LADENBURG THALMANN FINANCIAL SERVICES INC. Contracts & Agreements

Description of Registered Securities (Filed With SEC on March 13, 2020)

Agreement and Plan of Merger, dated November 11, 2019, by and among Ladenburg Thalmann Financial Services Inc., Advisor Group Holdings, Inc. and Harvest Merger Sub, Inc (Filed With SEC on November 14, 2019)

Fourth Supplemental Indenture, dated as of May 29, 2019, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on May 29, 2019)

Underwriting Agreement, dated as of May 21, 2019, by and among the Company and UBS Securities LLC, Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, as representatives of the... (Filed With SEC on May 23, 2019)

Form of 7.25% Senior Note due 2028 issued to Phillip Frost, M.D. and Frost Nevada Investments Trust (Filed With SEC on December 26, 2018)

Agreement, dated December 24, 2018, by and among Ladenburg Thalmann Financial Services Inc., Phillip Frost M.D. and Frost Nevada Investments Trust (Filed With SEC on December 26, 2018)

Letter Agreement, dated December 24, 2018, by and between Ladenburg Thalmann Financial Services Inc. and Frost Gamma Investments Trust (Filed With SEC on December 26, 2018)

Asset Purchase Agreement, dated as of August 31, 2018, by and among Kestler Financial Group, Inc., Jason A. Kestler and Ladenburg Thalmann Annuity Insurance Services LLC (Filed With SEC on September 7, 2018)

Promissory Note, dated as of August 31, 2018, issued by Ladenburg Thalmann Annuity Insurance Services LLC to Kestler Financial Group, Inc (Filed With SEC on September 7, 2018)

Third Supplemental Indenture, dated as of August 16, 2018, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on August 16, 2018)

Underwriting Agreement, dated as of August 9, 2018, by and among the Company and Morgan Stanley & Co. LLC, UBS Securities LLC and Ladenburg Thalmann & Co. Inc., as representatives... (Filed With SEC on August 13, 2018)

Note Distribution Agreement, dated as of June 22, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the sales agents named therein (Filed With SEC on June 22, 2018)

Equity Distribution Agreement, dated June 11, 2018, between Ladenburg Thalmann Financial Services Inc., Ladenburg Thalmann & Co. Inc. and Barrington Research Associates, Inc (Filed With SEC on June 12, 2018)

Second Supplemental Indenture, dated as of May 30, 2018, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on May 30, 2018)

Underwriting Agreement, dated as of May 22, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the several underwriters named therein (Filed With SEC on May 23, 2018)

Forgivable Loan Termination Agreement, dated as of May 8, 2018, between the Company and National Financial Services LLC (Filed With SEC on May 9, 2018)

3rd Amendment and Lease Extension Agreement, dated as of March 1, 2018, between Ladenburg Thalmann & Co. Inc. and Frost Real Estate Holdings, LLC (Filed With SEC on March 6, 2018)

Note Distribution Agreement, dated as of February 15, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the agents named therein (Filed With SEC on February 16, 2018)

Employment Agreement, dated as of January 16, 2018, between the Company and Adam Malamed (Filed With SEC on January 22, 2018)

Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on November 21, 2017)

First Supplemental Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on November 21, 2017)

Underwriting Agreement, dated as of November 14, 2017, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the several underwriters named therein (Filed With SEC on November 16, 2017)

Credit Agreement, dated as of November 8, 2017, by and between the Company and Frost Gamma Investments Trust, including the form of note thereto (Filed With SEC on November 9, 2017)

LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 8,000,000 Shares of 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY... (Filed With SEC on May 22, 2017)

AMENDMENT NO. 3 TO CREDIT AGREEMENT (Filed With SEC on March 15, 2016)

1st AMENDMENT AND LEASE EXTENSION AGREEMENT Investacorp Group Inc Suite 1100 (Filed With SEC on February 26, 2016)

RESTRICTED STOCK AWARD AGREEMENT PURSUANT TO THE LADENBURG THALMANN FINANCIAL SERVICES INC. AMENDED AND RESTATED 2009 INCENTIVE COMPENSATION PLAN (Filed With SEC on May 8, 2015)

EMPLOYMENT AGREEMENT (Filed With SEC on January 23, 2015)

SECURED NON-NEGOTIABLE PROMISSORY NOTE Cap Note (Filed With SEC on January 6, 2015)

SECURED NON-NEGOTIABLE PROMISSORY NOTE Balance Note (Filed With SEC on January 6, 2015)

SECURED NON-NEGOTIABLE PROMISSORY NOTE Short Term Note (Filed With SEC on January 6, 2015)

STOCK PLEDGE AGREEMENT (Filed With SEC on January 6, 2015)

LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 3,400,000 Shares of 8.00%Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY... (Filed With SEC on November 21, 2014)

NOTE: PORTIONS OF THIS EXHIBIT ARE THE SUBJECT OF A CONFIDENTIAL TREATMENT REQUEST BY THE REGISTRANT TO THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION). SUCH PORTIONS HAVE... (Filed With SEC on November 20, 2014)

STOCK PURCHASE AGREEMENT by and among KMS Financial Services, Inc., the Shareholders of KMS Financial Services, Inc. and Ladenburg Thalmann Financial Services Inc. Dated as of... (Filed With SEC on October 16, 2014)

NON-NEGOTIABLE PROMISSORY NOTE (Filed With SEC on October 16, 2014)

LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard Miami, FL 33137 February 26, 2014 (Filed With SEC on February 28, 2014)

Ladenburg Thalmann Financial Services Inc. 4,600,000 Shares 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) Underwriting Agreement (Filed With SEC on May 24, 2013)

AMENDMENT AND LEASE EXTENSION AGREEMENT (Filed With SEC on March 8, 2013)

LADENBURG THALMANN FINANCIALSERVICES INC. By:/s/ Richard J. Lampen Name: Title: Richard J. Lampen President and Chief Executive Officer (Filed With SEC on February 4, 2013)

LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Blvd., 12th Floor Miami, Florida 33137 December 15, 2011 (Filed With SEC on March 15, 2012)

FIRST AMENDMENT TO FORGIVABLE LOAN AGREEMENT (Filed With SEC on March 15, 2012)

NOTE: PORTIONS OF THIS EXHIBIT ARE THESUBJECT OF A CONFIDENTIAL TREATMENT REQUEST BY THE REGISTRANT TO THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION").SUCH PORTIONS HAVE... (Filed With SEC on March 15, 2012)

LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard Miami, Florida 33137 February 8, 2012 (Filed With SEC on February 10, 2012)

WARRANT TO PURCHASE COMMON STOCK LADENBURG THALMANN FINANCIAL SERVICES INC. (Filed With SEC on November 9, 2011)

LOAN AGREEMENT (Filed With SEC on November 9, 2011)

NON-NEGOTIABLE PROMISSORY NOTE (Filed With SEC on November 9, 2011)

STOCK PURCHASE AGREEMENT by and between AMERIPRISE FINANCIAL, INC. and LADENBURG THALMANN FINANCIAL SERVICES INC. dated as of August 16, 2011 (Filed With SEC on August 18, 2011)

AMENDMENT NO. 2 TO CREDIT AGREEMENT (Filed With SEC on August 18, 2011)

LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Blvd., 12th Floor Miami, Florida 33137 (Filed With SEC on January 25, 2011)

Cash and cash equivalents (Filed With SEC on November 9, 2009)

NON-NEGOTIABLE PROMISSORY NOTE (Filed With SEC on August 14, 2008)

Share Pledge Agreement (Filed With SEC on August 14, 2008)

AGREEMENT AND PLAN OF MERGER by and among Triad Advisors, Inc., Triple Acquisition Inc., The Shareholders of Triad Advisors, Inc. and Ladenburg Thalmann Financial Services Inc.... (Filed With SEC on July 10, 2008)

By: /s/ Richard J. Lampen Name: Title: Richard J. Lampen President and Chief Executive Officer (Filed With SEC on March 28, 2008)

LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard Miami, Florida 33137 December 20, 2007 (Filed With SEC on December 20, 2007)

CREDIT AGREEMENT (Filed With SEC on October 22, 2007)

NON-NEGOTIABLE PROMISSORY NOTE (Filed With SEC on October 22, 2007)

PLEDGE AGREEMENT (Filed With SEC on October 22, 2007)

STOCK PURCHASE AGREEMENT among LADENBURG THALMANN FINANCIAL SERVICES INC., THE INVESTACORP COMPANIES, THE VIA COMPANIES and BRUCE ZWIGARD and BRUCE A. ZWIGARD GRANTOR RETAINED... (Filed With SEC on October 22, 2007)

LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Boulevard, 12th Floor Miami, Florida 33137 (Filed With SEC on October 22, 2007)

WARRANT TO PURCHASE COMMON STOCK LADENBURG THALMANN FINANCIAL SERVICES INC. EXPIRING OCTOBER 19, 2017 (THE EXPIRATION DATE) (Filed With SEC on October 22, 2007)

EX-10.1 Lease dated March 30, 2007 (Filed With SEC on April 2, 2007)

DEBT EXCHANGE AGREEMENT (Filed With SEC on February 14, 2007)

