Document:

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                         METLIFE INSURANCE COMPANY USA

                            NAME CHANGE ENDORSEMENT

This Endorsement is made part of and should be kept with your policy, contract
or certificate.

In connection with the change of the state of domicile of "METLIFE INSURANCE
COMPANY OF CONNECTICUT" to Delaware from Connecticut on November 14, 2014, the
name of METLIFE INSURANCE COMPANY OF CONNECTICUT was changed to METLIFE
INSURANCE COMPANY USA effective on November 14, 2014.

The following changes are made to your policy, contract or certificate:

     o    All references to "MetLife Insurance Company of Connecticut" are
          changed to "MetLife Insurance Company USA."

     o    References to "Connecticut" are replaced by "Delaware."

     o    The new Home Office address is as set forth below.

All other terms, conditions or benefits remain unchanged.

MetLife Insurance Company USA is responsible for all benefits payable under your
policy, contract or certificate. Your rights are not affected.

METLIFE INSURANCE COMPANY USA
Home Office:
1209 Orange Street
Wilmington, DE 19801

METLIFE INSURANCE COMPANY USA

/s/ Jacob Jenkelowitz
------------------------------
Jacob Jenkelowitz
Secretary

6-E120-14exhibit10-01.htm

Exhibit 10.01

MODIFICATION AND EXTENSION TO AMENDED PARTICIPATION AGREEMENT

AMENDED JANUARY 31, 2015

(Turnkey Drilling, Re Entry, and Multiple Wells)

This Modification and Extension to Amended Participation Agreement dated January 31, 2015 amending the March 26, 2014 Modification and Extension to Amended Participation Agreement is in accordance with Exhibit “B” of an *Asset Purchase Agreement made and entered into as of January 21, 2014, the Effective Date (“Effective Date”), by and among Shale Corp., a corporation organized under the laws of the Province of Ontario in Canada with its principal place of business located at 365 Bay St, Suite 400, Toronto On, M5H 2V1(the “Company”), and the Investor acting as Mondial Ventures, Inc., along with approvals from Success Oil Co., Inc., its Operator and Partner, EGPI Firecreek, Inc. via its wholly owned subsidiary Energy Producers, Inc., Partner, and TWL Investments, aLLC, investing participants, herewith amend, modify and extend the following provision to the January 21, 2014 Amended Participation Agreement (please see *Asset Purchase Agreement included as Exhibit A in the Exhibit 10.1 to a Current Report on Form 8-K filed by Mondial Ventures, Inc. with the Securities and Exchange Commission on April 3, 2014):

Section II. paragraph one shall be modified and extended to read:

 

II.

Consideration

 

Participants shall deliver to Operator Participant’s share of the Turnkey Cost to Casing Point for drilling of the first Prospect Well, and the first Program initiated from successful financing will be for the Ellenburger Prospect Well formation at approximately 8,300 foot depth, as provided for in this Agreement and listed as follows in this section II. 1) below within a reasonable time after the execution and effective date of this Agreement not to exceed the period ending February 28, 2015, unless mutually extended by all parties to this Agreement in writing to be attached hereto. In addition, if the Turnkey Costs are delivered for the first Prospect Well listed in II. 1) below, the parties agree to extend timing for agreed participation up to two years but no less than one year. A draft for formal terms will be then delivered by participant 1 in coordination with Success for acceptance by the parties.

 

Agreed this 31st day of January, 2015 by the undersigned:

 

 

	
 Mondial Ventures, Inc.

	
Success Oil Co., Inc.

	
 TWL Investments, a LLC

	
 

/s/Dennis R Alexander

	
 

/s/Jeru M. Morgan

	
 

/s/Larry W. Trapp

	
 President and CEO

	
 President and CEO

	
 Managing Director

	  	  	  
	
Energy Producers, Inc., a wholly owned Subsidiary of EGPI Firecreek, Inc.

