EXHIBIT 4.1 onlinetradinginc.com corp. 2700 North Military Trail, Suite 200 Boca Raton, Florida 33431 FORM OF UNDERWRITERS' WARRANT WARRANT NO. __ Date of Issuance: As of June 10, 1999 Right to Purchase _________ Shares FOR VALUE RECEIVED,...Tradestation Group Inc • July 16th, 2003 • Services-prepackaged software • Florida
EXHIBIT 10.23 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this "Agreement"), dated as of August 8, 2002, is entered into by and between Benedict Gambino (the "Seller") and TradeStation Group, Inc. (the "Purchaser" or the "Company"). W I T...Stock Purchase Agreement • March 21st, 2003 • Tradestation Group Inc • Services-prepackaged software • Florida
BETWEENProcessing Agreement • August 12th, 2003 • Tradestation Group Inc • Security brokers, dealers & flotation companies • New York
TRADESTATION GROUP, INC. INDEMNIFICATION AGREEMENTIndemnification Agreement • May 10th, 2011 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
This Indemnification Agreement (“Agreement”) is entered into and effective as of , by and between TradeStation Group, Inc., a Florida corporation (the “Company”), and (“Indemnitee”).
Exhibit 10.21 EMPLOYMENT AGREEMENT This AGREEMENT, dated as of January 19, 2000 and to be effective as of and after the Effective Time (as defined in that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement") among Omega...Employment Agreement • March 30th, 2001 • Tradestation Group Inc • Services-prepackaged software • Florida
Exhibit 10.20 EMPLOYMENT AGREEMENT AGREEMENT, dated as of January 26, 2001 and effective as January 1, 2001 (the "Effective Time"), between TradeStation Group, Inc., a Florida corporation, and its subsidiaries (collectively, "Employer"), and Roger L....Employment Agreement • March 30th, 2001 • Tradestation Group Inc • Services-prepackaged software • Florida
SUBLEASESublease • March 12th, 2004 • Tradestation Group Inc • Security brokers, dealers & flotation companies
RESTRICTED STOCK AGREEMENT Non-transferable Grant to: (“Grantee”) by TradeStation Group, Inc., a Florida corporation (the “Company”), of shares of its common stock, $0.01 par value,Restricted Stock Agreement • May 9th, 2008 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
pursuant to and subject to the provisions of the TradeStation Group, Inc. Amended and Restated Incentive Stock Plan (the “Plan”) and to the terms and conditions of this non-transferable Restricted Stock Agreement (this “Agreement”), effective as of the day of , 200 (the “Effective Date”). Capitalized terms used herein and not otherwise defined shall have the meanings assigned to such terms in the Plan.
EXHIBIT 4.3 TRADESTATION GROUP, INC. INCENTIVE STOCK PLAN 1. Purpose. The TradeStation Group, Inc. Incentive Stock Plan (the "Plan"), being assumed and adopted by TradeStation Group, Inc., a Florida corporation, pursuant to that certain Agreement and...Tradestation Group Inc • January 5th, 2001 • Services-prepackaged software • Florida
FORM OF REGISTRATION RIGHTS AGREEMENTForm of Registration Rights Agreement • December 23rd, 2021 • Tradestation Group Inc • Security brokers, dealers & flotation companies • New York
THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of _________ 2021, is made and entered into by and among TradeStation Group, Inc., a Florida corporation (the “Company”), Quantum Ventures LLC, a Delaware limited liability company (the “Sponsor Holdco”), Chardan Quantum LLC, a Delaware limited liability company (“Chardan”), the Persons set forth on Exhibit A hereto (together with the Sponsor Holdco and Chardan, each, a “Sponsor Party” and, together, the “Sponsor Parties”), and Monex Group, Inc. (“Monex” and, collectively with each Sponsor Party and any other person or entity who hereafter becomes a party to this Agreement, each a “Holder” and collectively the “Holders”).
FORM OF EXECUTIVE STOCK OPTION AGREEMENTForm of Executive Stock Option Agreement • January 7th, 2009 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
Agreement, effective as of the day of , (the “Date of Grant”) between TradeStation Group, Inc., a Florida corporation (the “Company”), and [name of executive] (“Optionee”).
AGREEMENT AND PLAN OF MERGER by and among MONEX GROUP, INC. FELIX 2011 ACQUISITION SUB, INC. and TRADESTATION GROUP, INC. Dated as of April 20, 2011Agreement and Plan of Merger • April 21st, 2011 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
This Agreement and Plan of Merger (this “Agreement”), is entered into as of April 20, 2011, by and among MONEX GROUP, INC., a Japanese corporation (“Parent”), FELIX 2011 ACQUISITION SUB, INC., a Florida corporation and a wholly-owned subsidiary of Parent (“Merger Sub”), and TRADESTATION GROUP, INC., a Florida corporation (the “Company”). Capitalized terms used herein (including in the immediately preceding sentence) and not otherwise defined herein shall have the respective meanings set forth in Section 9.01 hereof.
