit to a Current Report on Form 8-K on January 21, 2015). |
3.2 |
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Certificate
of Amendment to Restated Certificate of Incorporation (filed as an exhibit to a Current Report on Form 8-K on April 27, 2015). |
3.3 |
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Certificate
of Designation of Series A Convertible Preferred Stock (filed as an exhibit to a Current Report on Form 8-K on October 19,
2015). |
3.4 |
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Amended
and Restated Certificate of Designation of Apollo Medical Holdings, Inc. (filed as an exhibit to a Current Report on Form
8-K on April 4, 2016). |
3.5 |
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Restated
Bylaws (filed as an exhibit to a Quarterly Report on Form 10-Q on November 16, 2015). |
4.1 |
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Form
of Investor Warrant, dated October 29, 2012, for the purchase of common stock (filed as an exhibit to a Quarterly Report on
Form 10-Q on December 17, 2012). |
4.2 |
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Form
of 9% Senior Subordinated Callable Convertible Note, dated January 31, 2013 (filed as an exhibit to an Annual Report on Form
10-K on May 1, 2013). |
4.3 |
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Form
of Investor Warrant for purchase of 3,750 shares of common stock, dated January 31, 2013 (filed as an exhibit to an Annual
Report on Form 10-K on May 1, 2013). |
4.4 |
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Common
Stock Purchase Warrant dated October 14, 2015, issued by Apollo Medical Holdings, Inc. to Network Medical Management, Inc.
to purchase 1,111,111 shares of common stock (filed as an exhibit to a Current Report on Form 8-K on April 4, 2016). |
4.5 |
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Common
Stock Purchase Warrant dated March 30, 2016, issued by Apollo Medical Holdings, Inc. to Network Medical Management, Inc. to
purchase 555,555 shares of common stock (filed as an exhibit to a Current Report on Form 8-K on April 4, 2016). |
4.6 |
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Common
Stock Purchase Warrant dated November 4, 2016 issued by Apollo Medical Holdings, Inc., to Scott Enderby to purchase 24,000
shares of common stock (filed as an exhibit to a Current Report on Form 8-K on November 10, 2016). |
4.7 |
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Common
Stock Purchase Warrant dated November 17, 2016 issued by Apollo Medical Holdings, Inc. to Liviu Chindris, M.D. (filed as an
exhibit to a Quarterly Report on Form 10-Q on February 14, 2017). |
4.8*
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Form of Warrant to be Issued as Merger Consideration (attached as Annex C to the
joint proxy statement/prospectus that is a part of this Registration Statement).
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5.1*
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Opinion of McDermott Will & Emery LLP regarding the validity of the securities.
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8.1#
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Opinion of
McDermott Will & Emery LLP regarding tax matters.
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10.1 |
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Agreement
and Plan of Merger among Siclone Industries, Inc. and Apollo Acquisition Co., Inc. and Apollo Medical Management, Inc. (filed
as an exhibit to a Current Report on Form 8-K on June 19, 2008). |
10.2 |
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2010
Equity Incentive Plan (filed as Appendix A to Schedule 14C Information Statement filed on August 17, 2010). |
10.3 |
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Board
of Directors Agreement dated March 22, 2012, by and between Apollo Medical Holdings, Inc. and Suresh Nihalani (filed as an
exhibit to an Annual Report on Form 10-K/A on March 28, 2012). |
10.4 |
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2013
Equity Incentive Plan of Apollo Medical Holdings, Inc. dated April 30, 2013 (filed as an exhibit to an Annual Report
on Form 10-K on May 8, 2014). |
10.5 |
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Board