	  	  
	  	  	  
	
/s/Dennis R Alexander

	  	  
	
 Dennis R. Alexander

	  	  
	
 President and CEOexhibit10-2.htm

Exhibit 10.2

TENTH AMENDMENT TO

MODIFICATION, AMENDMENT, AND FURTHER EXTENSION

OF THE “AGREEMENT TO EXTEND OPTION” DATED EFFECTIVE ON DECEMBER 31, 2013

WHEREAS THIS AGREEMENT MODIFIES, AMENDS, AND EXTENDS THE PREVIOUS DECEMBER 31, 2013 AGREEMENT TO EXTEND OPTION BETWEEN THE FOLLOWING PARTIES:

EGPI Firecreek, Inc. on behalf of itself and all of its wholly  owned subsidiaries including, but not limited to, Energy Producers, Inc. (“EPI”), and conjunction with Mondial Ventures, Inc., and now amended to be by and through the Amalgamation processes between Shale Corp. and Newco resulting in the surviving entity now known as 2301840 Ontario Inc. Incorporated under the Laws of the Province of Ontario, and which is now a wholly owned subsidiary of Boomerang Oil, Inc. (formerly 0922337 BC LTD) (“Boomerang”), a Majority owned subsidiary of Mondial Ventures, Inc. ("Mondial"), having entered into an Agreement to Extend Option (the "Agreement") with Success Oil Company Inc. ("Success"), (individually and collectively referred to as the "Parties'', most recently on December 31, 2013, regarding a certain option agreement (the "Option Agreement") for participation rights in certain oil and gas property interests dated November 30, 2011 and most recently amended herewith as of January 31, 2014.

In the best interests of the parties the following provisions of the Agreement shall be revised, amended and or modified to read as follows:

Section 2, shall be restated to read: the Parties wish to extend the Option Agreement, through February 28, 2015 unless further modified or extended by the parties to this Agreement in writing and attached or made a part of hereto.

Section 5. shall be restated to read as follows:

February 28, 2015, unless further modified or extended by the parties to this Agreement in writing and attached or made a part of hereto.

Section 9.b. shall read as follows:

The note, which is acknowledged to be in default, and further as described in paragraphs 6 and 8, shall remain due and payable until April 1, 2014 during which time EGPI or Mondial may, within 5 days thereof, either i) pay the full amount due, or ii) convert the entire balance of the note to shares in EGPI Firecreek, Inc. (“EGPI”) or Mondial (“MNVN”) on terms then negotiated, but on terms no less favorable than those given to any other lender or creditor of EGPI or Mondial, and in accordance with rules and regulations governing such transactions. If neither of i) or ii) are acceptable to Success then the obligation created under the EGPI Note shall convert/revert to the Joint Operating Billing Statement (JIBS), and be attributable to the interest holders on a pro rata basis according to their interests, derived from the net of current existing proved producing revenues with reserves at the date of even with this agreement, according to interests then held by EPI, a wholly owned subsidiary of EGPI Firecreek, Inc. and, Boomerang Oil Inc., a majority owned subsidiary of Mondial, and under the same terms as agreed upon in the Note, and upon such occurring the then EGPI Note shall forever be fully discharged, voided and canceled by Success.

IN WITNESS WHEROF, the Parties have caused this Agreement to be executed on the date set forth below.

(These revisions, amendments, and or modifications shall be effective as of January 31, 2015.)

 

	
SUCCESS OIL CO., INC.

	
EGPI FIRECREEK, INC.,

	
MONDIAL VENTURES, INC.

	  	
and on behalf of EPI

	
By and through Shale Corp. (now 2301840 Ontario Inc.)  a wholly owned subsidiary of Boomerang Oil, Inc., a Majority owned subsidiary of Mondial Ventures, Inc.

	  	  	  
	  	  	  
	
/s/Jeru Morgan

	
/s/Dennis Alexander

	
/s/Dennis Alexander

	 	  	  
	
By: Jeru Morgan,

	
By: Dennis Alexander

	
By: Dennis AlexanderExhibit 4.1

 

EXECUTION VERSION

 

 

 

THIRD SUPPLEMENTAL INDENTURE

 

Dated as of January 30, 2015

 

 

TO THE INDENTURE

 

Dated as of April 29, 2014

 

by

 

 

RCS CAPITAL CORPORATION,

 

as Issuer 

 

and

 

WILMINGTON TRUST, NATIONAL ASSOCIATION,

 

as Trustee

 

 

 

    	 

    	 

    

 

THIS THIRD SUPPLEMENTAL
INDENTURE dated as of January 30, 2015 (this “Third Supplemental Indenture”), is made by RCS CAPITAL
CORPORATION, a Delaware corporation (the “Issuer”), and WILMINGTON TRUST, NATIONAL ASSOCIATION, as
Trustee (the “Trustee”).

