SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT IMPORTANT: Please refer to Schedule 1 commencing on page 11 when reviewing this document. The Schedule is incorporated herein and made a part hereof.Subscription Agreement • October 5th, 2005 • Baker Christopher P • Investment advice • New York
ContractWarrant Agreement • October 5th, 2005 • Baker Christopher P • Investment advice • New York
THIS WARRANT AND THE SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR ANY STATE SECURITIES LAWS. THIS WARRANT AND THE COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT AS TO THIS WARRANT UNDER SAID ACT AND ANY APPLICABLE STATE SECURITIES LAWS OR AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO NATIONAL INVESTMENT MANAGERS INC. THAT SUCH REGISTRATION IS NOT REQUIRED.
JOINT FILING AGREEMENT dated October 5, 2005 Re: Joint Filing of Schedule 13DJoint Filing Agreement • October 5th, 2005 • Baker Christopher P • Investment advice
This will confirm the agreement by and among all the undersigned that the Schedule 13D filed on or about this date with respect to the beneficial ownership of the undersigned of Common Stock, par value $0.001 per share, of National Investment Managers, Inc. is being, and any and all further amendments to the Schedule 13D may be, filed on behalf of each of the undersigned.