of Directors Agreement dated May 22, 2013 by and between Apollo Medical Holdings, Inc., and David Schmidt (filed as an exhibit
to an Annual Report on Form 10-K on May 8, 2014). |
10.7 |
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Intercompany
Revolving Loan Agreement, dated February 1, 2013, by and between Apollo Medical Management, Inc. and Maverick Medical Group,
Inc. (filed as an exhibit to a Quarterly Report on Form 10-Q on June 14, 2013). |
10.8 |
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Intercompany
Revolving Loan Agreement, dated July 31, 2013 by and between Apollo Medical Management, Inc. and ApolloMed Care Clinic (filed
as an exhibit to a Quarterly Report on Form 10-Q on September 16, 2013). |
10.9+ |
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Consulting
and Representation Agreement between Flacane Advisors, Inc. and Apollo Medical Holdings, Inc., dated January 15, 2015 (filed
as an exhibit to a Current Report on Form 8-K on January 21, 2015). |
10.10 |
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Intercompany
Revolving Loan Agreement dated as of September 30, 2013, between Apollo Medical Management, Inc. and ApolloMed Hospitalists,
a Medical Corporation (filed as an exhibit to a Quarterly Report on Form 10-Q on December 20, 2013). |
10.11 |
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Form
of Settlement Agreement and Release, between Apollo Medical Holdings, Inc. and each of the Holders listed on Exhibit A to
the First Amendment, effective December 20, 2013 (filed as an exhibit to a Current Report on Form 8-K on December 24, 2013). |
10.12 |
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Credit
Agreement, between Apollo Medical Holdings, Inc. and NNA of Nevada, Inc., dated March 28, 2014 (filed as an exhibit to a Current
Report on Form 8-K on March 31, 2014). |
10.13 |
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Investment
Agreement, between Apollo Medical Holdings, Inc. and NNA of Nevada, Inc., dated March 28, 2014 (filed as an exhibit to a Current
Report on Form 8-K on March 31, 2014). |
10.14 |
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Collateral
Assignment of Physician Shareholder Agreement and Management Agreement, among Apollo Medical Holdings, Inc., Apollo Medical
Management, Inc., and NNA of Nevada, Inc., dated March 28, 2014 (acknowledged by ApolloMed Care Clinic, and Warren Hosseinion,
M.D.) (filed as an exhibit to a Current Report on Form 8-K on March 31, 2014). |
10.15 |
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Collateral
Assignment of Physician Shareholder Agreement and Management Agreement, among Apollo Medical Holdings, Inc., Apollo Medical
Management, Inc., and NNA of Nevada, Inc., dated March 28, 2014 (acknowledged by Maverick Medical Group Inc. and Warren Hosseinion,
M.D.) (filed as an exhibit to a Current Report on Form 8-K on March 31, 2014). |
10.16 |
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Collateral
Assignment of Physician Shareholder Agreement and Management Agreement, among Apollo Medical Holdings, Inc., Apollo Medical
Management, Inc., and NNA of Nevada, Inc., dated March 28, 2014 (acknowledged by ApolloMed Hospitalists and Warren Hosseinion,
M.D.) (filed as an exhibit to a Current Report on Form 8-K on March 31, 2014). |
10.17 |
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Shareholders
Agreement, among Apollo Medical Holdings, Inc., Warren Hosseinion, M.D., Adrian Vazquez, M.D., and NNA of Nevada, Inc., dated
March 28, 2014 (filed as an exhibit to a Current Report on Form 8-K on March 31, 2014). |
10.18 |
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Registration
Rights Agreement, between Apollo Medical Holdings, Inc. and NNA of Nevada, Inc., dated March 28, 2014 (filed as an exhibit
to a Current Report on Form 8-K on March 31, 2014). |
10.21+ |
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Hospitalist
Participation Service Agreement, between ApolloMed Hospitalists and Warren Hosseinion, M.D., dated March 28, 2014 (filed as
an exhibit to a Current Report on Form 8-K/A on April 3, 2014). |
10.22+ |
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Hospitalist
Participation Service Agreement, between ApolloMed Hospitalists and Adrian Vazquez, M.D., dated March 28, 2014 (filed as an
