EXHIBIT 10.38 FORM OF WARRANTWarrant Agreement • February 27th, 2004 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 10.51 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the "Agreement"), dated as of March 17, 2006, by and between NATIONAL HOLDINGS CORPORATION, a Delaware corporation (the "Company") and the purchaser listed on Exhibit A...Securities Purchase Agreement • May 10th, 2006 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 1Joint Filing Agreement • January 7th, 2002 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services
The undersigned, and each of them, do hereby agree and consent to the filing of a single statement on behalf of all of them on Schedule 13D and amendments thereto, in accordance with the provisions of Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, as amended.
FIRST AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment is made as of July 1, 1999, by and between Olympic Cascade Financial Corporation, a Delaware corporation (the "Company") and Robert H. Daskal, an individual ("Executive"). A. The Company and...Employment Agreement • December 21st, 1999 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • Illinois
EXHIBIT 10.30Securities Purchase Agreement • January 11th, 2002 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
Exhibit 10.48 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT ("Agreement") is made as of the 11th day of January, 2006 by and among Olympic Cascade Financial Corporation, a Delaware corporation (the "Company"), and the Investors set...Securities Purchase Agreement • January 18th, 2006 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • California
EXHIBIT 10.40 THIS WARRANT AND THE SHARES OF COMMON STOCK WHICH MAY BE PURCHASED UPON THE EXERCISE OF THIS WARRANT HAVE BEEN ACQUIRED SOLELY FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE "ACT"), OR ANY...Warrant Agreement • August 27th, 2004 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 10.50 EMPLOYMENT AGREEMENT ("Agreement"), dated as of the 15th day of March 2006 (the "Effective Date"), by and between OLYMPIC CASCADE FINANCIAL CORPORATION (the "Company"), a Delaware corporation, and MARK GOLDWASSER ("Executive"). WHEREAS,...Employment Agreement • May 10th, 2006 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York
BUSINESS LOAN AGREEMENT PART BBusiness Loan Agreement • December 24th, 1997 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • Washington
THIS STOCK PURCHASE AGREEMENT ("Agreement") is effective as of December 14, --------- 2001 between STEVEN A. ROTHSTEIN, an individual residing at 2737 Illinois Road, Wilmette, Illinois 60091 ("SAR"), such other persons or entities listed on ---...Stock Purchase Agreement • January 11th, 2002 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
RECITALSEmployment Agreement • December 22nd, 2000 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • Illinois
AMERICAN NATIONAL BANK AND TRUST COMPANY OF CHICAGO LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (this "Agreement"), made as of the 10th day of January, 2001, by and among AMERICAN NATIONAL BANK and TRUST COMPANY OF CHICAGO ("Bank"), a...Loan and Security Agreement • February 13th, 2001 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services
EXHIBIT 10.32Securities Exchange Agreement • January 11th, 2002 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 10.33Escrow Agreement • January 11th, 2002 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
Exhibit 10.49 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the "Agreement") is made and entered into as of this 11th day of January, 2006 by and among Olympic Cascade Financial Corporation, a Delaware corporation (the "Company"),...Registration Rights Agreement • January 18th, 2006 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
LEASE EXTENSION AGREEMENT THIS AGREEMENT MADE AND ENTERED INTO AS OF THE 3RD DAY OF JULY BY AND BETWEEN SEAFO, INC., A DELAWARE CORPORATION ("LANDLORD") AND NATIONAL SECURITIES CORPORATION, A WASHINGTON CORPORATION ("Tenant"). WITNESSETH A. Landlord...Lease Extension Agreement • December 21st, 1999 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services
RECITALSEmployment Agreement • December 21st, 1999 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • Illinois
EXHIBIT 10.39Registration Rights Agreement • February 27th, 2004 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 10.41 FORM OF REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT, dated as of August --, 2004, among Olympic Cascade Financial Corporation (the "Company"), and each of the purchasers named on the signature pages hereto (individually,...Registration Rights Agreement • August 27th, 2004 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
Exhibit 10.47 LETTER AGREEMENT DATED AS OF OCTOBER 24, 2005 TERMINATING THE AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER Olympic Cascade Letterhead October 24, 2005 Victor K. Kurylak First Montauk Financial Corp. Parkway 109 Office Center 328...Termination Agreement • October 25th, 2005 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services
Reference is made to that certain Amended and Restated Agreement and Plan of Merger dated as of June 27, 2005 by and among First Montauk Financial Corp. ("First Montauk"), Olympic Cascade Financial Corporation ("Olympic") and OLY Acquisition Corp. (the "Merger Agreement"). All capitalized terms herein not otherwise defined shall have the meaning ascribed to them in the Merger Agreement.
