Business Finance Contracts & Agreements in the Capital Markets Industry

5,684 Contracts & Agreements

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Assignment Agreements (19 contracts from 12 companies)
Contribution Agreements (13 | 8)
Credit Agreements (855 | 124)
Debenture Agreements (3 | 2)
Deposit Agreements (30 | 8)
Equity Distribution Agreements (56 | 17)
Escrow Agreements (20 | 16)
Exchange Agreements (169 | 44)
Facility Agreements (5 | 3)
Financing Agreements (5 | 3)
Forbearance Agreements (2 | 2)
Funding Agreements (52 | 15)
Guarantee Agreements (37 | 22)
Guaranty Agreements (43 | 15)
Indenture Agreements (621 | 97)
Investment Agreements (93 | 33)
Investor Rights Agreements (20 | 13)
Joinder Agreements (31 | 15)
Loan Agreements (487 | 80)
Modification Agreements (19 | 8)
Note Agreements (555 | 96)
Participation Agreements (30 | 9)
Pledge Agreements (18 | 13)
Purchase Agreements (322 | 98)
Registration Rights Agreements (163 | 68)
Release Agreements (23 | 14)
Repurchase Agreements (35 | 15)
Security Agreements (60 | 26)
Servicing Agreements (15 | 7)
Share Agreements (94 | 39)
Shareholders Agreements (29 | 13)
Stock Agreements (927 | 108)
Subordination Agreement (6 | 3)
Subscription Agreements (74 | 28)
Term Sheets (11 | 5)
Trust Agreements (53 | 25)
Underwriting Agreements (567 | 159)
Waiver Agreements (36 | 23)
Warrant Agreements (86 | 32)