exhibit to a Current Report on Form 8-K/A on April 3, 2014). |
10.23+ |
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Stock
Option Agreement, between Warren Hosseinion, M.D. and Apollo Medical Holdings, Inc., dated March 28, 2014 (filed as an exhibit
to a Current Report on Form 8-K/A on April 3, 2014). |
10.24+ |
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Stock
Option Agreement, between Adrian Vazquez, M.D. and Apollo Medical Holdings, Inc., dated March 28, 2014 (filed as an exhibit
to a Current Report on Form 8-K/A on April 3, 2014). |
10.25 |
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Amended
and Restated Management Services Agreement, between Apollo Medical Management, Inc. and ApolloMed Care Clinic, dated March
28, 2014 (filed as an exhibit to a Current Report on Form 8-K/A on April 3, 2014). |
10.26 |
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Amended
and Restated Management Services Agreement, between Apollo Medical Management, Inc. and Maverick Medical Group Inc., dated
March 28, 2014 (filed as an exhibit to a Current Report on Form 8-K/A on April 3, 2014). |
10.27 |
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Amended
and Restated Management Services Agreement, between Apollo Medical Management, Inc. and ApolloMed Hospitalists, dated March
28, 2014 (filed as an exhibit to a Current Report on Form 8-K/A on April 3, 2014). |
10.28 |
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Physician
Shareholder Agreement, granted and delivered by Warren Hosseinion, M.D., in favor of Apollo Medical Management, Inc. and Apollo
Medical Holdings, Inc., for the account of ApolloMed Care Clinic, dated March 28, 2014 (filed as an exhibit to a Current Report
on Form 8-K/A on April 3, 2014). |
10.29 |
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Physician
Shareholder Agreement, granted and delivered by Warren Hosseinion, M.D., in favor of Apollo Medical Management, Inc. and Apollo
Medical Holdings, Inc., for the account of Maverick Medical Group, Inc., dated March 28, 2014 (filed as an exhibit to a Current
Report on Form 8-K/A on April 3, 2014). |
10.30 |
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Physician
Shareholder Agreement, granted and delivered by Warren Hosseinion, M.D., in favor of Apollo Medical Management, Inc. and Apollo
Medical Holdings, Inc., for the account of ApolloMed Hospitalists, dated March 28, 2014 (filed as an exhibit to a Current
Report on Form 8-K/A on April 3, 2014). |
10.31 |
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Amendment
No. 1 to Intercompany Revolving Loan Agreement, between Apollo Medical Management, Inc. and ApolloMed Care Clinic, dated March
28, 2014 (filed as an exhibit to a Current Report on Form 8-K/A on April 3, 2014). |
10.32 |
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Amendment
No. 1 to Intercompany Revolving Loan Agreement, between Apollo Medical Management, Inc. and Maverick Medical Group Inc., dated
March 28, 2014 (filed as an exhibit to a Current Report on Form 8-K/A on April 3, 2014). |
10.33 |
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Amendment
No. 1 to Intercompany Revolving Loan Agreement, between Apollo Medical Management, Inc. and ApolloMed Hospitalists, dated
March 28, 2014 (filed as an exhibit to a Current Report on Form 8-K/A on April 3, 2014). |
10.34+ |
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Board
of Directors Agreement dated March 7, 2012 by and between Apollo Medical Holdings, Inc., and Gary Augusta (filed as an exhibit
to an Annual Report on Form 10-K on May 8, 2014). |
10.35+ |
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Board
of Directors Agreement dated February 15, 2012 by and between Apollo Medical Holdings, Inc., and Ted Schreck (filed as an
exhibit to an Annual Report on Form 10-K on May 8, 2014). |
10.37+ |
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Consulting
Agreement as of May 20, 2014 by and between Apollo Medical Holdings, Inc. and Bridgewater Healthcare Group, LLC (filed
as an exhibit to a Current Report on Form 8-K/A on July 3, 2014). |
10.38+ |
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Board
of Directors Agreement dated May 22, 2013 by and between Apollo Medical Holdings, Inc., and Warren Hosseinion, M.D.
