NOTE: PORTIONS OF THIS EXHIBIT ARE THE SUBJECT OF A CONFIDENTIAL TREATMENT REQUEST BY THE REGISTRANT TO THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION"). SUCH PORTIONS HAVE BEEN REDACTED AND FILED SEPARATELY WITH THE COMMISSION AND ARE MARKED...Forgivable Loan Agreement • March 15th, 2012 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services • New York
This FORGIVABLE LOAN AGREEMENT, including all exhibits (as amended from time to time, this “Agreement”), is entered into the 4th day of November, 2011 (the “Effective Date”) between NATIONAL FINANCIAL SERVICES LLC (the “Lender”) and LADENBURG THALMANN FINANCIAL SERVICES INC. (the “Organization”).
FIRST AMENDMENT TO FORGIVABLE LOAN AGREEMENTForgivable Loan Agreement • March 15th, 2012 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
THIS FIRST AMENDMENT TO FORGIVABLE LOAN AGREEMENT is made as of November 4, 2011 (this “Loan Agreement Amendment”) between NATIONAL FINANCIAL SERVICES LLC (the “Lender”) and LADENBURG THALMANN FINANCIAL SERVICES INC. (the “Organization”).
LADENBURG THALMANN FINANCIAL SERVICES INC.Ladenburg Thalmann • March 15th, 2012 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
This letter agreement constitutes an amendment to the Employment Agreement dated as of August 24, 1999, as previously amended (the “Amended Agreement”), between Ladenburg Thalmann Financial Services Inc. (“LTFS”) and Mark Zeitchick (the “Executive”). LTFS and Executive wish to amend the Amended Agreement as set forth below. Unless otherwise defined herein, capitalized terms used herein shall have the meanings ascribed thereto in the Amended Agreement.
December 15, 2011Ladenburg Thalmann Financial Services Inc • March 15th, 2012 • Security & commodity brokers, dealers, exchanges & services