 

WITNESSETH:

 

WHEREAS, an Indenture
dated as of April 29, 2014 (as amended by the First Supplemental Indenture dated as of May 5, 2014 and the Second Supplemental
Indenture dated July 23, 2014, the “Indenture”), was executed by and between the Issuer and the Trustee, relating
to the Issuer’s 5.00% Convertible Senior Notes due 2021 (the “Notes”);

 

WHEREAS, on December
12, 2014, the Company and certain holders of Notes identified therein (the “Investors”) entered into a Securities
Exchange Agreement (the “Exchange Agreement”);

 

WHEREAS, on December
19, 2014, the transactions contemplated by the Exchange Agreement, including the issuance of 5,800,000 shares of Series B Preferred
Stock and 4,400,000 shares of the Company’s newly issued 7% Series C Convertible Preferred Stock, par value $0.001 per share,
to the Investors in exchange for 11,584,427 outstanding shares of the Company’s existing 7% Series A Convertible Preferred
Stock, par value $0.001 per share, held by the Investors, closed;

 

WHEREAS, Section 6.4
of the Exchange Agreement provides that, following the closing of the transactions contemplated by the Exchange Agreement, each
of the Issuer and the Investors, in their capacity as holders of Notes, will amend, and cause the Trustee to amend, by entry into
a supplemental indenture, the Indenture, as set forth herein;

 

WHEREAS, pursuant to
Section 10.02 of the Indenture, with the consent (evidenced as provided in Article VIII of the Indenture) of the Holders (as defined
in the Indenture) of at least a majority of the aggregate principal amount of Notes then outstanding (or, pursuant to Section 10.02(d)
of the Indenture with respect to any change that adversely affects the conversion rights of any Notes, each holder of an outstanding
Notes affected), the Issuer, when authorized by the resolutions of the Board of Directors of the Company (the “Board”),
and the Trustee may enter into a supplemental indenture for the purpose of making any change to the Indenture;

 

WHEREAS, the written
consent of the Holders of all the Notes issued and outstanding as of the date hereof and sufficient to meet the requirements for
entry into this Third Supplemental Indenture has been delivered by the Company to the Trustee;

 

WHEREAS, the Board has
authorized the Issuer to enter into this Third Supplemental Indenture;

 

WHEREAS, in accordance
with Section 10.02 of the Indenture, this Third Supplemental Indenture shall amend the Indenture as set forth herein;

 

    	 

    	 

    

 

NOW, THEREFORE, in consideration of the agreements
and obligations set forth herein and for other good and valuable consideration, the receipt and sufficiency of which hereby are
acknowledged, the parties hereto hereby agree to the following provisions:

 

Article
1

 

AMENDMENTS TO THE INDENTURE

 

Section
1.1    Amendment
to Section 1.01 of the Indenture. Section 1.01 of the Indenture shall be amended to include the following definitions:

 

““Adjustment
Additional Shares” shall have meaning specified in Section 14.04(d).

 

“Adjustment
Price” shall have meaning specified in Section 14.04(d).

 

“Common
Shares” means shares of any capital stock of any class or series of the Issuer (including, on December 19, 2014, Common
Stock) which has no preference in respect of dividends or of amounts payable in the event of any voluntary or involuntary liquidation,
dissolution or winding up of the Issuer and which is not subject to redemption by the Issuer.

 

“Series
B Preferred Stock” means the Issuer’s 11% Series B Preferred Stock, par value $0.001 per share.””

 

Section
1.2    Amendment
to Section 4.13(b) of the Indenture. Section 4.13(b) of the Indenture shall be amended to include a new subsection (xii) as
follows:

 

“(xii) the Issuer may redeem
shares of Series B Preferred Stock, pursuant to Section 5(a) of the Certificate of Designation governing the Series B Preferred
Stock if such redemption is permitted (including as a result of any consent to, or waiver of any restrictions applicable to, such
redemption) under all Credit Facilities which are outstanding at such time.”