(filed as an exhibit to a Current Report on Form 8-K on September 16, 2014). |
10.39 |
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Contribution
Agreement, dated as of October 27, 2014, by and among Dr. Sandeep Kapoor, M.D, Marine Metspakyan and Apollo Palliative Services
LLC (filed as an exhibit to a Current Report on Form 8-K on October 31, 2014). |
10.40 |
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Contribution
Agreement, dated as of October 27, 2014, by and between Rob Mikitarian and Apollo Palliative Services LLC (filed as an exhibit
to a Current Report on Form 8-K on October 31, 2014). |
10.41 |
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Membership
Interest Purchase Agreement, entered into as of October 27, 2014, by and among Apollo Palliative Services LLC, Apollo Medical
Holdings, Inc., Dr. Sandeep Kapoor, M.D., Marine Metspakyan and Best Choice Hospice Care, LLC (filed as an exhibit to a Current
Report on Form 8-K on October 31, 2014). |
10.42 |
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Stock
Purchase Agreement entered into as of October 27, 2014, by and among Apollo Palliative Services LLC, Rob Mikitarian and Holistic
Care Home Health Agency, Inc. (filed as an exhibit to a Current Report on Form 8-K on October 31, 2014). |
10.43 |
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Second
Amendment to Lease Agreement dated October 14, 2014 by and between Apollo Medical Holdings, Inc. and EOP-700 North Brand,
LLC (filed as an exhibit on Quarterly Report on Form 10-Q on November 14, 2014). |
10.44 |
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Lease
Agreement, dated July 22, 2014, by and between Numen, LLC and Apollo Medical Management, Inc. (filed as an exhibit to a Current
Report on Form 8-K/A on December 8, 2014). |
10.45 |
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First
Amendment and Acknowledgement, dated as of February 6, 2015, among Apollo Medical Holdings, Inc., NNA of Nevada, Inc., Warren
Hosseinion, M.D. and Adrian Vazquez, M.D. (filed as an exhibit to a Current Report on Form 8-K on February 10, 2015). |
10.47 |
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Amendment
to the First Amendment and Acknowledgement, dated as of May 13, 2015, among Apollo Medical Holdings, Inc., NNA of Nevada,
Inc., Warren Hosseinion, M.D. and Adrian Vazquez, M.D. (filed as an exhibit to a Current Report on Form 8-K on May 15, 2015). |
10.48 |
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Amendment
to the First Amendment and Acknowledgement, dated as of July 7, 2015, among Apollo Medical Holdings, Inc., NNA of Nevada,
Inc., Warren Hosseinion, M.D. and Adrian Vazquez, M.D. (filed as an exhibit to a Current Report on Form 8-K on July 10, 2015). |
10.49 |
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Waiver
and Consent dated as of August 18, 2015 between Apollo Medical Holdings, Inc. and NNA of Nevada, Inc. (filed as an exhibit
to a Quarterly Report on Form 10-Q on August 19, 2015). |
10.50 |
|
Securities
Purchase Agreement dated October 14, 2015 between Apollo Medical Holdings, Inc. and Network Medical Management, Inc. (filed
as an exhibit to a Current Report on Form 8-K on October 19, 2015). |
10.51 |
|
Second
Amendment and Conversion Agreement dated as of November 17, 2015 among Apollo Medical Holdings, Inc., NNA of Nevada, Inc.,
Warren Hosseinion, M.D. and Adrian Vazquez, M.D. (filed as an exhibit to a Current Report on Form 8-K on November 19, 2015). |
10.52+ |
|
Board
of Directors Agreement between Apollo Medical Holdings, Inc. and Thomas S. Lam, M.D. dated January 19, 2016 (filed as an exhibit
to a Current Report on Form 8-K on January 19, 2016. |
10.55+ |
|
Consulting
Agreement dated January 12, 2016 between Apollo Medical Holdings, Inc. and Flacane Advisors, Inc. (filed as an exhibit to
a Current Report on Form 8-K on January 19, 2016). |
10.56 |
|
Indemnification
Agreement effective as of September 21, 2015 between Apollo Medical Holdings, Inc. and William Abbott (filed as an exhibit
to a Current Report on Form 8-K on January 19, 2016). |
10.57+ |
|
Board
of Directors Agreement dated January 12, 2016 between Apollo Medical Holdings, Inc. and Mark Fawcett (filed as an exhibit
to a Current Report on Form 8-K/A on February 2, 2016). |
10.58 |
|
Securities
Purchase Agreement dated March 30, 2016 between Apollo Medical Holdings, Inc. and Network Medical Management, Inc. (filed
as an exhibit to a Current Report on Form 8-K on April 4, 2016). |
10.59 |
|
2015
Equity Incentive Plan (filed as an exhibit to an Annual Report on Form 10-K on June 29, 2016). |
10.60 |
|
Asset
Purchase Agreement dated January 12, 2016 among Apollo Medical Holdings, Inc., Apollo Care Connect, Inc. and Healarium, Inc.
