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Siebert Financial Corp. (SIEB) Material Contracts

Siebert Financial Corp. Material Contracts

Every material contract the company filed as Exhibit 10 (executive pay plans, credit agreements, supplier and indemnity agreements), newest first, with the filing's own description.

  • 2025-10-31: Form 8-K; Exhibit 10.51; Description FORM OF MEMBERSHIP INTEREST PURCHASE AGREEMENT.
  • 2025-06-27: Form 8-K; Exhibit 10.50; Description SALES AGREEMENT, DATED JUNE 27, 2025, BY AND BETWEEN SIEBERT FINANCIAL CORP., MURIEL SIEBERT & CO., LLC AND LADENBURG THALMANN & CO. INC.
  • 2024-12-19: Form 8-K; Exhibit 10.49; Description PARENT GUARANTY, DATED NOVEMBER 22, 2024.
  • 2024-12-19: Form 8-K; Exhibit 10.48; Description BMO BANK REVOLVER NOTE AGREEMENT, DATED NOVEMBER 22, 2024.
FiledFormExhibitDescription
2025-10-318-K10.51FORM OF MEMBERSHIP INTEREST PURCHASE AGREEMENT
2025-06-278-K10.50SALES AGREEMENT, DATED JUNE 27, 2025, BY AND BETWEEN SIEBERT FINANCIAL CORP., MURIEL SIEBERT & CO., LLC AND LADENBURG THALMANN & CO. INC
2024-12-198-K10.49PARENT GUARANTY, DATED NOVEMBER 22, 2024
2024-12-198-K10.48BMO BANK REVOLVER NOTE AGREEMENT, DATED NOVEMBER 22, 2024
2024-12-198-K10.47CREDIT AGREEMENT, DATED NOVEMBER 22, 2024
2024-11-1210-Q10.46CONTINUING GUARANTY, DATED JULY 29, 2024
2024-11-1210-Q10.45EAST WEST REVOLVER NOTE AGREEMENT, DATED JULY 29, 2024
2024-11-1210-Q10.44EAST WEST LOAN AND SECURITY AGREEMENT, DATED JULY 29, 2024
2024-08-208-K10.46CONTINUING GUARANTY, DATED JULY 29, 2024
2024-08-208-K10.45EAST WEST REVOLVER NOTE AGREEMENT, DATED JULY 29, 2024
2024-08-208-K10.44EAST WEST LOAN AND SECURITY AGREEMENT, DATED JULY 29, 2024
2024-01-248-K10.43PURCHASE AGREEMENT, DATED JANUARY 18, 2024
2023-12-208-K10.42AMENDED AND RESTATED STOCKHOLDERS' AGREEMENT, DATED DECEMBER 19, 2023
2023-12-208-K10.41TERMINATION AND SETTLEMENT AGREEMENT, DATED DECEMBER 19, 2023
2023-07-148-K10.40SHARE REDEMPTION AGREEMENT, DATED JULY 10, 2023, BY AND AMONG CYNTHIA DIBARTOLO, SIEBERT FINANCIAL CORP, AND TIGRESS HOLDINGS, LLC
2023-05-038-K10.39REGISTRATION RIGHTS AND LOCK-UP AGREEMENT
2023-05-038-K10.38STOCKHOLDERS' AGREEMENT
2023-05-038-K10.37SUPPORT AND RESTRICTIVE COVENANT AGREEMENT
2023-05-038-K10.36SUPPORT AND RESTRICTIVE COVENANT AGREEMENT
2023-05-038-K10.35SUPPORT AND RESTRICTIVE COVENANT AGREEMENT
2023-05-038-K10.34SUPPORT AND RESTRICTIVE COVENANT AGREEMENT
2023-05-038-K10.33SUPPORT AND RESTRICTIVE COVENANT AGREEMENT
2023-05-038-K10.32SUPPORT AND RESTRICTIVE COVENANT AGREEMENT
2023-05-038-K10.31SUPPORT AND RESTRICTIVE COVENANT AGREEMENT
2023-05-038-K10.30FOREIGN BROKER-DEALER FEE SHARING AGREEMENT
2023-05-038-K10.29SECOND TRANCHE STOCK PURCHASE AGREEMENT
2023-05-038-K10.28FIRST TRANCHE STOCK PURCHASE AGREEMENT
2022-10-218-K10.27EXECUTION COPY
2022-10-218-K10.26EXECUTION COPY
2022-05-278-K10.25SALES AGREEMENT
2022-05-2310-Q10.24DEBT EXCHANGE AGREEMENT
2022-04-068-K10.24DEBT EXCHANGE AGREEMENT
2022-01-278-K10.23EXECUTION COPY
2022-01-058-K10.22PROMISSORY NOTE
2022-01-058-K10.21PROMISSORY NOTE
2022-01-058-K10.20PURCHASE AGREEMENT
2021-11-178-K10.19AGREEMENT BETWEEN SIEBERT FINANCIAL CORP. AND TIGRESS HOLDINGS, LLC, DATED NOVEMBER 16, 2021
2021-11-1510-Q10.18AMENDMENT NO. 1 TO COMMON STOCK PURCHASE AGREEMENT
2021-11-1510-Q10.17GUARANTY AGREEMENT
2021-11-1510-Q10.16AMENDMENT TO FULLY DISCLOSED CLEARING AGREEMENT
2021-05-1710-Q10.15COMMON STOCK PURCHASE AGREEMENT
2017-04-0610-K10.3Consent and Waiver dated as of December 16, 2016 by and among Siebert Cisneros Shank Financial, LLC, Siebert Cisneros Shank & Co. L.L.C. and Siebert Financial Corp.
2017-04-0610-K10.2Assignment dated December 16, 2016 by and between the Estate of Muriel Siebert and Siebert Financial Corp.
2010-08-1610-Q10.1Fully Disclosed Clearing Agreement, by and between National Financial Services LLC and Muriel Siebert & Co., Inc. dated May 5, 2010.

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