COWEN INC. Business Finance Contracts & Agreements

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Description of Cowen Inc. Securities Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
COWEN INC.
Capital Markets
2023
Cowen Inc. Equity Award Agreement for Restricted Stock Units with Grantee
Equity Distribution Agreements
COWEN INC.
Capital Markets
NY
2022
Description of Cowen Inc. Securities Registered Under Section 12 of the Securities Exchange Act of 1934
Equity Distribution Agreements
COWEN INC.
Capital Markets
2022
Description of Cowen Inc. Securities Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
COWEN INC.
Capital Markets
2021
Description of Cowen Inc. Securities Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
COWEN INC.
Capital Markets
2020
Credit Agreement among Cowen Inc., Guarantors, Lenders, and BMO Harris Bank N.A. dated December 2, 2019
Credit Agreements
COWEN INC.
Capital Markets
DE
2019
Cowen Inc. Note Purchase Agreement for 7.25% Senior Notes Due 2024, Dated April 25, 2019
Note Agreements
COWEN INC.
Capital Markets
DE
2019
Purchase Agreement among Grüco AG, Domus Holding GmbH, Bugovics Industries GmbH, Camafini AG, Bodan Beteiligungs GmbH, André Augier, Robert Parker, Cowen International Limited,...
Purchase Agreements
COWEN INC.
Capital Markets
NY
2018
Third Supplemental Indenture to Indenture Dated October 10, 2014 Between Cowen Inc. and The Bank of New York Mellon for 7.75% Senior Notes Due 2033
Indenture Agreements
COWEN INC.
Capital Markets
NY
2018
Underwriting Agreement for $90,000,000 7.75% Senior Notes due 2033 between Cowen Inc. and Underwriters (Morgan Stanley & Co. LLC, UBS Securities LLC)
Underwriting Agreements
COWEN INC.
Capital Markets
NY
2018
Cowen Inc. and The Bank of New York Mellon Indenture for 3.00% Convertible Senior Notes Due 2022
Indenture Agreements
COWEN INC.
Capital Markets
NY
2017
Second Supplemental Indenture to 7.35% Senior Notes due 2027 between Cowen Inc. and The Bank of New York Mellon
Indenture Agreements
COWEN INC.
Capital Markets
NY
2017
Underwriting Agreement for $120,000,000 7.35% Senior Notes due 2027 between Cowen Inc. and Underwriters (Morgan Stanley & Co. LLC, UBS Securities LLC)
Underwriting Agreements
COWEN INC.
Capital Markets
NY
2017
Modification Agreement to Stock Purchase Agreement between Cowen Inc. and Shanghai Huaxin Group (HongKong) Limited
Modification Agreements
COWEN INC.
Capital Markets
NY
2017
Amendment No. 1 to Stock Purchase Agreement between Cowen Inc. and Shanghai Huaxin Group (HongKong) Limited
Purchase Agreements
COWEN INC.
Capital Markets
NY
2017
Securities Purchase Agreement among ConvergEx Holdings, LLC, ConvergEx Group, LLC, GTCR ConvergEx Holdings LLC, Cowen CV Acquisition LLC, and Cowen Group, Inc. dated April 2, 2017
Purchase Agreements
COWEN INC.
Capital Markets
DE
2017
Term Loan Agreement among Cowen Group, Inc., Lenders, and Administrative Agent (2017)
Loan Agreements
COWEN INC.
Capital Markets
DE
2017
Investor Rights Agreement between Shanghai Huaxin Group (HongKong) Limited and Cowen Group, Inc. dated March 29, 2017
Investor Rights Agreements
COWEN INC.
Capital Markets
DE
2017
Stock Purchase Agreement between Shanghai Huaxin Group (HongKong) Limited and Cowen Group, Inc. (March 29, 2017)
Stock Agreements
COWEN INC.
Capital Markets
DE
2017
First Amendment to Revolving Credit Agreement among Cowen Finance Holdings LLC, Cowen Structured Holdings LLC, RCG LV Pearl, LLC, Ramius LLC, and SunTrust Bank
Credit Agreements
COWEN INC.