(filed as an exhibit to an Annual Report on Form 10-K on June 29, 2016). |
10.61 |
|
Amendment
No. 2 to Intercompany Revolving Loan Agreement dated March 30, 2016 between Apollo Medical Management, Inc. and
Maverick Medical Group, Inc. (filed as an exhibit to an Annual Report on Form 10-K on June 29, 2016). |
10.62 |
|
Amended
and Restated Subordination Agreement between Apollo Medical Management, Inc. and Maverick Medical Group, Inc. (filed as an
exhibit to an Annual Report on Form 10-K on June 29, 2016). |
10.63 |
|
Stock
Purchase Agreement dated as of March 1, 2016 by and among Robert Tracy, D.O., Inc., ApolloMed Care Clinic and Warren Hosseinion,
M.D. as nominee for Apollo Medical Management, Inc. (filed as an exhibit to a Current Report on Form 8-K on June 28, 2016). |
10.64 |
|
Non-Interest
Bearing Secured Promissory Note dated March 1, 2016 (filed as an exhibit to a Current Report on Form 8-K on June 28, 2016). |
10.65 |
|
First
Amendment to Stock Purchase Agreement and to Non-Interest Bearing Promissory Note dated as of March 1, 2016 by and among Robert
Tracy, D.O., Inc., ApolloMed Care Clinic and Warren Hosseinion, M.D. as nominee for Apollo Medical Management, Inc. (filed
as an exhibit to a Current Report on Form 8-K on June 28, 2016). |
10.66 |
|
Membership
Interest Purchase Agreement and Release dated as of December 9, 2015 among Apollo Medical Holdings, Inc., Apollo Medical Management,
Inc., Apollo Palliative Services LLC and Sandeep Kapoor, M.D. (filed as an exhibit to an Annual Report on Form 10-K on June
29, 2016). |
10.67+ |
|
Amended
and Restated Employment Agreement made as of June 29, 2016 between Apollo Medical Management, Inc. and Warren Hosseinion,
M.D. (filed as an exhibit to an Annual Report on Form 10-K on June 29, 2016). |
10.68+ |
|
Amended
and Restated Employment Agreement made as of June 29, 2016 by and between Apollo Medical Management, Inc. and Adrian Vazquez,
M.D. (filed as an exhibit to an Annual Report on Form 10-K on June 29, 2016). |
10.69+ |
|
Amended
and Restated Hospitalist Participation Service Agreement made as of June 29, 2016 by and between ApolloMed Hospitalists, a
Medical Corporation, and Warren Hosseinion, M.D. (filed as an exhibit to an Annual Report on Form 10-K on June 29, 2017). |
10.70+ |
|
Amended
and Restated Hospitalist Participation Service Agreement made as of June 29, 2016 by and between ApolloMed Hospitalists, a
Medical Corporation, and Adrian Vazquez, M.D. (filed as an exhibit to an Annual Report on Form 10-K on June 29, 2017). |
10.71 |
|
Third
Amendment dated June 28, 2016 between Apollo Medical Holdings, Inc. and NNA of Nevada, Inc. (filed as an exhibit to an Annual
Report on Form 10-K on June 29, 2017). |
10.72 |
|
Employment
Agreement between Apollo Medical Management, Inc. and Mihir Shah dated July 21, 2016 (filed as an exhibit to a Current Report
on Form 8-K on July 26, 2016). |
10.73 |
|
Stock
Purchase Agreement dated as of November 4, 2016 by and among BAHA Acquisition, A Medical Corporation, a California professional
corporation; Bay Area Hospitalist Associates, A Medical Corporation, a California professional corporation; and Scott Enderby,
D.O. (filed as an exhibit to a Current Report on Form 8-K on November 10, 2016). |
10.74 |
|
Employment
Agreement dated as of November 4, 2016 by and between Bay Area Hospitalist Associates, Inc., a California professional corporation,
