NATIONAL HOLDINGS CORP Contracts & Agreements

Agreement and Plan of Merger, dated January 10, 2021, by and among Parent, Merger Sub and the Company (Filed With SEC on January 11, 2021)

Termination Agreement, dated January 10, 2021, by and among Parent and the Company (Filed With SEC on January 11, 2021)

Employment Agreement, dated January 10, 2021, by and among the Company and Michael A. Mullen (Filed With SEC on January 11, 2021)

Employment Agreement, dated January 10, 2021, by and among the Company and Glenn C. Worman (Filed With SEC on January 11, 2021)

Employment Agreement, dated January 10, 2021, by and among the Company and John C. DeSena (Filed With SEC on January 11, 2021)

Description of Registrants Securities (Filed With SEC on December 29, 2020)

Promissory Note of National Securities Corporation, dated as of April 10, 2020 (Filed With SEC on April 29, 2020)

Promissory Note of Winslow Evans & Crocker, Inc., dated as of April 15, 2020 (Filed With SEC on April 29, 2020)

Stock Purchase Agreement, dated as of February 7, 2020, by and among United Atlantic Capital, LLC, Mark H. Penske, Darin Pope and National Holdings Corporation (Filed With SEC on February 13, 2020)

Amended and Restated Employment Agreement, dated as of December 28, 2018 between National Holdings Corporation and Michael A. Mullen (Filed With SEC on December 30, 2019)

Employment Agreement, dated as of December 28, 2018 between National Holdings Corporation and John C. DeSena (Filed With SEC on December 30, 2019)

Employment Agreement, dated as of December 28, 2018 between National Holdings Corporation and Glenn C. Worman (Filed With SEC on December 30, 2019)

Amendment No. 1 to Stock Purchase Agreement, dated as of October 11, 2019, by and among Daniel Santanello, Robert Maloney and National Holdings Corporation (Filed With SEC on October 17, 2019)

Stock Purchase Agreement, dated as of August 26, 2019, by and among the Sellers named therein, Daniel Santanello, Robert Maloney and National Holdings Corporation (Filed With SEC on August 29, 2019)

Form of Stock Option Agreement under 2013 Omnibus Incentive Plan (Filed With SEC on December 21, 2018)

Form of Restricted Stock Unit Agreement under 2013 Omnibus Incentive Plan (Filed With SEC on December 21, 2018)

Agreement between the Registrant and B. Riley Financial, Inc. dated November 14, 2018 (Filed With SEC on November 20, 2018)

Amended and Restated Warrant Agreement by and among National Holdings Corporation, Computershare Inc. and Computershare Trust Company, N.A., dated December 13, 2016, and amended... (Filed With SEC on March 16, 2018)

Asset Purchase Agreement by and among National Holdings Corporation and The Williams Financial Group, Inc. WFG Investments, Inc. WFG Advisors, LP WFG Strategic Alliance, Inc.... (Filed With SEC on March 13, 2017)

BOARD ADVISORY SERVICES AGREEMENT (Filed With SEC on February 14, 2017)

EMPLOYMENT AGREEMENT (Filed With SEC on January 6, 2017)

WARRANT AGREEMENT (Filed With SEC on December 20, 2016)

Exhibit 10.1 Seventh Amendment to the Co-Executive Chairman Compensation Plan (Filed With SEC on September 27, 2016)

AMENDMENT NO. 1 TO AGREEMENT AND PLAN OF MERGER (Filed With SEC on August 12, 2016)

Sixth Amendment to the Co-Executive Chairman Compensation Plan (Filed With SEC on June 30, 2016)

AGREEMENT AND PLAN OF MERGER By and Among NATIONAL HOLDINGS CORPORATION, FORTRESS BIOTECH, INC. and FBIO ACQUISITION, INC. Dated as of April 27, 2016 TABLE OF CONTENTS (Filed With SEC on April 28, 2016)

STOCKHOLDER RIGHTS AGREEMENT (Filed With SEC on April 28, 2016)

FORM OF SUPPORT AND VOTING AGREEMENT (Filed With SEC on April 28, 2016)

FORM OF VOTING AGREEMENT (Filed With SEC on April 28, 2016)

Amendment to the Employment Agreement of Mark Goldwasser (Filed With SEC on March 30, 2016)

Fifth Amendment to the Co-Executive Chairman Compensation Plan (Filed With SEC on March 23, 2016)

Fourth Amendment to the Co-Executive Chairman Compensation Plan (Filed With SEC on December 30, 2015)

Third Amendment to the Co-Executive Chairman Compensation Plan (Filed With SEC on October 7, 2015)

Amendment to the Employment Agreement of Mark Goldwasser (Filed With SEC on October 7, 2015)

EMPLOYMENT AGREEMENT (Filed With SEC on May 13, 2015)

NATIONAL HOLDINGS CORPORATION NONQUALIFIED INDUCEMENT STOCK OPTION GRANT NOTICE (Filed With SEC on May 13, 2015)

TO NONQUALIFIED INDUCEMENT STOCK OPTION GRANT NOTICE STOCK OPTION AGREEMENT (Filed With SEC on May 13, 2015)

NATIONAL Holdings Corporation 410 Park Avenue, 14th Floor New York, NY 10022 March 30, 2015 (Filed With SEC on April 3, 2015)

SUPPLEMENTAL RELEASE (Filed With SEC on December 30, 2014)