Capital Markets
NY
2016
Revolving Credit Agreement among Cowen Finance Holdings LLC, Cowen Structured Holdings LLC, RCG LV Pearl, LLC, Ramius LLC, and SunTrust Bank
Credit Agreements
COWEN INC.
Capital Markets
DE
2015
Additional Capped Call Option Confirmation between Nomura Global Financial Products Inc. and Cowen Group, Inc. dated May 19, 2015
Warrant Agreements
COWEN INC.
Capital Markets
2015
Capped Call Option Confirmation Agreement between Nomura Global Financial Products Inc. and Cowen Group, Inc.
Warrant Agreements
COWEN INC.
Capital Markets
2015
Amendment to Employment Agreement between Cowen Group, Inc. and Owen Littman (April 24, 2015)
Modification Agreements
COWEN INC.
Capital Markets
2015
First Supplemental Indenture to 8.25% Senior Notes due 2021 between Cowen Group, Inc. and The Bank of New York Mellon
Indenture Agreements
COWEN INC.
Capital Markets
NY
2014
Indenture Agreement between Cowen Group, Inc. and The Bank of New York Mellon (October 10, 2014)
Indenture Agreements
COWEN INC.
Capital Markets
NY
2014
Cowen Group, Inc. $55,000,000 8.25% Senior Notes Due 2021 Underwriting Agreement with Sterne, Agee & Leach, Inc.
Underwriting Agreements
COWEN INC.
Capital Markets
NY
2014
First Supplemental Indenture to 3.00% Cash Convertible Senior Notes Due 2019 between Cowen Group, Inc. and The Bank of New York Mellon
Indenture Agreements
COWEN INC.
Capital Markets
NY
2014
Warrant Confirmation Agreement between Cowen Group, Inc. and Nomura Global Financial Products Inc. dated March 5, 2014
Warrant Agreements
COWEN INC.
Capital Markets
2014
Warrant Confirmation Agreement between Cowen Group, Inc. and Nomura Global Financial Products Inc. dated March 4, 2014
Warrant Agreements
COWEN INC.
Capital Markets
2014
Amendment to Call Option Transaction Agreement between Nomura Global Financial Products Inc. and Cowen Group, Inc.
Modification Agreements
COWEN INC.
Capital Markets
NY
2014
Cowen Group, Inc. 3.00% Cash Convertible Senior Note due 2019 (Form of Note)
Note Agreements
COWEN INC.
Capital Markets
DE
2014
Indenture for 3.00% Cash Convertible Senior Notes due 2019 between Cowen Group, Inc. and The Bank of New York Mellon
Indenture Agreements
COWEN INC.
Capital Markets
DE
2014
Cowen Group, Inc. Stock Appreciation Right Agreement (2013) with Grantee
Equity Distribution Agreements
COWEN INC.
Capital Markets
NY
2013
Cowen Group, Inc. Equity Award Agreement for Restricted Stock Units with Grantee
Equity Distribution Agreements
COWEN INC.
Capital Markets
NY
2010
Modification Agreement Among RCG Holdings LLC, Cowen Group, Inc., Ramius LLC, UniCredit Bank AG, and Related Parties
Modification Agreements
COWEN INC.
Capital Markets
NY
2010
Cowen Group, Inc. Class A Common Stock Purchase Agreement with Underwriters (December 2009)
Purchase Agreements
COWEN INC.
Capital Markets
NY
2009
Secured Revolving Credit Agreement between LexingtonPark Parent Corp. (Cowen Group, Inc.) and Bayerische Hypo- und Vereinsbank AG, New York Branch
Credit Agreements
COWEN INC.
Capital Markets
NY
2009
LexingtonPark Parent Corp. Registration Rights Agreement with Ramius LLC, BA Alpine Holdings, HVB AG, and HVB Alternative Advisors
Registration Rights Agreements
COWEN INC.
Capital Markets
NY
2009
Asset Exchange Agreement among Ramius, LLC, HVB Alternative Advisors LLC, Bayerische Hypo- und Vereinsbank AG, Cowen Group Inc., LexingtonPark Parent Corp., and Lexington Merger...
Exchange Agreements
COWEN INC.
Capital Markets
DE
2009