and Scott Enderby (filed as an exhibit to a Current Report on Form 8-K on November 10, 2016). |
10.75 |
|
Non-Competition
Agreement dated as of November 4, 2016 by and between Bay Area Hospitalist Associates, A Medical Corporation, a California
professional corporation, and Scott Enderby, D.O. (filed as an exhibit to a Current Report on Form 8-K on November 10, 2016). |
10.76 |
|
Intercompany
Revolving Loan Agreement dated as of July 22, 2016 by and between Apollo Medical Management, Inc. and Bay Area Hospitalist
Associates, a Medical Corporation (filed as an exhibit to a Quarterly Report on Form 10-Q on November 14, 2016). |
10.77 |
|
Intercompany
Revolving Loan Agreement dated as of November 22, 2016 by and between Apollo Medical Management, Inc. and Maverick Medical
Group, Inc. (filed as an exhibit to a Current Report on Form 8-K on November 29, 2016). |
10.78 |
|
Subordination
Agreement dated as of November 22, 2016 by and between Apollo Medical Management, Inc. and Maverick Medical Group, Inc. (filed
as an exhibit to a Current Report on Form 8-K on November 29, 2016). |
10.79 |
|
Employment
Agreement dated December 20, 2016 between Apollo Medical Management, Inc. and Gary Augusta (filed as an exhibit to a Current
Report on Form 8-K on December 21, 2016). |
10.80 |
|
Employment
Agreement dated December 20, 2016 between Apollo Medical Management, Inc. and Warren Hosseinion, M.D. (filed as an exhibit
to a Current Report on Form 8-K on December 21, 2016). |
10.81 |
|
Employment
Agreement dated December 20, 2016 between Apollo Medical Management, Inc. and Mihir Shah (filed as an exhibit to a Current
Report on Form 8-K on December 21, 2016). |
10.82 |
|
Employment
Agreement dated December 20, 2016 between Apollo Medical Management, Inc. and Adrian Vazquez, M.D. (filed as an exhibit to
a Current Report on Form 8-K on December 21, 2016). |
10.83 |
|
Next
Generation ACO Model Participation Agreement (filed as an exhibit to a Current Report on Form 8-K on January 20, 2017). |
10.84 |
|
Voting
Agreement dated as of December 21, 2016 between Apollo Medical Holdings, Inc. and Thomas Lam, M.D. (filed as an
exhibit to a Current Report on Form 8-K on December 22, 2016). |
10.85 |
|
Voting
Agreement dated as of December 21, 2016 between Apollo Medical Holdings, Inc. and Kenneth Sim, M.D. (filed as an exhibit to
a Current Report on Form 8-K on December 22, 2016). |
10.86 |
|
Consent
and Waiver Agreement dated as of December 21, 2016 by between Apollo Medical Holdings, Inc. and Network Medical Management,
Inc. (filed as an exhibit to a Current Report on Form 8-K on December 22, 2016). |
10.87 |
|
Promissory
Note dated as of January 3, 2017 between Apollo Medical Holdings, Inc. and Network Medical Management, Inc. (filed as an exhibit
to a Current Report on Form 8-K on February 13, 2017). |
10.88 |
|
Promissory
Note (Term Loan) issued November 17, 2016 to Liviu Chindris, M.D. in the principal amount of $400,000 (filed as an exhibit
to a Quarterly Report on Form 10-Q on February 14, 2017). |
10.89 |
|
Fifth
Amendment to the Registration Rights Agreement between Apollo Medical Holdings, Inc. and NNA of Nevada, Inc., dated as of
July 26, 2017 (filed as an exhibit to a Current Report on Form 8-K on July 28, 2017). |
10.90*
|
|
Form
of Stockholder Lock-Up Agreement (attached as Annex D to the joint proxy statement/prospectus that is a part of this
Registration Statement).