ASSET PURCHASE AGREEMENT Between TRADESTATION TECHNOLOGIES, INC., as Purchaser, AND RINA TECHNOLOGIES, LLC as Seller Dated as of August 23, 2010Asset Purchase Agreement • August 23rd, 2010 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Ohio
ASSET PURCHASE AGREEMENT, dated as of August 23, 2010, between TRADESTATION TECHNOLOGIES, INC., a Florida corporation (“Purchaser”), and RINA TECHNOLOGIES, LLC, an Ohio limited liability company (“Seller”).
STOCK OPTION AGREEMENT New Executive Form as of February 15, 2007Stock Option Agreement • March 9th, 2007 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
Agreement, effective as of the day of , 200_ (the “Date of Grant”) between TradeStation Group, Inc., a Florida corporation (the “Company”), and (“Optionee”).
EXHIBIT 4.5 TRADESTATION GROUP, INC. NONEMPLOYEE DIRECTOR STOCK OPTION PLAN 1. Purpose. In connection with Omega Research, Inc., a Florida corporation ("Omega Research"), becoming a wholly-owned subsidiary of TradeStation Group, Inc. pursuant to that...Tradestation Group Inc • January 5th, 2001 • Services-prepackaged software • Florida
EXHIBIT 10.21 SEVERANCE AGREEMENT AGREEMENT, dated and effective as of July 20, 2001 ("Agreement"), between TRADESTATION GROUP, INC., a Florida corporation ("TSGroup"), and E. STEVEN ZUM TOBEL ("Departing Person"). PRELIMINARY STATEMENT From December...Severance Agreement • March 14th, 2002 • Tradestation Group Inc • Services-prepackaged software • Florida
ADDENDUM TO LEASE AGREEMENT BETWEEN TRADESTATION TECHNOLOGIES, INC. (TENANT) AND SPRINGCREEK PLACE, LTD. (LANDLORD) DATED JUNE 12, 1996 AND AMENDED ON 10-12-98, 5-28-99 and 7-25-02Lease Agreement • March 14th, 2008 • Tradestation Group Inc • Security brokers, dealers & flotation companies
This Addendum to Lease Agreement, dated and effective as of July 31, 2007, amends the existing Lease Agreement, as previously amended (described above), for premises located at 1820 North Glenville Drive, Suite 102 in Richardson, TX. (as previously amended, the “Lease”). All the terms and conditions set forth in the Lease shall remain unmodified and of full force and effect, with the following exceptions:
MODIFICATION AND RATIFICATION OF LEASEModification and Ratification of Lease • March 21st, 2003 • Tradestation Group Inc • Services-prepackaged software
This Modification and Ratification of Lease Agreement is made and entered into between SPRINGCREEK PLACE, LTD. (Lessor or Landlord) and TRADESTATION TECHNOLOGIES, INC. (formerly MarketArts, Inc., a Texas corporation) (Lessee or Tenant) for and in consideration of One Dollar ($1.00) and other good and valuable consideration, receipt of which is hereby acknowledged.
LEASE TERMINATION AND SURRENDER AGREEMENTLease Termination and Surrender Agreement • March 21st, 2003 • Tradestation Group Inc • Services-prepackaged software
This Lease Termination and Surrender Agreement (“Agreement”) between FAIRFAX BOCA ’92, L.P. (“Landlord”) and TRADESTATION TECHNOLOGIES, INC., f/k/a OMEGA RESEARCH, INC. (“Tenant”) is made as of December 11, 2002.
RESTRICTED STOCK AGREEMENT Non-transferable Grant to: [NAME] (“Grantee”) by TradeStation Group, Inc., a Florida corporation (the “Company”), of [insert number] shares of its common stock, $0.01 par value,Restricted Stock Agreement • August 5th, 2010 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
pursuant to and subject to the provisions of the TradeStation Group, Inc. Nonemployee Director Incentive Stock Plan (the “Plan”) and to the terms and conditions of this non-transferable Restricted Stock Agreement (this “Agreement”), effective as of the [insert third trading day after the earnings release for the quarter in which the Participant was initially elected or was re-elected] (the “Effective Date”). Capitalized terms used herein and not otherwise defined shall have the meanings assigned to such terms in the Plan.
Customer # BANK OF AMERICA Date: November 22, 2000 Limited Guaranty Bank:Onlinetrading Com Group Inc • December 11th, 2000 • Services-prepackaged software • Florida
MUTUAL NONDISCLOSURE AGREEMENTMutual Nondisclosure Agreement • May 10th, 2011 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
AGREEMENT, dated December 8, 2010 (“Agreement”) by and between TRADESTATION GROUP, INC., a Florida corporation, and MONEX GROUP, INC., a corporation organized under the laws of Japan.
SUBLEASESublease • March 21st, 2003 • Tradestation Group Inc • Services-prepackaged software
THIS SUBLEASE is made as of June 21, 2002 between TradeStation Securities, Inc. (f/k/a Online Trading, Inc.), a Florida corporation (“Sublandlord”) and Steflind, Inc., a Florida corporation and Budner Securities, Inc., a Florida corporation, jointly and severally (“Subtenant”).
