Oncology Institute, Inc. (DFPH) [Rocket]

Date Filed

Type

Description

11/22/2021

Director compensation was amended/approved

Docs:

"Certificate of Designation of Series A Common Stock Equivalent Convertible Preferred Stock",
"0000001 SEE REVERSE FOR IMPORTANT NOTICE REGARDING OWNERSHIP AND TRANSFER RESTRICTIONS AND CERTAIN OTHER INFORMATION CUSIP SEE REVERSE FOR CERTAIN DEFINITIONS INCORPORATED UNDER THE LAWS OF THE PROVINCE OF ONTARIO, CANADA SERIES A COMMON STOCK EQUIVALENT CONVERTIBLE PREFERRED STOCK SPECIMEN CHIEF EXECUTIVE OFFICER CHIEF FINANCIAL OFFICER FULLY PAID AND NON-ASSESSABLE SHARES OF SERIES A COMMON STOCK EQUIVALENT CONVERTIBLE PREFERRED STOCK $0.0001 PAR VALUE, OF THE ONCOLOGY INSTITUTE CORP. transferable on the books of the Company in Person or by duly authorized attorney, upon surrender of this Certificate properly endorsed. This Certificate and the shares represented hereby, are issued and shall be held subject to all of the provisions of the Articles of Incorporation, as it may be amended, a...",
"AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT",
"ARTICLE I. PURPOSE The Plan’ s purpose is to enhance the Company’ s and its Related Entities’ ability to attract, retain and motivate persons who make important contributions to the Company or its Related Entities by providing these individuals with equity ownership opportunities and/or equity-linked compensatory opportunities. Capitalized terms used in the Plan are defined in Article XI. ARTICLE II. ELIGIBILITY Service Providers are eligible to be granted Awards under the Plan as determined by the Administrator from time to time, subject to the limitations described herein. ARTICLE III. ADMINISTRATION AND DELEGATION 3.1    Administration . The Plan is administered by the Administrator. The Administrator has authority to determine which Service Providers receive Awards, g...",
"ARTICLE I.",
"Exchange Agreement, by and among DFP Healthcare Acquisitions Corp., Deerfield Private Design Fund IV, L.P., Dererfield Partners, L./P. and DFP Sponsor LLC",
"Form of Indemnification Agreement",
"CERTAIN CONFIDENTIAL INFORMATION IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH NOT MATERIAL AND WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED AMENDED AND RESTATED MANAGEMENT SERVICES AGREEMENT THIS AMENDED AND RESTATED MANAGEMENT SERVICES AGREEMENT , dated January 12, 2021 and effective as of September 19, 2018, is by and between TOI Management, LLC, a Delaware limited liability company and The Oncology Institute CA, a Professional Corporation , a California professional corporation , for itself and on behalf of its subsidiaries . R E C I T A L S A. Management provides physician practice management services and has expertise in billing compliance programs and in related practice and other ancillary management and administrative activities for and on behalf o...",
"TOI PARENT, INC.",
"List of Subsidiaries"

11/18/2021

8-K

Director compensation was amended/approved

Docs:

"THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF DFP HEALTHCARE ACQUISITIONS CORP. ***** DFP Healthcare Acquisitions Corp., a corporation organized and existing under the laws of the state of Delaware , does hereby certify as follows: 1. The original certificate of incorporation of the Corporation was filed with the Secretary of State of Delaware on November 1, 2019 . The name under which the Original Certificate of Incorporation was filed is “DFP Healthcare Acquisitions Corp.” 2. The Corporation’ s First Amended and Restated Certificate of Incorporation, which amended and restated the provisions of the Original Certificate of Incorporation, was duly adopted in accordance with Sections 228, 242 and 245 of the General Corporation Law of the State of Delaware, as amended from time ...",
"Amended & Restated Bylaws of The Oncology Institute, Inc.",
"ARTICLE I. PURPOSE The Plan’ s purpose is to enhance the Company’ s and its Related Entities’ ability to attract, retain and motivate persons who make important contributions to the Company or its Related Entities by providing these individuals with equity ownership opportunities and/or equity-linked compensatory opportunities. Capitalized terms used in the Plan are defined in Article XI. ARTICLE II. ELIGIBILITY Service Providers are eligible to be granted Awards under the Plan as determined by the Administrator from time to time, subject to the limitations described herein. ARTICLE III. ADMINISTRATION AND DELEGATION 3.1    Administration . The Plan is administered by the Administrator. The Administrator has authority to determine which Service Providers receive Awards, g...",
"ARTICLE I. PURPOSE The purpose of this Plan is to assist Eligible Employees of the Company and its Designated Subsidiaries in acquiring a stock ownership interest in the Company. The Plan consists of two components: the Section 423 Component and the Non-Section 423 Component. The Section 423 Component is intended to qualify as an “employee stock purchase plan” under Section 423 of the Code and shall be administered, interpreted and construed in a manner consistent with the requirements of Section 423 of the Code. The Non-Section 423 Component authorizes the grant of rights which need not qualify as rights granted pursuant to an “employee stock purchase plan” under Section 423 of the Code. Rights granted under the Non-Section 423 Component shall be granted pursuant to separate Offerings con...",
"TOI Parent, Inc.",
"UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION The following unaudited pro forma condensed combined balance sheet as of September 30, 2021 and the unaudited pro forma condensed combined statements of operations for the year ended December 31, 2020 and nine months ended September 30, 2021 present the combined financial information of DFP and TOI after giving effect to the Business Combination and related adjustments described in the accompanying notes. DFP and TOI are collectively referred to herein as the “Companies,” and the Companies, subsequent to the Business Combination, are referred to herein as the “Combined Company” or “New TOI.” The unaudited pro forma condensed combined financial information has been prepared in accordance with Article 11 of Regulation S-X, as amend..."

06/28/2021

8-K

Director compensation was amended/approved

Docs:

"Agreement and Plan of Merger, by and among DFP Healthcare Acquisitions Corp. Orion Merger Sub I, Inc., Orion Merger Sub II, LLC and TOI Parent Inc",
"Form of Subscription Agreement",
"Form of Deerfield Subscription Agreement",
"Stockholder Support Agreement, by and among DFP Healthcare Acquisitions Corp., TOI Parent Inc., DFP Sponsor LLC and the other signatories thereto",
"Company Support Agreement, by and among DFP Healthcare Acquisitions Corp., TOI Parent Inc. and the other signatories thereto",
"Consent and Waiver Letter, by and among DFP Healthcare Acquisitions Corp., DFP Sponsor LLC, Deerfield Private Design Fund IV, L.P. and Deerfield Partners, L.P"