 

Section
1.3    Amendment
to Section 14.02(k) of the Indenture. Section 14.02(k) of the Indenture shall be amended and restated in its entirety as follows:

 

“(i) At any time when a Holder
then beneficially owns 9.9% or less, but greater than 4.9%, of the Common Shares outstanding and notwithstanding any other provision
contained herein or in the Certificate of Incorporation of the Issuer, in no event will such Holder be allowed to accept Common
Shares issuable upon conversion of the Notes (taking into account Common Shares owned by any Person deemed to be, with respect
to such shares, a beneficial owner and, in respect of Luxor Capital Group LP together with and any of its Affiliates that own Notes,
Common Shares issuable upon conversion of the Notes or otherwise) that, when taken together with Common Shares otherwise held,
collectively exceeds 9.9% of the Common Shares outstanding on the Trading Day immediately preceding the Conversion Date (each as
appropriately adjusted for share splits, share dividends, combinations, recapitalizations and the like and taking into account
the number of Common Shares resulting from such conversion). Each Holder, on the one hand, and the Issuer, on the other hand, agrees
that the provisions of this Section 14.02(k)(i) are for the benefit of such Holder and can be waived by such Holder on 65 days’
prior written notice to the Issuer.

 

    	 

    	 

    

 

(ii) At any time when a Holder
then beneficially owns 4.9% or less of the Common Shares outstanding and notwithstanding any other provision contained herein or
in the Certificate of Incorporation of the Issuer, in no event will such Holder be allowed to accept Common Shares issuable upon
conversion of the Notes, (taking into account Common Shares owned by any Person deemed to be, with respect to such shares, a beneficial
owner or a member of a group and, in respect of Luxor Capital Group LP together with and any of its Affiliates that own Notes,
Common Shares issuable upon conversion of the Notes or otherwise) that, when taken together with Common Shares otherwise held,
collectively exceeds 4.9% of the Common Shares outstanding on the Trading Day immediately preceding the Conversion Date (each as
appropriately adjusted for share splits, share dividends, combinations, recapitalizations and the like and taking into account
the number of Common Shares resulting from such conversion). Each Holder, on the one hand, and the Issuer, on the other hand, agrees
that the provisions of this Section 14.02(k)(ii) are for the benefit of such Holder and can be waived by such Holder on 65 days’
prior written notice to the Issuer.

 

(iii) As used in this Section 14.02(k),
(A) the terms “beneficially owns” and “beneficially owned” shall be construed to be as defined in Rules
13d-3 and 13d-5 under the Exchange Act, and (B) the term “group” shall be construed to be as used in Regulation 13D
under the Exchange Act.”

 

Section
1.4    Section 14.02(m)
of the Indenture. Section 14.02(m) of the Indenture shall be amended and restated in its entirety as follows:

 

“In no event will a Holder
be allowed to accept Common Shares issuable upon conversion of Notes that would result in the ownership of an aggregate number
of Common Shares, when taken together with any other Common Shares then held by such Holder and persons aggregated with such Holder
under FINRA rules, in excess of 24.9% of the Common Shares outstanding on the Trading Day immediately preceding the Conversion
Date (each as appropriately adjusted for share splits, share dividends, combinations, recapitalizations and the like and taking
into account the number of Common Shares resulting from such conversion) (the “24.9% Share Cap”), unless such
ownership of Common Shares in excess of the 24.9% Share Cap is duly approved in advance by FINRA.”

