0001437749-21-000468 Sample Contracts

Agreement and Plan of Merger

Agreement and Plan of Merger • January 11th, 2021 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • Delaware

• Contract Type
  Agreement and Plan of Merger
• Filed
  January 11th, 2021
• Company
  National Holdings Corp
• Industry
  Security & commodity brokers, dealers, exchanges & services
• Jurisdiction
  Delaware

THIS Agreement and Plan of Merger (this “Agreement”), dated as of January 10, 2021, is entered into by and among National Holdings Corporation, a Delaware corporation (the “Company”), B. Riley Financial, Inc., a Delaware corporation (“BRF”) and B. Riley Principal Merger Corp. III, a Delaware corporation and wholly owned subsidiary of BRF (“Merger Sub”).

EMPLOYMENT AGREEMENT – WORMAN

Employment Agreement – Worman • January 11th, 2021 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York

• Contract Type
  Employment Agreement – Worman
• Filed
  January 11th, 2021
• Company
  National Holdings Corp
• Industry
  Security & commodity brokers, dealers, exchanges & services
• Jurisdiction
  New York

THIS EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between National Holdings Corporation (the “Company”) and Glenn C. Worman (“Executive”), effective as of the “Effective Time” under the Agreement and Plan of Merger dated as of January 10, 2021 by and among the Company, B. Riley Financial, Inc. (“BRF”), and B. Riley Principal Merger Corp. III (the “Merger Agreement”).

TERMINATION AGREEMENT

Termination Agreement • January 11th, 2021 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • Delaware

• Contract Type
  Termination Agreement
• Filed
  January 11th, 2021
• Company
  National Holdings Corp
• Industry
  Security & commodity brokers, dealers, exchanges & services
• Jurisdiction
  Delaware

This Termination Agreement (“Termination Agreement”) dated January 10, 2021 is by and between National Holdings Corporation, a Delaware corporation (the “Company”), and B. Riley Financial, Inc., a Delaware corporation (“BRF”) (each a “Party” and collectively, the “Parties”).

EMPLOYMENT AGREEMENT –DESENA

Employment Agreement –Desena • January 11th, 2021 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York

• Contract Type
  Employment Agreement –Desena
• Filed
  January 11th, 2021
• Company
  National Holdings Corp
• Industry
  Security & commodity brokers, dealers, exchanges & services
• Jurisdiction
  New York

THIS EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between National Holdings Corporation (the “Company”) and John C. DeSena (“Executive”), effective as of the “Effective Time” under the Agreement and Plan of Merger dated as of January 10, 2021 by and among the Company, B. Riley Financial, Inc. (“BRF”), and B. Riley Principal Merger Corp. III (the “Merger Agreement”).

EMPLOYMENT AGREEMENT - MULLEN

Employment Agreement - Mullen • January 11th, 2021 • National Holdings Corp • Security & commodity brokers, dealers, exchanges & services • New York

• Contract Type
  Employment Agreement - Mullen
• Filed
  January 11th, 2021
• Company
  National Holdings Corp
• Industry
  Security & commodity brokers, dealers, exchanges & services
• Jurisdiction
  New York

THIS EMPLOYMENT AGREEMENT (“Agreement”) is entered into by and between National Holdings Corporation (the “Company”) and Michael A. Mullen (“Executive”), effective as of the “Effective Time” under the Agreement and Plan of Merger dated as of January 10, 2021 by and among the Company, B. Riley Financial, Inc. (“BRF”), and B. Riley Principal Merger Corp. III (the “Merger Agreement”).