GAIN Capital Holdings, Inc. Business Finance Contracts & Agreements

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First Supplemental Indenture to 5.00% Convertible Senior Notes Due 2022 between GAIN Capital Holdings, Inc. and The Bank of New York Mellon
Indenture Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2020
Description of Registered Common Stock of GAIN Capital Holdings, Inc.
Equity Distribution Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2020
Fourth Waiver and Amendment to Credit Agreement among Gain Capital Holdings, Inc., Subsidiary Guarantors, Lenders, and Barclays Bank PLC
Waiver Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2019
Asset Purchase Agreement between 360TGTX Inc. and GAIN Capital Holdings, Inc. dated May 29, 2018
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2018
Indenture for 5.00% Convertible Senior Notes Due 2022 between GAIN Capital Holdings, Inc. and The Bank of New York Mellon
Indenture Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2017
Asset Purchase Agreement between Gain Capital Group, LLC and Forex Capital Markets L.L.C. (February 7, 2017)
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2017
Amendment No. 1 to Rights Agreement between Gain Capital Holdings, Inc. and Broadridge Corporate Issuer Solutions, Inc.
Modification Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2016
Asset Purchase Agreement among GAIN GTX Bermuda, Ltd., GAIN Capital Holdings, Inc., and Forexster Limited dated July 10, 2014
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2014
Asset Purchase Agreement between GAIN GTX Bermuda, Ltd., Gain Capital Holdings, Inc., and Valaquenta Intellectual Properties Limited dated July 10, 2014
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2014
Membership Interest Purchase Agreement among Gain Capital Holdings, Inc., Top Third Ag Marketing LLC, Global Asset Advisors, LLC, and Sellers (March 7, 2014)
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2014
Membership Interest Purchase Agreement by and among GAIN Capital Holdings, Inc., Global Asset Advisors, LLC, Lucky Good Dog, L.L.C., Glenn A. Swanson, and Andrew W. Daniels...
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2014
Amendment Letter to Investor Rights Agreement by GAIN Capital Holdings, Inc. and Investors
Investor Rights Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2014
Indenture for 4.125% Convertible Senior Notes Due 2018 between GAIN Capital Holdings, Inc. and The Bank of New York Mellon
Indenture Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2013
Amended and Restated Stockholders’ Agreement between Gain Capital Holdings, Inc. and Gary L. Tilkin (September 24, 2013)
Shareholders Agreements
GAIN Capital Holdings, Inc.
Capital Markets
MI
2013
Amended and Restated Stock Purchase Agreement among Gain Capital Holdings, Inc., Gary L. Tilkin, and Global Futures & Forex, Ltd.
Stock Agreements
GAIN Capital Holdings, Inc.
Capital Markets
MI
2013
Stockholders’ Agreement between Gain Capital Holdings, Inc. and Gary L. Tilkin dated April 24, 2013
Shareholders Agreements
GAIN Capital Holdings, Inc.
Capital Markets
MI
2013
Stock Purchase Agreement among GAIN Capital Holdings, Inc., Gary L. Tilkin, and Global Futures & Forex, Ltd.
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
MI
2013
Rights Agreement between Gain Capital Holdings, Inc. and Broadridge Corporate Issuer Solutions, Inc. (April 9, 2013)
Registration Rights Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2013
Stock Purchase Agreement between optionsXpress Holdings, Inc. and GAIN Capital Group LLC dated June 27, 2012
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2012
Asset Purchase Agreement between GAIN Capital Holdings, Inc. and Deutsche Bank AG (dbFX Business)
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2011
Seventh Loan Modification Agreement among Silicon Valley Bank, JPMorgan Chase Bank, and GAIN Capital Holdings, Inc.
Modification Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2011
FX Prime Brokerage Agreement between UBS AG and Gain Capital, Inc. dated July 8, 2005
Financing Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
FX Prime Brokerage Master Agreement between The Royal Bank of Scotland and Gain Capital Group, LLC
Financing Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
FX Prime Brokerage Master Agreement between The Royal Bank of Scotland and Gain Capital Group, LLC
Financing Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
GAIN Capital Holdings, Inc. 2011 Employee Stock Purchase Plan
Stock Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
Amendment No. 1 to Asset Purchase Agreement between GAIN Capital Entities and Capital Market Services Entities
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
Asset Purchase Agreement between GAIN Capital Entities and Capital Market Services Entities (October 5, 2010)
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
Amendment 2008-1 to GAIN Capital Holdings, Inc. 2006 Equity Compensation Plan
Equity Distribution Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2010
Amendment 2007-1 to GAIN Capital Holdings, Inc. 2006 Equity Compensation Plan
Equity Distribution Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2010
GAIN Capital Holdings, Inc. 2006 Equity Compensation Plan (Amended and Restated, Effective December 31, 2006)
Equity Distribution Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
Sixth Loan Modification Agreement among Silicon Valley Bank, JPMorgan Chase Bank, and GAIN Capital Holdings, Inc.
Modification Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2010
Underwriting Agreement between GAIN Capital Holdings, Inc. and Underwriters (Morgan Stanley & Deutsche Bank)
Underwriting Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
Credit Agreement among GAIN Capital Holdings, Inc., Barclays Bank PLC, Sterling National Bank, and Lenders (August 2, 2017)
Credit Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2017
Loan and Security Agreement between Gary L. Tilkin and GAIN Capital Holdings, Inc. dated September 24, 2013
Loan Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2013
First Amendment to Unconditional Guaranty among GAIN Holdings, LLC, GAIN Capital Holdings, Inc., Silicon Valley Bank, and JPMorgan Chase Bank, N.A.
Guaranty Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2011
Amended and Restated Loan and Security Agreement among Silicon Valley Bank, JPMorgan Chase Bank, and GAIN Capital Holdings, Inc.
Loan Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2011
GAIN Capital Holdings, Inc. 2011 Employee Stock Purchase Plan
Stock Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
Stock Certificate Assignment and Transfer Form for GAIN Capital Holdings, Inc.
Stock Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2010
ISDA 2002 Master Agreement between Parties for Swaps and Derivatives Transactions
Financing Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
ISDA 1992 Master Agreement (Multicurrency – Cross Border)
Financing Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010