AMENDMENT TO EMPLOYMENT AGREEMENT (Filed With SEC on October 24, 2006)

EX-10.1 Letter Agreement (Filed With SEC on September 27, 2006)

THE REGISTERED HOLDER OF THIS WARRANT, BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS WARRANT EXCEPT AS HEREIN PROVIDED. VOID AFTER 5:00 P.M.... (Filed With SEC on September 12, 2006)

STOCK OPTION AGREEMENT (Filed With SEC on September 12, 2006)

AGREEMENT AND PLAN OF MERGER BY AND AMONG LADENBURG THALMANN FINANCIAL SERVICES INC., TELLURIDE ACQUISITION, INC., TELLURIDE HOLDINGS, INC. and THE STOCKHOLDERS OF TELLURIDE... (Filed With SEC on September 7, 2006)

THE REGISTERED HOLDER OF THIS WARRANT, BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS WARRANT EXCEPT AS HEREIN PROVIDED. VOID AFTER 5:00 P.M.... (Filed With SEC on September 7, 2006)

LADENBURG THALMANN FINANCIAL SERVICES INC. 153 East 53rd Street New York, NY 10022 July 13, 2006 (Filed With SEC on August 3, 2006)

AMENDED AND RESTATED EMPLOYMENT AGREEMENT (Filed With SEC on July 14, 2006)

Ladenburg Thalmann Financial Services Inc. 153 East53rdStreet,49thFloor New York, New York 10022 April 4, 2006 (Filed With SEC on April 10, 2006)

Stock Option Agreement Amendment (Filed With SEC on March 31, 2006)

Form of Subscription Agreement for Non-Affiliates (Filed With SEC on November 30, 2005)

Form of Subscription Agreement for Affiliates (Filed With SEC on November 30, 2005)

SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT (Filed With SEC on September 30, 2005)

LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue,34thFloor New York, NY 10022 (Filed With SEC on September 30, 2005)

LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue, 34th Floor New York, NY 10022 (Filed With SEC on September 30, 2005)

SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT (Filed With SEC on September 30, 2005)

LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue, 34th Floor New York, NY 10022 July 18, 2005 (Filed With SEC on August 5, 2005)

SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT (Filed With SEC on August 5, 2005)

LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue, 34th Floor New York, NY 10022 As of July 18, 2005 (Filed With SEC on August 5, 2005)

EX-10.1 STOCK OPTION AGREEMENT DATED AS OF JUNE 1,2005, BETWEEN COMPANY AND BRUCE S. MENDELSOHN (Filed With SEC on June 15, 2005)

EX-10.2 SUBSCRIPTION AGREEMENT BETWEEN COMPANY AND BRUCE S.MENDELSOHN (Filed With SEC on June 15, 2005)

EX-10.3 STOCK OPTION AGREEMENT,DATED AS OF JUNE 1,2005, BETWEEN COMPANY AND L.KEITH MULLINS (Filed With SEC on June 15, 2005)

EX-10.4 SUBSCRIPTION AGREEMENT BETWEEN COMPANY AND L.KEITH MULLINS (Filed With SEC on June 15, 2005)

EX-10.5 STOCK OPTION AGREEMENT,DATED AS OF JUNE 1,2005,BETWEEN COMPANY AND MARK D. COE (Filed With SEC on June 15, 2005)

EX-10.6 SUBSCRIPTION AGREEMENT BETWEEN COMPANY AND MARK D. COE (Filed With SEC on June 15, 2005)

EX-10.7 STOCK PURCHASE AGREEMENT BETWEEN COMPANY AND MARK D. COE (Filed With SEC on June 15, 2005)

AGREEMENT (Filed With SEC on April 19, 2005)

LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue,34thFloor New York, NY 10022 As of March 25, 2005 (Filed With SEC on March 31, 2005)

SUBSCRIPTION AGREEMENT AND INVESTOR INFORMATION STATEMENT (Filed With SEC on March 31, 2005)

LADENBURG THALMANN FINANCIAL SERVICES INC. 590 Madison Avenue,34thFloor New York, NY 10022 As of March 25, 2005 (Filed With SEC on March 31, 2005)

SEVERANCE, WAIVER AND RELEASE AGREEMENT (Filed With SEC on March 10, 2005)

EMPLOYMENT AGREEMENT/ MARK D. KLEIN (Filed With SEC on March 10, 2005)

STOCK OPTION AGREEMENT (Filed With SEC on March 10, 2005)

INDEMNIFICATION AGREEMENT (Filed With SEC on March 10, 2005)

SUBSCRIPTION AGREEMENT (Filed With SEC on March 10, 2005)

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LADENBURG THALMANN FINANCIAL SERVICES INC. Contracts & Agreements