RECITALSEmployment Agreement • December 21st, 1999 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • Illinois
EXHBIIT 10.36 FORM OF SECURITIES PURCHASE AGREEMENT OLYMPIC CASCADE FINANCIAL CORPORATION SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • February 27th, 2004 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • New York
EXHIBIT 10.36 CLEARING AGREEMENT This Clearing Agreement ("Agreement") is effective as of October 1, 2004, (the "Commencement Date"), between Fiserv Securities, Inc., a Delaware corporation (hereinafter referred to as the "Clearing Agent") and...Clearing Agreement • June 24th, 2004 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services
STOCK PURCHASE AGREEMENT between OLYMPIC CASCADE FINANCIAL CORPORATION and LHF HOLDCO, LLCStock Purchase Agreement • January 8th, 1999 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • California
AMONGStock Purchase Agreement • December 24th, 1997 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • Washington
EXCHANGE AGREEMENT AND PLAN OF REORGANIZATIONExchange Agreement and Plan of Reorganization • December 24th, 1997 • Olympic Cascade Financial Corp • Security & commodity brokers, dealers, exchanges & services • California
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934,...Joint Filing Agreement • February 14th, 2007 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services
The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements.
EMPLOYMENT AGREEMENTEmployment Agreement • July 2nd, 2008 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York
This Employment Agreement (“Agreement”) is made and entered into as of July 1, 2008, by and between National Holdings Corporation, a Delaware corporation (the “Company”) and Alan B. Levin (the “Executive”).
FORM OF SUPPORT AND VOTING AGREEMENTSupport and Voting Agreement • April 28th, 2016 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • Delaware
This SUPPORT AND VOTING AGREEMENT (this “Agreement”), dated as of April 27, 2016, is by and among Fortress Biotech, Inc., a Delaware corporation (“Parent”), FBIO Acquisition, Inc., a Delaware corporation and an indirect, wholly-owned Subsidiary of Parent (“Acquisition Sub”), the Person listed as a “Stockholder” on the signature page hereto (the “Stockholder”), and solely for the limited purposes set forth in Section 10(b), [____________], a Delaware corporation (the “Company”).
NATIONAL HOLDINGS CORPORATION 2013 OMNIBUS INCENTIVE PLAN Nonqualified Stock Option and Dividend Equivalent AgreementNonqualified Stock Option and Dividend Equivalent Agreement • December 29th, 2014 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • Delaware
THIS NONQUALIFIED TOCK OPTION AND DIVIDEND EQUIVALENT AGREEMENT (this "Agreement") dated as of 28th day of July, 2013, between National Holdings Corporation, a Delaware corporation (the "Company"), and Robert B. Fagenson (the "Participant"), is made pursuant and subject to the provisions of the Company's 2013 Omnibus Incentive Plan (the "Plan"), a copy of which is attached hereto. All terms used herein that are defined in the Plan have the same meaning given them in the Plan, except as provided in this Agreement.
NATIONAL HOLDINGS CORPORATION COMMON STOCK PURCHASE WARRANTCommon Stock Purchase Warrant • December 29th, 2009 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York
THIS CERTIFIES THAT, for value received, Christopher C. Dewey (the “Holder”), is entitled, upon the terms and subject to the conditions hereinafter set forth, at such times after the date hereof as are set forth below, to acquire from National Holdings Corporation, a Delaware corporation (the “Company”), in whole or, from time to time, in part, up to One Hundred Thousand (100,000) fully paid and nonassessable shares of Common Stock, $.02 par value, of the Company (the “Warrant Shares”) at a purchase price per share (the “Exercise Price”) of $0.75. Such number of shares, type of security and Exercise Price are subject to adjustment as provided herein, and all references to “Warrant Shares” and “Exercise Price” herein shall be deemed to include any such adjustment or series of adjustments. The Warrant Shares shall vest in full immediately upon the date hereof.
FORM OF VOTING AGREEMENTVoting Agreement • April 28th, 2016 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • Delaware
This VOTING AGREEMENT (this “Agreement”), dated as of April 27, 2016, is by and among Fortress Biotech, Inc., a Delaware corporation (“Parent”), FBIO Acquisition, Inc., a Delaware corporation and an indirect, wholly-owned Subsidiary of Parent (“Acquisition Sub”), the Person listed as a “Stockholder” on the signature page hereto (the “Stockholder”), and solely for the limited purposes set forth in Section 8(b), [____________], a Delaware corporation (the “Company”).
EMPLOYMENT AGREEMENTEmployment Agreement • December 30th, 2019 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York
This Amended and Restated Employment Agreement (this “Agreement”), is effective as of December 31, 2018 (the “Effective Date”), by and between National Holdings Corporation, a Delaware corporation (the “Company”), and Michael Mullen (the “Executive”).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • February 14th, 2011 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York
This REGISTRATION RIGHTS AGREEMENT (the “Agreement”) is made and entered into as of this 4th day of February, 2011 by and among National Holdings Corporation, a Delaware corporation (the “Company”), and those individuals signatory hereto (the “Investors”).
EMPLOYMENT AGREEMENT – WORMANEmployment Agreement • January 11th, 2021 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York
THIS EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between National Holdings Corporation (the “Company”) and Glenn C. Worman (“Executive”), effective as of the “Effective Time” under the Agreement and Plan of Merger dated as of January 10, 2021 by and among the Company, B. Riley Financial, Inc. (“BRF”), and B. Riley Principal Merger Corp. III (the “Merger Agreement”).
