SEC Contract Filing

Filing Date: 2018-03-16

Document Content:
<DOCUMENT>
<TYPE>EX-10.1
<SEQUENCE>2
<FILENAME>ex_108185.htm
<DESCRIPTION>EXHIBIT 10.1
<TEXT>
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	<title>ex_108185.htm</title>

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<p style="margin-bottom: 0px; text-align: right; margin-top: 0px"><font style="font-family: 'Times New Roman', Times, serif; font-size: 10pt"><b>Exhibit 10.1</b></font></p>

<p style="margin-bottom: 0px; text-align: left; margin-top: 0px"><font style="font-family: 'Times New Roman', Times, serif; font-size: 10pt">&nbsp;</font></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:right;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;text-transform:uppercase;"><b>Amended and Restated</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>WARRANT AGREEMENT</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;">THIS <font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">AMENDED AND RESTATED WARRANT AGREEMENT is made as of [ ], 2018 by and among National Holdings Corporation, a Delaware corporation (the &ldquo;<u>Company</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">), Computershare Inc., a Delaware corporation (&ldquo;<u>Computershare</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">), and its wholly-owned subsidiary, Computershare Trust Company, N.A., a federally chartered trust company (and together with Computershare, the &ldquo;<u>Warrant Agent</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">).</font></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">RECITALS:</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;">WHEREAS, the Company<font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">&rsquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">s Board of Directors has declared a dividend of one warrant (the &ldquo;<u>Warrants</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">) to purchase shares of the Company&rsquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">s common stock, par value $0.02 per share (the &ldquo;<u>Common Stock</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">), for each share of Common Stock issued and outstanding at the close of trading the date before the ex-dividend date with respect to such dividend to be established by The Nasdaq Stock Market (the date on which the Warrants are issued being referred to herein as the &ldquo;<u>Issuance Date</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">), at the Exercise Price (as defined below), upon the terms and subject to the conditions hereinafter set forth, with the record date for the distribution of the Warrants having been established as December 9, 2016; </font></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;">WHEREAS, both the Common Stock and the Warrants <font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">were issued by the Company in a distribution pursuant to an effective shelf registration statement on Form S-1, Registration No. 333-214791 (the &ldquo;<u>Registration Statement</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">) filed with the Securities and Exchange Commission (the &ldquo;<u>Commission</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">) under the Securities Act of 1933, as amended (the &ldquo;<u>Act</u>&rdquo;</font><font style="font-family:'Times New Roman', Times, serif;font-size:10pt;">); and </font></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;">WHEREAS, the Company<font style="font-family:'Times New Roman', Times, serif;font-size:10pt;"> and the Warrant Agent are parties to that certain Warrant Agreement dated as of December 13, 2016 (the &ldquo;<u>Original Agreement</u>&rdquo;) pursuant to which the Warrant Agent is appointed to act on behalf of the Company in connection with the issuance, transfer, exchange and exercise of the Warrants; and</font></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;text-indent:36pt;">WHEREAS, the Company and the Warrant Agent desire to amend and restate the Original Agreement in its entirety as set forth in this Warrant Agreement<font style="font-family:'Times New Roman', Times, serif;font-size:10pt;"> to, among other things, make certain clarifying modifications that the parties d