Page 1. Definitions and Basic Terms 1 2. Demise; Term; Permitted Use 3 3. Rents 4 4. Condition of the Sublease Premises 7 5. Subordination to and Incorporation of the Overlease 7 6. Insurance and Indemnification 12 7. Covenant of Quiet Enjoyment 12 8....Sublease • March 9th, 2007 • Tradestation Group Inc • Security brokers, dealers & flotation companies
WHEREAS Sublandlord is now the tenant under the Overlease which demises portions of the Building (the premises from time to time demised by the Overlease (including any premises hereafter added to the Overlease) being herein called the “Overlease Premises”); and
BETWEENLease Agreement • March 14th, 2002 • Tradestation Group Inc • Services-prepackaged software • Florida
EXHIBIT 10.19 SEVERANCE AGREEMENT AGREEMENT, dated and effective as of July 20, 2001 ("Agreement"), between TRADESTATION GROUP, INC., a Florida corporation ("TSGroup"), and FARSHID TAFAZZOLI ("Departing Person"). PRELIMINARY STATEMENT From December...Severance Agreement • March 14th, 2002 • Tradestation Group Inc • Services-prepackaged software • Florida
LOAN AGREEMENTLoan Agreement • June 20th, 2005 • Tradestation Group Inc • Security brokers, dealers & flotation companies
This Agreement applies to the loan or loans (individually and collectively, the “Loan”) evidenced by one or more promissory notes of even date herewith or other notes subject hereto, as modified from time to time (whether one or more, the “Note”) and all Loan Documents. The terms “Loan Documents” and “Obligations,” as used in this Agreement, are defined in the Note.
AMENDMENT NO. 1 TO THE MUTUAL NONDISCLOSURE AGREEMENTMutual Nondisclosure Agreement • May 10th, 2011 • Tradestation Group Inc • Security brokers, dealers & flotation companies
AMENDMENT NO. 1 (this “Amendment”), dated as of March 3, 2011, to the Mutual Nondisclosure Agreement (the “NDA”), dated December 8, 2010, by and between TRADESTATION GROUP, INC., a Florida corporation, and MONEX GROUP, INC., a corporation organized under the laws of Japan. Capitalized terms used but not otherwise defined herein shall have the meaning ascribed to them in the NDA.
EMPLOYMENT AND MANAGEMENT CONTINUITY AGREEMENTEmployment and Management Continuity Agreement • April 21st, 2011 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
This EMPLOYMENT AND MANAGEMENT CONTINUITY AGREEMENT (this “Agreement”) is made as of April 20, 2011 by and between TradeStation Group, Inc., with its principal office at 8050 S.W. 10th Street, Plantation, Florida 33324 (the “Company”), and Salomon Sredni (“Executive”).
Attention: Thomas Thurston and Buy Back/Institutional Trade Desk Re: Purchase of Common Stock Pursuant to Rule 10b5-1 and 10b-18Tradestation Group Inc • November 9th, 2006 • Security brokers, dealers & flotation companies
This letter (the “Agreement”) is to confirm Sandler O’Neill & Partners, L.P.’s (the “Agent”) appointment as agent for TradeStation Group, Inc., a Florida corporation and NASDAQ GS-listed company (the “Company”), to purchase shares of its common stock, $.01 value (the “Common Stock”). It is understood that in connection with the making of these purchases, the Agent will be acting as agent for the Company. The terms of the Agreement will be as follows:
MANAGEMENT CONTINUITY AGREEMENTManagement Continuity Agreement • December 12th, 2005 • Tradestation Group Inc • Security brokers, dealers & flotation companies • Florida
This MANAGEMENT CONTINUITY AGREEMENT (this “Agreement”) is made as of December 9, 2005 by and between TradeStation Group, Inc., a Florida corporation, with its principal office at 8050 S.W. 10th Street, Plantation, Florida 33324 (the “Company”), and (“Executive”).
WITNESSETH:Form of Assumption Agreement • July 16th, 2003 • Tradestation Group Inc • Services-prepackaged software
UNCONDITIONAL GUARANTYUnconditional Guaranty • June 20th, 2005 • Tradestation Group Inc • Security brokers, dealers & flotation companies
To induce Bank to make, extend or renew loans, advances, credit, or other financial accommodations to or for the benefit of Borrower, which are and will be to the direct interest and advantage of the Guarantor, and in consideration of loans, advances, credit, or other financial accommodations made, extended or renewed to or for the benefit of Borrower, which are and will be to the direct interest and advantage of the Guarantor, Guarantor hereby absolutely, irrevocably and unconditionally guarantees to Bank and its successors, assigns and affiliates the timely payment and performance of all liabilities and obligations of Borrower to Bank under the Loan Documents, as defined below, and all obligations of Borrower to Bank or any of its affiliates under any swap agreement (as defined in 11 U.S.C. § 101, as in effect from time to time), however and whenever incurred or evidenced, whether primary, secondary, direct, indirect, absolute, contingent, due or to become due, now existing or hereaf
