EX-10.A 3 v97688exv10wa.txt EXHIBIT 10.A EXHIBIT 10(a) NASD SUBORDINATED LOAN AGREEMENT AMENDMENT EXTENDING MATURITY DATE SL-A AGREEMENT BETWEEN: LENDER: SUNAMERICA INC. 1 SunAmerica Center, 1999 Avenue of the Star, 38th Floor -------------------------------------------------------- (Street Address)
Los Angeles California 90067-6002 - ----------- ---------- ---------- (City) (State) (Zip)
AND BROKER-DEALER: SUNAMERICA CAPITAL SERVICES, INC. 733 Third Avenue 3rd Floor -------------------------- (Street Address)
New York New York 10017 - -------- -------- ----- (City) (State) (Zip)
RECEIVED MAR 26 2002 NASD ID Number: 13158 NASD REGULATION, INC. DATE FILED: March 26, 2002 DISTRICT ID -1- SUBORDINATED LOAN AGREEMENT AMENDMENT EXTENDING MATURITY DATE This Amendment of that certain NASD Subordinated Loan Agreement for Equity Capital SL-5 by and between SunAmerica Inc. (the "Lender") and SunAmerica Capital Services, Inc. (the "Broker-Dealer") effective as of March 31, 2000 ("Subordinated Loan Agreement") is dated as of February 7, 2002 ("Amendment"). In consideration of the sum of $14,400,000.00 (the unpaid principal amount) and subject to the terms and conditions set forth in the Subordinated Loan Agreement approved by the National Association of Securities Dealers, Inc. ("NASD") scheduled to mature on April 30, 2003, bearing Loan Number 10-E-SLA-11170, the Broker-Dealer and the Lender agree to extend the maturity date until April 30, 2004. This Amendment shall not become effective unless and until the NASD has found the Amendment acceptable. The interest rate set forth in the Subordinated Loan Agreement is changed to 4.75% per annum effective as of May 1, 2003. (The signature page follows.) -2- IN WITNESS WHEREOF the parties have set their hands and seal this 7th day of February, 2002.
BROKER-DEALER: SUNAMERICA CAPITAL SERVICES, INC. [Seal] By: /s/ Debbie Potash Turner ------------------------------- Name: Debbie Potash Turner Title: Chief Financial Officer LENDER SUNAMERICA INC. [Seal] By: /s/ James R. Belardi ------------------------------- Name: James R. Belardi Title: Executive Vice President FOR NASD USE ONLY ACCEPTED BY: /s/ Gerald Daugherty --------------------------- (Name) Assistant Director --------------------------- (Title) EFFECTIVE DATE: APR 30 2003 ------------------------- LOAN NUMBER: 10-E-SLA-111Z0 ----------------------------
