Document:

Exhibit 4.2

 

THIS CERTIFICATE IS IN GLOBAL FORM AND IS REGISTERED IN THE
NAME OF CONTINENTAL STOCK TRANSFER & TRUST COMPANY AS DEPOSITARY (THE “DEPOSITARY”), PURSUANT TO A DEPOSIT
AGREEMENT AMONG B. RILEY FINANCIAL, INC., ISSUER, AND CONTINENTAL STOCK TRANSFER & TRUST COMPANY AS DEPOSITARY, TRANSFER
AGENT AND REGISTRAR.

 

UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE
OF THE DEPOSITARY TO THE CORPORATION OR THE TRANSFER AGENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF THE DEPOSITARY
OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITARY (AND ANY PAYMENT IS MADE TO THE DEPOSITARY
OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITARY), ANY TRANSFER, PLEDGE OR OTHER USE HEREOF
FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, CONTIENTAL STOCK TRANSFER &
TRUST COMPANY AS DEPOSITARY HAS AN INTEREST HEREIN.

 

**SPECIMEN**

B. RILEY FINANCIAL, INC.

 

Incorporated under the laws of

the State of Delaware

 

	 	 	 	 	 
	
        NUMBER: 1

        CUSIP: 05580M 876
	 	6.875% SERIES A CUMULATIVE PERPETUAL

PREFERRED STOCK	 	
        SHARES:

            

        ($25,000 LIQUIDATION

        PREFERENCE)

 

This is to certify that Continental Stock
Transfer & Trust Company, as Depositary is the registered owner of two thousand (2,000) fully paid and non-assessable
shares of 6.875% Cumulative Series A Perpetual Preferred Stock, $0.0001 par value, liquidation preference of $25,000 per share
(the “Series A Preferred Stock”), of B. Riley Financial, a Delaware corporation (the “Corporation”), transferable
on the books of the Corporation by the holder hereof, in person or by duly authorized attorney, upon surrender of this Certificate
properly endorsed. This Certificate is not valid unless countersigned and registered by the Transfer Agent and Registrar.

 

Witness the signatures of the Corporation’s
duly authorized officers.

	 	 	 	 	 	 
	Dated: 	 	 	 	B. RILEY FINANCIAL, INC.
	 	 	 	 
	 	 	 	 	By:	      
	 	 	 	 	 	
        Name:
	Bryant Riley

        

	 	 	 	 	 	Title:	Co-Chief Executive Officer
	 	 	 	 	 	 
	Countersigned and registered:	 	 	 	 	 
	 	 	 
	
        Continental Stock Transfer & Trust Company, as Transfer

        Agent and Registrar
	 	By:	    
	 	 	 	 	 	Name: 	Phillip J. Ahn
	By:		 	 	 	 	Title: 	Chief Financial Officer and Chief Operating Officer
	 	Authorized Officer	 	 	 	 	 

 

     

     

    

 

(REVERSE OF CERTIFICATE)

 

B. RILEY FINANCIAL, INC.

 

The Corporation will furnish without charge,
within 5 days after receipt of written request therefor, to each stockholder who so requests the powers, designations, preferences
and relative participating, optional or special rights of each class of stock or series thereof of the Corporation and the qualifications,
limitations or restrictions of such preferences and/or rights. Such request should be addressed to the Corporation or the Transfer
Agent.

 

The Corporation may redeem the Series A
Preferred Stock at its option in whole or in part, at any time, or from time to time, on any dividend payment date on or after
October 7, 2024. In addition, the Corporation has a special optional redemption in connection with a delisting event or change
of control. There will be no sinking fund for the redemption or purchase of the Series A Preferred Stock. No holder of the Series
A Preferred Stock will have the right to require the redemption of the Series A Preferred Stock.

 

 

 

The following abbreviations, when used
in the inscription on the face of this certificate, shall be construed as though they were written out in full according to applicable
laws or regulations:

 

	 	 	 	 	 	 	 	 	 
	TEN COM	 	–    	 	as tenants in common
	 	 	 
	TEN ENT	 	–    	 	as tenants by the entireties
	 	 	 
	JT TEN	 	–    	 	as joint tenants with rights of survivorship and not as tenants in common
	 	 	 	 	 
	UNIF GIFT MIN ACT	 	–    	 	 	 	Custodian	 	 
	 	 	 	 	 
	 	 	 	 	(Cust)	 	 	 	(Minor)
	 	 	 
	 	 	 	 	under Uniform Gift to Minors Act
	 	 	 
	 	 	 	 	 
	 	 	 	 	(State)

 

Additional abbreviations may also be used
though not in the above list.

