Broker Dealer Services AgreementBroker Dealer Services Agreement • December 13th, 2019 • Commonwealth Thoroughbreds LLC • Services-racing, including track operation • Delaware
This Broker Dealer Services Agreement (this “Agreement”), effective as of December 10, 2019 (“Effective Date”), is entered into by Commonwealth Thoroughbreds LLC, a Delaware limited liability company (“Company”), and North Capital Private Securities Corporation, a Delaware corporation (“NCPS”, together with Company, the “Parties”, and each, a “Party”). Effective as of the Effective Date this Agreement amends and restates in its entirety that certain Solicitation Agreement – Private Debt, Equity, and Hybrid Securities, dated as of August 22, 2019 and amended as of September 4, 2019, by and between the Parties (the “Prior Agreement”).
ESCROW AGREEMENT FOR CONTINGENT SECURITIES OFFERINGEscrow Agreement • December 13th, 2019 • Commonwealth Thoroughbreds LLC • Services-racing, including track operation • Delaware
THIS ESCROW AGREEMENT, effective as of _______, 2019 (“Escrow Agreement”), is by, between and among North Capital Private Securities Corporation, a Delaware corporation, registered Broker-Dealer, member of FINRA and SIPC, located at 623 E. Ft. Union Blvd, Suite 101, Salt Lake City, UT 84047 (“NCPS”) acting hereunder as escrow agent (in such capacity “Escrow Agent”) and as placement agent (in such capacity ‘Placement Agent”); and Commonwealth Thoroughbreds LLC, a Delaware series limited liability company (“Issuer”) located at 1450 North Broadway, Lexington, Kentucky 40505.