NATIONAL HOLDINGS CORPORTATION SECURITIES PURCHASE AGREEMENT DATED AS OF January24, 2013 with respect to SALE OF COMMON STOCK SECURITIES PURCHASE AGREEMENT (Filed With SEC on January 25, 2013)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on January 25, 2013)

CONVERSION AND EXCHANGE AGREEMENT (Filed With SEC on January 25, 2013)

WARRANT EXCHANGE AGREEMENT (Filed With SEC on January 25, 2013)

6% CONVERTIBLE SUBORDINATED PROMISSORY NOTE (Filed With SEC on April 4, 2012)

NATIONAL HOLDINGS CORPORATION WARRANT TO PURCHASE COMMON STOCK (Filed With SEC on April 4, 2012)

NATIONAL HOLDINGS CORPORATION (Filed With SEC on April 4, 2012)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on April 4, 2012)

Transfer of Ownership of OPN Holdings, LLC Joint Venture (Filed With SEC on April 4, 2012)

AMENDMENT NO. 1 TO PLACEMENT AGENCY AGREEMENT (Filed With SEC on January 6, 2012)

NATIONAL HOLDINGS CORPORATION FORM OF WARRANT Warrant No. ______Dated: February 4, 2011 (Filed With SEC on February 14, 2011)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on February 14, 2011)

OPN JOINT VENTURE LIMITED LIABILITY COMPANY OPERATING AGREEMENT (Filed With SEC on January 24, 2011)

INTERIM FUNDING AND SERVICES AGREEMENT (Filed With SEC on January 24, 2011)

NATIONAL HOLDINGS CORPORATION FORM OF WARRANT (Filed With SEC on January 5, 2011)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on January 5, 2011)

NATIONALHOLDINGS CORPORATION COMMONSTOCK PURCHASE WARRANT (Filed With SEC on December 29, 2009)

AMENDMENTNO. 1 TO EMPLOYEMENTAGREEMENT (Filed With SEC on December 29, 2009)

NATIONALHOLDINGS CORPORATION LIMITEDRECOURSE CONVERTIBLE PROMISSORY NOTE $500,000.00 (Principal Amount) April 8, 2009 (Filed With SEC on May 15, 2009)

SECURITIES PURCHASEAGREEMENT (Filed With SEC on May 15, 2009)

AMENDMENT NO. 1 TOSECURITIES PURCHASE AGREEMENT (Filed With SEC on May 15, 2009)

AMENDMENT NO. 2 TOSECURITIES PURCHASE AGREEMENT (Filed With SEC on May 15, 2009)

AMENDMENTNO. 1 TO FOREBEARANCE AND WARRANTMODIFICATION AGREEMENT (Filed With SEC on May 15, 2009)

AMENDMENTNO. 2 TO FOREBEARANCE AND WARRANTMODIFICATION AGREEMENT (Filed With SEC on May 15, 2009)

AMENDMENTNO. 1 TO FOREBEARANCEAGREEMENT (Filed With SEC on April 10, 2009)

FORBEARANCEAGREEMENT (Filed With SEC on April 10, 2009)

FORBEARANCEAGREEMENT (Filed With SEC on March 2, 2009)

FORBEARANCEAND WARRANT MODIFICATIONAGREEMENT (Filed With SEC on March 2, 2009)

NATIONAL HOLDINGS CORPORATION WARRANT TO PURCHASE 468,750 SHARES OF COMMON STOCK, PAR VALUE $0.02 PER SHARE (Filed With SEC on July 2, 2008)

10% SENIOR SUBORDINATED CONVERTIBLE PROMISSORY NOTE (Filed With SEC on July 2, 2008)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on July 2, 2008)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on July 2, 2008)

EMPLOYMENT AGREEMENT (Filed With SEC on July 2, 2008)

NATIONAL HOLDING CORPORATION 120 Broadway, 27th Floor New York, NY 10271 (Filed With SEC on July 2, 2008)

NATIONAL HOLDINGS CORPORAION VOTING AGREEMENT (Filed With SEC on July 2, 2008)

EMPLOYMENT TERMINATION AGREEMENT (Filed With SEC on July 2, 2008)

AMENDMENT NO. 1 TO AGREEMENT AND PLAN OF MERGER (Filed With SEC on April 18, 2008)

NATIONAL HOLDINGS CORPORATION WARRANT TO PURCHASE 375,000 SHARES OF COMMON STOCK, PAR VALUE $0.02 PER SHARE (Filed With SEC on April 2, 2008)

10% SENIOR SUBORDINATED CONVERTIBLE PROMISSORY NOTE (Filed With SEC on April 2, 2008)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on April 2, 2008)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on April 2, 2008)

No._______ February 22, 2007 NATIONAL HOLDINGS CORPORATION COMMON STOCK PURCHASE WARRANT (Filed With SEC on February 23, 2007)

10% PROMISSORY NOTE (Filed With SEC on February 23, 2007)

NATIONAL HOLDINGS CORPORATION SECURITIES PURCHASE AGREEMENT DATED AS OF FEBRUARY 22, 2007 WITH RESPECT TO 10% NOTES AND WARRANTS SECURITIES PURCHASE AGREEMENT (Filed With SEC on February 23, 2007)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on February 23, 2007)

AMENDMENT NO. 1 TO 11% CONVERTIBLE PROMISSORY NOTE (Filed With SEC on February 9, 2007)

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NATIONAL HOLDINGS CORP Contracts & Agreements