 

	For Value Received, the undersigned hereby sells, assigns and  transfers unto	 	 	 	 

 

PLEASE INSERT SOCIAL SECURITY OR

OTHER IDENTIFYING NUMBER OF ASSIGNEE

	 
	 

 

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS,

INCLUDING ZIP CODE OF ASSIGNEE)

	 
	 

 

                    
shares of the capital stock represented by the within Certificate, and do hereby irrevocably constitute and appoint                         
Attorney to transfer the said stock on the books of the within named Corporation with full power of substitution in the premises.

 

Dated:                         
                

 

NOTICE: THE SIGNATURE TO THE ASSIGNMENT MUST CORRESPOND WITH
THE NAME AS WRITTEN UPON THE FACE OF THE CERTIFICATE IN EVERY PARTICULAR, WITHOUT ALTERATION OR ENLARGEMENT OR ANY CHANGE WHATEVER

 

Signature(s) Guaranteed:                             
                

 

THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR
INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED SIGNATURE GUARANTEE
MEDALLION PROGRAM), PURSUANT TO RULE 17Ad-15 UNDER THE SECURITIES EXCHANGE ACT OF 1934.Exhibit 10.1

 

AMENDMENT NO. 3 TO PROMISSORY NOTES

This Amendment No. 3 to Promissory Notes (this “Amendment”)
dated this 1st day of October, 2019, by and among Hash Labs Inc., a Nevada corporation (the “Company”) and
Lyle Hauser, an individual (the “Holder”).

W I T N E S S E T H:

WHEREAS, the Holder is the holder of
certain outstanding promissory notes (collectively, the “Notes”) of the Company, consisting of (i) a promissory note,
dated on or about January 14, 2019, in the original principal amount of $70,384.32, as amended by amendment No. 1 thereto, dated
April 9, 2019, and amendment No. 2 thereto, dated July 3, 2019, and (ii) an original issue discount promissory note, dated on or
about February 28, 2019, in the original principal amount of $110,000, as amended by amendment No. 1 thereto, dated April 9, 2019,
and amendment No. 2 thereto, dated July 3, 2019;

WHEREAS, the Company and the Holder desire
to amend the Notes as more particularly set forth below;

WHEREFORE, the parties do hereby agree
as follows:

1.            The maturity
date of each of the Notes is hereby amended to be December 31, 2019.

2.            Except as modified
herein, the terms of the Notes shall remain in full force and effect.

3.            This Amendment
may be executed in any number of counterparts, each of which when so executed shall be deemed to be an original and shall be binding
upon all parties, their successors and assigns, and all of which taken together shall constitute one and the same Amendment. A
signature delivered by facsimile or email shall constitute an original.

[Signature Page Follows]

    1 

     

    

 

IN WITNESS WHEREOF, the parties
have executed this Amendment as of the date first written above.

HASH LABS INC.

 

	By:	/s/ J. Mark Goode	 
	Name:	J. Mark Goode	 
	Title:	Chief Executive Officer	 

 

	/s/ Lyle Hauser	 
	Lyle Hauser	 

 

 

    2Exhibit 10.2

 

AMENDMENT NO. 3 TO PROMISSORY NOTES

This Amendment No. 3 to Promissory Notes (this “Amendment”)
dated this 1st day of October, 2019, by and among Hash Labs Inc., a Nevada corporation (the “Company”) and The Vantage
Group Ltd., a Delaware corporation (the “Holder”).

