STOCK PURCHASE AGREEMENT by and between AMERIPRISE FINANCIAL, INC. and LADENBURG THALMANN FINANCIAL SERVICES INC. dated as of August 16, 2011Stock Purchase Agreement • August 18th, 2011 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • Delaware
This STOCK PURCHASE AGREEMENT, dated as of August 16, 2011 is made and entered into by and between Ameriprise Financial, Inc., a Delaware corporation (“Parent”), and Ladenburg Thalmann Financial Services Inc., a Florida corporation (“Purchaser”). Capitalized terms used but not otherwise defined herein have the meanings set forth in Section 9.01 hereof.
AMENDMENT NO. 2 TO CREDIT AGREEMENTCredit Agreement • August 18th, 2011 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
THIS AMENDMENT NO. 2 TO CREDIT AGREEMENT (this “Amendment”), dated as of August 16, 2011, is entered into by and between Ladenburg Thalmann Financial Services Inc., a Florida corporation (“Borrower”), and Frost Nevada Investments Trust, a Florida trust (“Frost Nevada”).
FROST NEVADA INVESTMENTS TRUST Miami, Florida 33137Loan Commitment • August 18th, 2011 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
This letter agreement will confirm the understanding between Frost Nevada Investments Trust (“Lender”) and Ladenburg Thalmann Financial Services Inc. (“Company”) relating to a certain loan to be made by Lender or one of its affiliates to the Company in connection with that certain Stock Purchase Agreement of even date herewith (the “Stock Purchase Agreement”), pursuant to which the Company will purchase (the “Acquisition”) the outstanding capital stock of Securities America Financial Corporation (capitalized terms used but not defined herein shall have the meanings ascribed to them in the Stock Purchase Agreement).