 

    	 

    	 

    

 

Section
1.5    Amendment
to Section 14.04(d) of the Indenture. Section 14.04(d) of the Indenture shall be amended and restated in its entirety as follows:

 

“If, at any time or from
time to time after the Issue Date, the Issuer issues or sells any shares of Common Stock (other than in connection with any underwritten
public offering, issuances to unaffiliated third parties for an acquisition on an arm’s-length basis and the issuance pursuant
to that certain Contribution Agreement dated as of April 3, 2014, between the Issuer and RCAP Holdings related to the acquisition
of all the outstanding equity interests in First Allied by the Issuer from RCAP Holdings) (“Adjustment Additional
Shares”) for a consideration per share that is less than the Current Market Price on the Business Day immediately preceding
the earlier of the issuance or sale, or public announcement of the issuance or sale, of such Adjustment Additional Shares, then
the Conversion Rate shall be adjusted to an amount determined by multiplying the Conversion Rate theretofore in effect by a fraction
of which (x) the numerator equals the product of (i) the sum of (A) the total number of shares of Common Stock outstanding immediately
prior to such issuance or sale and (B) the number of additional shares of Common Stock issued or sold, multiplied by (ii) the Adjustment
Price, and (y) the denominator is the sum of (i) the product of (A) the number of shares of Common Stock outstanding immediately
prior to such issuance or sale multiplied by (B) the greater of (1) the Conversion Price theretofore in effect and (2) the Closing
Price on the date preceding the earlier of the issuance or sale or public announcement of the issuance or sale of such Adjustment
Additional Shares (the greater of (1) and (2) above hereinafter referred to as the “Adjustment Price”) and (ii)
the aggregate consideration receivable by the Issuer for the total number of shares of Common Stock so issued or sold. An adjustment
made pursuant to this Section 14.04(d) shall be made on the next Business Day following the date on which any such issuance or
sale is made and shall be effective retroactively to the close of business on the date of such issuance or sale.”

 

Section
1.6    Amendment to Section 14.02(l) of the Indenture. Section 14.02(l) of the Indenture shall be amended and restated
in its entirety as follows:

 

“[Reserved].”

 

    	 

    	 

    

 

Article
2

 

MISCELLANEOUS

 

Section
2.1    Trustee Matters.
All of the provisions contained in the Indenture in respect of the rights, privileges, immunities, powers and duties of the Trustee
shall be applicable in respect of this Third Supplemental Indenture as fully and with like effect as if set forth herein in full.
The Trustee is not responsible for the validity or sufficiency of this Third Supplemental Indenture, or for the recitals contained
herein.

 

Section
2.2    Ratification.
The Indenture is in all respects ratified and confirmed, and the Indenture and this Third Supplemental Indenture shall be read,
taken and construed as one and the same instrument; provided, however, that in case of conflict between this Third
Supplemental Indenture and the Indenture, this Third Supplemental Indenture shall control.

 

Section
2.3    Counterpart
Originals. This Third Supplemental Indenture may be simultaneously executed (including by facsimile or other electronic transmission)
with counterpart signature pages or in several counterparts, each of which shall be deemed to be an original, and such counterparts
shall together constitute one and the same instrument.

 

Section
2.4     Severability.
In the event any one or more provisions contained in this Third Supplemental Indenture shall be invalid, illegal or unenforceable,
the validity, legality and enforceability of the remaining provisions shall not in any way be affected or impaired thereby.

 

Section
2.5    Effect of
Headings. The Article and Section headings herein have been inserted for convenience of reference only, are not to be considered
a part hereof and shall in no way modify or restrict any of the terms or provisions hereof.

 

Section
2.6     Defined Terms.
Any capitalized term used but not defined herein shall have the meaning set forth in the Indenture.

 

Section
2.7    Governing
Law. THIS THIRD SUPPLEMENTAL INDENTURE AND ANY CLAIM, CONTROVERSY OR DISPUTE ARISING UNDER OR RELATED TO THIS INDENTURE
AND EACH NOTE, SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK (WITHOUT REGARD TO THE
CONFLICTS OF LAWS PROVISIONS THEREOF).

 

    	 

    	 

    

 

IN WITNESS WHEREOF, the undersigned have
caused this Third Supplemental Indenture to be duly executed as of the date first written above.

 

 

RCS CAPITAL CORPORATION

 

By:/s/
Brian D.
Jones                         

Name: Brian D. Jones

Title: Chief Financial Officer

 

WILMINGTON TRUST, NATIONAL ASSOCIATION,

as Trustee

 

By:/s/
Jane Schweiger                      

Name: Jane Schweiger

Title: Vice President

 

 

 

 

 

 

 

[Signature Page to Third Supplemental
Indenture]

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