NATIONAL HOLDINGS CORPORATION 2013 OMNIBUS INCENTIVE PLAN Nonqualified Stock Option and Dividend Equivalent AgreementEquivalent Agreement • September 29th, 2014 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • Delaware
THIS NONQUALIFIED STOCK OPTION AND DIVIDEND EQUIVALENT AGREEMENT (this "Agreement") dated as of the 29th day of July, 2013, between National Holdings Corporation, a Delaware corporation (the "Company"), and Mark D. Klein (the "Participant"), is made pursuant and subject to the provisions of the Company's 2013 Omnibus Incentive Plan (the "Plan"), a copy of which is attached hereto. All terms used herein that are defined in the Plan have the same meaning given them in the Plan, except as provided in this Agreement.
SECOND AMENDMENT TO CO-EXECUTIVE CHAIRMAN AND CHIEF EXECUTIVE OFFICER COMPENSATION PLANSecond Amendment • September 29th, 2014 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services
This Second Amendment (this “Amendment”) to the Co-Executive Chairman and Chief Executive Officer Compensation Plan between National Holdings Corporation, a Delaware corporation (the “Company”) and Mark D. Klein (the “Executive”) dated June 7, 2013, including the annexes thereto, and as amended on June 6, 2014 (the “Agreement”), is entered into and effective on the 23rd day of September, 2014.
RELEASENational Holdings Corp • September 29th, 2014 • Security & commodity brokers, dealers, exchanges & services
MARK D. KLEIN (the “Executive”), on behalf of myself and my heirs, successors and assigns, in consideration of the performance by National Holdings Corporation, a Delaware corporation (together with its Subsidiaries, the “Company”), of its obligations under the Employment Agreement, dated June 7, 2013, including the annexes thereto, and as amended on June 6, 2014 and again on September 23, 2014 (such latter amendment the “Amendment”, and collectively as amended the “Agreement”), AND THE UNDERSIGNED ON BEHALF OF THE RELEASED PARTIES (as defined below) do hereby under this “General Release” release and forever discharge as of the date hereof the other (the Company, its affiliates, each such Person’s respective successors and assigns and each of the foregoing Persons’ respective present and former directors, officers, partners, stockholders, members, managers, agents, representatives, employees and affiliates (and each such Person’s respective successors and assigns) collectively, the “Re
