AMENDMENT NO. 4 TO INTERCREDITOR AND SUBORDINATION AGREEMENTIntercreditor and Subordination Agreement • August 14th, 2008 • National Investment Managers Inc. • Investment advice • Massachusetts
This Amendment No. 4 to Intercreditor and Subordination Agreement (the “Agreement”) is by and among (i) RBS CITIZENS, NATIONAL ASSOCIATION (the “Senior Creditor”), (ii) WOODSIDE CAPITAL PARTNERS IV, LLC, WOODSIDE CAPITAL PARTNERS IV QP, LLC and LEHMAN BROTHERS COMMERCIAL BANK (the “Holders”), (iii) WOODSIDE AGENCY SERVICES, LLC, as collateral agent for the Holders (the “Collateral Agent” and together with the Holders, the “Subordinating Creditors”), (iv) NATIONAL INVESTMENT MANAGERS INC., a Florida corporation (the “Company”), and (v) the Guarantors named on the signature pages of this Agreement (the “Guarantors” and together with the Company, the “Obligors”). The parties named above shall be collectively referred to herein as the “Parties”.
AMENDMENT NO. 4 TO REVOLVING LINE OF CREDIT AND TERM LOAN AGREEMENTTerm Loan Agreement • August 14th, 2008 • National Investment Managers Inc. • Investment advice • Massachusetts
This Amendment No. 4 to Revolving Line of Credit and Term Loan Agreement (this “Agreement”) is by and between RBS Citizens, National Association, having a lending office at 28 State Street, Boston, MA 02109 (the “Lender”) and National Investment Managers Inc., a Florida corporation having an address of 545 Metro Place South, Suite 100, Dublin, OH 43017 (the “Borrower”).
ADDENDUM to EMPLOYMENT AGREEMENTAddendum to Employment Agreement • August 14th, 2008 • National Investment Managers Inc. • Investment advice
This Addendum provision (“Addendum”) is for the Employment Agreement (“Agreement”) entered into as of March 15, 2007 (“Effective Date”) between National Investment Managers Inc. (“Company”) and John M. Davis (“Executive”). This addendum is specific to the second term (4/1/08 - 3/31/09) of the Agreement and is entered into as of April 1, 2008 (“Effective Date”).
