AMENDMENT NO. 11 TO SECURITIES PURCHASE AND LOAN AGREEMENTSecurities Purchase and Loan Agreement • March 8th, 2011 • National Investment Managers Inc. • Investment advice • Massachusetts
This Amendment No. 11 to Securities Purchase and Loan Agreement (this “Agreement”) is made as of the 4th day of March, 2011 by and among NATIONAL INVESTMENT MANAGERS INC., a Florida corporation (the “Company”), each of the guarantors identified as such on the signature pages hereto (each a “Guarantor,” and collectively, the “Guarantors”), WOODSIDE CAPITAL PARTNERS IV, LLC (“Woodside IV”), WOODSIDE CAPITAL PARTNERS IV QP, LLC (“Woodside IV QP”), WOODSIDE CAPITAL PARTNERS V, LLC, as assignee of Woodlands Commercial Bank (f/k/a Lehman Brothers Commercial Bank) (“Woodside V”), WOODSIDE CAPITAL PARTNERS V QP, LLC, as assignee of Woodlands Commercial Bank (f/k/a Lehman Brother Commercial Bank) (“Woodside V QP”, and together with Woodside IV, Woodside IV QP, and Woodside V, the “Holders”) and WOODSIDE AGENCY SERVICES, LLC as collateral agent for the Holders (the “Collateral Agent”).
THIRTEENTH AMENDMENT TO REVOLVING LINE OF CREDIT AND TERM LOAN AGREEMENTRevolving Line of Credit and Term Loan Agreement • March 8th, 2011 • National Investment Managers Inc. • Investment advice • Massachusetts
This Thirteenth Amendment to Revolving Line of Credit and Term Loan Agreement (this “Agreement”) is made as of the 4th day of March, 2011 by and among RBS CITIZENS, NATIONAL ASSOCIATION, having a lending office at 28 State Street, Boston, MA 02109 (the “Lender”), NATIONAL INVESTMENT MANAGERS, INC., a Florida corporation having an address of 485 Metro Place South, Suite 275, Dublin, OH 43017 (the “Borrower”), and each of the guarantors identified as such on the signature pages hereto (each a “Guarantor,” and collectively, the “Guarantors”).
AGREEMENT AND PLAN OF MERGER by and between DTE MERGER CORP. as Merger Corp, and NATIONAL INVESTMENT MANAGERS INC. as the Company Dated March 7, 2011Merger Agreement • March 8th, 2011 • National Investment Managers Inc. • Investment advice • Florida
This Agreement and Plan of Merger (this “Agreement”) is made and entered into as of March 7, 2011 by and between DTE Merger Corp., a Florida corporation (“Merger Corp”), and National Investment Managers Inc., a Florida corporation (the “Company”).
AGREEMENTMerger Agreement • March 8th, 2011 • National Investment Managers Inc. • Investment advice
This Agreement (“Agreement”) is by and between Steven J. Ross (“Ross”) and National Investment Managers Inc. (the “Company”), effective as of March 7, 2011.