W I T N E S S E T H:

WHEREAS, the Holder is the holder of
certain outstanding promissory notes (collectively, the “Notes”) of the Company, consisting of (i) a promissory note,
dated on or about January 14, 2019, in the original principal amount of $17,780.25, as amended by amendment No. 1 thereto, dated
April 9, 2019, and amendment No. 2 thereto, dated July 3, 2019, and (ii) a promissory note, issued on or about July 15, 2016, in
the original principal amount of $100,000, as amended by amendment No. 1 thereto, dated April 9, 2019, and amendment No. 2 thereto,
dated July 3, 2019;

WHEREAS, the Company and the Holder desire
to amend the Notes as more particularly set forth below;

WHEREFORE, the parties do hereby agree
as follows:

1.            The maturity
date of each of the Notes is hereby amended to be December 31, 2019.

2.            Except as modified
herein, the terms of the Notes shall remain in full force and effect.

3.            This Amendment
may be executed in any number of counterparts, each of which when so executed shall be deemed to be an original and shall be binding
upon all parties, their successors and assigns, and all of which taken together shall constitute one and the same Amendment. A
signature delivered by facsimile or email shall constitute an original.

[Signature Page Follows]

    1 

     

    

 

IN WITNESS WHEREOF, the parties
have executed this Amendment as of the date first written above.

HASH LABS INC.

 

	By:	/s/ J. Mark Goode	 
	Name:	J. Mark Goode	 
	Title:	Chief Executive Officer	 

 

THE VANTAGE GROUP LTD.

 

	By:	/s/ Lyle Hauser	 
	Name:	Lyle Hauser	 
	Title:	Chief Executive Officer	 

 

 

    2ex_159686.htm

Exhibit 10.1

 

 

UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT

 

 

	
			$50,000

				
			October 3, 2019

			

 

 

For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of Fifty Thousand Dollars ($50,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this Note on the unpaid Principal Amount at a rate equal to six percent per annum (6%). This Note is subject to the following terms and conditions.

 

	
			 

				
			1.

				
			Maturity. This Note is callable at the election of the holder but in no instance, will the maturity date exceed 90 days from the date of issuance, and as such is due and payable no later than December 31, 2019 (the “Maturity Date”).

			

	 	 	 
	
			 

				
			2.

				
			Interest. Interest shall accrue on this Note at the rate of six percent per annum (6%) and shall be payable upon repayment of the Principal.

			
	 	 	 

	
			 

				
			3.

				
			Payment. All payments shall be made in lawful money of the United States of America at such place as the Holder hereof may from time to time designate in writing to the Company. Payment shall be first credited to accrued interest then due and payable, and the remainder shall be applied to the outstanding Principal Amount. The Note may be prepaid in whole or in part from time to time by the Company.

			

	 	 	 
	
			 

				
			4.

				
			Nature of Obligation. This Note is a general unsecured obligation of the Company.

			
	 	 	 

	
			 

				
			5.

				
			Transfers: Successors and Assigns: The terms and conditions of this Note share inure to the benefit of and be binding upon the respective successors and permitted assigns of the parties. Notwithstanding the foregoing, the Holder may not assign, pledge or otherwise transfer all or any part of the Note without prior written consent of the Company.

			

	 	 	 
	
			 

				
			6.

				
			Governing Law: This Note and all acts and transactions pursuant to the rights and obligation of the parties hereto shall be governed, construed and interpreted in accordance with the laws of the state of New York, without giving effect to principles of conflicts of law.

			
	 	 	 

	
			 

				
			7.

				
			Subordination: The Holder acknowledges and agrees that the Company’s payment obligation under this Note may be subordinated to the obligations of the Company to its lenders under any other financing facility in the event that the Company is unable to meet its obligations. In such event, no payments under this Note shall be paid to the Holder and any payment received by the Holder shall be immediately returned to the Company until such time as the Company is able to satisfy such obligations to the Lenders in full. By accepting this agreement, the Holder agrees to execute a subordination agreement with any Lender evidencing such subordination. If the terms and conditions of any subordination agreement with any Lender shall change, the Holder shall execute and deliver such further documents or instruments as such Lender may reasonably request in order to give effect to the provisions of such subordination agreement and the provisions of this Note.

			

  

 

	CurAegis Technologies, Inc.	 
	 	 
	 	 
	/s/ Kathleen A. Browne  	/s/ Richard A. Kaplan
	 	 
	Chief Financial Officer	Lender

 

 

 

/s/ James Donnelly

 

Chief Operating Officer

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