Lock-Up AgreementLock-Up Agreement • May 19th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services
LEASE EXTENSIONLease Extension • April 20th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services
The lease dated July 2013 and previously extended November 2018 between Benjamin Securities as tenant and Fairfield Office Park at Hauppauge LLC as Landlord in regards to Suite 210 located at 750 Veterans Memorial Highway Hauppauge, NY is hereby extended under the following terms and conditions:
Member FINRA, SIPC PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • April 20th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services • New York
This Placement Agent Agreement (this “Agreement”) supersedes all prior or contemporaneous negotiations, commitments, agreements and writings with respect to the subject matter hereof, all such other negotiations, commitments, agreements and writings will have no further force or effect, and the parties to any such other negotiation, commitment, agreement or writing will have no further rights or obligations thereunder. This is a Confidential Agreement and may only be viewed by the intended recipients and their legal and accounting representatives. Baker Global Asset Management Inc., which includes its subsidiaries and affiliates (the “Company”) is strictly prohibited from reproducing or disseminating this Agreement without the prior written consent of Alexander Capital, L.P. (“Alexander Capital”). Notwithstanding the foregoing, upon execution, Alexander Capital consents that this Agreement will be summarized and included as an exhibit in an offering statement or any other required or a
Benjamin Securities, Inc. MEMBERSHIP AGREEMENT CRD No. 7754Membership Agreement • April 20th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services
This Agreement shall remain in effect and bind the Firm and all of its successors to ownership or control unless this Agreement is changed, removed, or modified pursuant to applicable FINRA Rules.
Agreement of Lease, made as of this day of, JULY 2013 betweenLease Agreement • April 20th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services
Witnesseth: Landlord hereby leases to Tenant and Tenant hereby hires from Landlord office space on the 2 ND of the building known as 750 VETERANS MEMORIAL HIGHWAY HAUPPAUGE NY 11788 and described as follows: SUITE 210
Fully Disclosed Clearing AgreementFully Disclosed Clearing Agreement • April 20th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services • Minnesota
This agreement (the “Agreement”) is made between RBC Correspondent Services, a division of RBC Capital Markets, LLC, a Minnesota limited liability company (“Clearing Broker”), and the party signing below (“Correspondent”), having the form of organization set forth below.
ContractPromissory Note • June 7th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services • New York
THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, OR AN OPINION OF COUNSEL, IN A FORM ACCEPTABLE TO THE COMPANY, THAT REGISTRATION IS NOT REQUIRED UNDER SAID ACT OR APPLICABLE STATE SECURITIES LAWS OR UNLESS SOLD PURSUANT TO RULE 144 UNDER SAID ACT.
LEASE EXTENSIONLease Extension • April 20th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services
The lease dated July 2013, previously extended November 2018 and November 2019, between Benjamin Securities as tenant and Fairfield Office Park at Hauppauge LLC as Landlord in regards to Suite 210 located at 750 Veterans Memorial Highway Hauppauge, NY is hereby extended under the following tenns and conditions
Member FINRA, SIPC AMENDMENT TO PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • May 19th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services
Reference is made to that certain Placement Agent Agreement, dated April 19, 2023 (the “Placement Agreement,” or “Agreement”), between Baker Global Asset Management Inc. (the “Company”) and Alexander Capital, L.P. (“Alexander Capital”), in connection with a proposed best-efforts offering (the “Reg A Offering” or “Offering”) under Regulation A promulgated under the Securities Act of 1933, as amended (the “Securities Act”). The Company and the Alexander Capital desire to amend the Agreement as set forth in this agreement (this “Amendment No. 1”). All capitalized terms not defined herein shall have the meanings ascribed to them in the original Placement Agreement. The parties, intending to be legally bound, hereby amend the original Agreement as follows:
SUBSCRIPTION AGREEMENT Common Stock of Baker Global Asset Management Inc.Subscription Agreement • April 20th, 2023 • Baker Global Asset Management Inc. • Security & commodity brokers, dealers, exchanges & services
This Subscription Agreement (this “Subscription Agreement”) relates to my agreement to purchase shares of Common Stock, par value $0.0001 per share (the “Shares”), of Baker Global Asset Management Inc., a New York corporation (the “Company”), for a purchase price of $5.00 per Share, for a total purchase price as indicated on the signature page to this Agreement (“Subscription Price”), subject to the terms, conditions, acknowledgments, representations and warranties stated herein and in the Offering Circular for the sale of the Shares, dated April 20, 2023, as supplemented (the “Offering Circular”). Capitalized terms used but not defined herein shall have the meanings given to them in the Offering Circular.