|
10.91 |
|
Amended
and Restated Convertible Promissory Note dated as of October 17, 2017 between Apollo Medical Holdings, Inc. and Network Medical
Management, Inc. (filed as an exhibit to a Current Report on Form 8-K on October 20, 2017). |
10.92 |
|
Convertible
Promissory Note, dated as of March 30, 2017, between Apollo Medical Holdings, Inc. and Alliance Apex LLC (filed as an exhibit
to a Current Report on Form 8-K on April 5, 2017). |
10.93 |
|
Amendment
to Convertible Promissory Note, dated as of October 16, 2017, between Apollo Medical Holdings, Inc. and Alliance Apex LLC
(filed as an exhibit to a Current Report on Form 8-K on October 20, 2017). |
10.94 |
|
Amendment
No. 1 to Intercompany Revolving Loan Agreement between Apollo Medical Management, Inc. and Maverick Medical Group, dated August
31, 2017 (filed as an exhibit to a Current Report on Form 8-K on September 6, 2017). |
10.95 |
|
Amendment
No. 1 to Subordination Agreement between Apollo Medical Management, Inc. and Maverick Medical Group, Inc., dated August 31,
2017 (filed as an exhibit to a Current Report on Form 8-K on September 6, 2017). |
10.96*
|
|
Form of Stock Purchase Agreement among Maverick
Medical Group Inc., Warren Hosseinion, M.D. and APC-LSMA Designated Shareholder Medical Corporation.
|
21.1* |
|
Subsidiaries
of Apollo Medical Holdings, Inc. (filed as an exhibit to an Annual Report on Form 10-K on June 29, 2017). |
21.2* |
|
Subsidiaries
of Network Medical Management, Inc. |
23.1*
|
|
Consent
of BDO USA, LLP, Independent Registered Public Accounting Firm to Apollo Medical Holdings, Inc.
|
23.2*
|
|
Consent
of BDO USA, LLP, Independent Registered Public Accounting Firm to Network Medical Management, Inc.
|
23.3*
|
|
Consent
of DNW and Associates, Inc.
|
23.4*
|
|
Consent of McDermott Will & Emery LLP (included in Exhibit 5.1).
|
23.5#
|
|
Consent of McDermott
Will & Emery LLP (included in Exhibit 8.1).
|
24.1* |
|
Power of Attorney
(included on the signature page hereto). |
99.1* |
|
Form
of Proxy Card for Apollo Medical Holdings, Inc. |
99.2* |
|
Form
of Proxy Card for Network Medical Management, Inc. |
99.3*
|
|
Proposed
form of Certificate of Amendment of Certificate of Incorporation of Apollo Medical Holdings, Inc. (attached as Annex E
to the joint proxy statement/prospectus that is a part of this Registration Statement).
|
99.4*
|
|
Proposed
form of Amendment to Bylaws of Apollo Medical Holdings, Inc. (attached as Annex F to the joint proxy statement/prospectus
that is a part of this Registration Statement).
|
99.5*
|
|
Opinion
of Bank of America Merrill Lynch, financial advisor to Apollo Medical Holdings, Inc. (attached as Annex G to the joint
proxy statement/prospectus that is a part of this Registration Statement).
|
* |
|
Previously
filed |
# |
|
Filed herewith |
** |
|
Filed by amendment |
+ |
|
Management contract or compensatory
plan, contract or arrangement |
† |
|
The schedules and exhibits to this
exhibit have been omitted pursuant to Item 601(b)(2) of Regulation S-K. A copy of any omitted schedule and/or exhibit will
be furnished to the SEC upon request. |