Browse by Company

AFFILIATED MANAGERS GROUP, INC. (62 contracts)
ALLIANCEBERNSTEIN HOLDING L.P. (10)
ALTIMAR ACQUISITION CORP. (44)
Ameriprise Financial (36)
Apollo Global Management LLC (53)
APOLLO INVESTMENT CORP (14)
ARES CAPITAL CORP (90)
Ares Management Corp (35)
Artisan Partners Asset Management Inc. (30)
Ascendant Digital Acquisition Corp. (19)
Ashford Inc. (40)
AssetMark Financial Holdings, Inc. (12)
Associated Capital Group, Inc. (1)
B. Riley Financial, Inc. (116)
Bain Capital Specialty Finance, Inc. (14)
Barings BDC, Inc. (29)
BC Partners Lending Corp (5)
BGC Partners, Inc. (68)
BlackRock (53)
BlackRock Capital Investment Corp (16)
BlackRock Private Credit Fund (3)
BlackRock TCP Capital Corp. (17)
BLACKSTAR ENTERPRISE GROUP, INC. (48)
Blackstone / GSO Secured Lending Fund (32)
Blackstone Group L.P. (44)
Blackstone Private Credit Fund (50)
Blackstone Private Equity Strategies Fund L.P. (2)
Blucora, Inc. (37)
Bridge Investment Group Holdings Inc. (8)
BrightSphere Investment Group Inc. (18)
Capital Financial Holdings, Inc (5)
CAPITAL SOUTHWEST CORP (40)
Capitala Finance Corp. (13)
Carlyle Group L.P. (42)
Cboe Global Markets (68)
CERES ABINGDON L.P. (7)
CERES ORION L.P. (11)
Ceres Tactical Commodity L.P. (5)
CERES TACTICAL CURRENCY L.P. (6)
CERES TACTICAL SYSTEMATIC L.P. (8)
Charles Schwab Corporation (114)
CHINAWE COM INC (1)
Chineseinvestors.com, Inc. (2)
CION Investment Corp (30)
CM Finance Inc (10)
CME Group Inc. (60)
Cohen & Co Inc. (102)
COHEN & STEERS INC (2)
Coinbase Global, Inc. (6)
CONCIERGE TECHNOLOGIES INC (16)
ContextLogic Inc. (9)
COWEN INC. (33)
Crescent Capital BDC, Inc. (17)
DIAMOND HILL INVESTMENT GROUP INC (3)
Diginex Ltd (7)
Donnelley Financial Solutions, Inc. (18)
E*Trade (67)
Eaton Vance Corp (16)
ENDI Corp. (9)
ENTERPRISE DIVERSIFIED, INC. (18)
EQUUS TOTAL RETURN, INC. (16)
Evercore (50)
FactSet Research Systems Inc (25)
Federated Investors (32)
FIDUS INVESTMENT Corp (15)
FinTech Acquisition Corp. IV (25)
Focus Financial Partners Inc. (11)
Franklin Resources (31)
Freedom Holding Corp. (36)
FS KKR Capital Corp (60)
GAIN Capital Holdings, Inc. (23)
GAMCO INVESTORS, INC. ET AL (15)
GCM Grosvenor Inc. (6)
GLADSTONE CAPITAL CORP (45)
GLADSTONE INVESTMENT CORPORATION (29)
GlassBridge Enterprises, Inc. (56)
Goldman Sachs (122)
GOLDMAN SACHS ASSET BACKED SECURITIES CORP (9)
Goldman Sachs BDC, Inc. (4)
Goldman Sachs Middle Market Lending Corp. (5)
Goldman Sachs Middle Market Lending Corp. II (3)
Goldman Sachs Private Middle Market Credit II LLC (4)
Goldman Sachs Private Middle Market Credit LLC (6)
GOLUB CAPITAL BDC, Inc. (50)
Great Elm Capital Corp. (17)
Great Elm Capital Group, Inc. (51)
Greenhill & Co., Inc. (31)
Greenpro Capital Corp. (57)
GSV Capital Corp. (7)
Hamilton Lane INC (34)
Harvest Capital Credit Corp (11)
HENNESSY ADVISORS INC (21)
Hercules Capital, Inc. (64)
Heritage Global Inc. (128)
Horizon Technology Finance Corp (39)
HOULIHAN LOKEY, INC. (21)
Indo Global Exchange(s) Pte, Ltd. (7)
Interactive Brokers (11)
Intercontinental Exchange (53)
INTL FCStone Inc. (84)
Invesco Ltd. (27)
Investment Technology Group, Inc. (67)
Janus Henderson Group plc (5)
KCAP Financial, Inc. (23)
KKR & Co. Inc. (88)
Kyto Technology & Life Science, Inc. (3)
LADENBURG THALMANN FINANCIAL SERVICES INC. (63)
Lazard Ltd (49)
Legg Mason Inc (36)
LPL Financial Holdings Inc. (21)
Main Street Capital CORP (36)
Manning & Napier, Inc. (38)
MarketAxess Holdings Inc (32)
Medley Capital Corp (37)
MEDLEY MANAGEMENT INC. (15)
Moelis & Co (7)
MONROE CAPITAL Corp (9)
Moody's Corp (70)
Morgan Stanley (83)
MORGAN STANLEY ABS CAPITAL I INC CDC MOR CAP TR 2004-HE2 (2)
Morgan Stanley ABS Capital I Inc. Trust 2006-HE7 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-NC3 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-NC4 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-NC5 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-WMC2 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2012-C5 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2012-C6 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C10 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C11 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C12 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C13 (1)
MORGAN STANLEY BANK OF AMERICA MERRILL LYNCH TRUST 2013-C8 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C9 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2014-C17 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2014-C18 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2014-C19 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C21 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C22 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C24 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C25 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C26 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C27 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C28 (3)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C29 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C30 (3)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C32 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2017-C33 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2017-C34 (1)
Morgan Stanley Capital I Trust 2011-C3 (1)
Morgan Stanley Capital I Trust 2012-C4 (1)
Morgan Stanley Capital I Trust 2015-UBS8 (1)
Morgan Stanley Capital I Trust 2016-BNK2 (1)
Morgan Stanley Capital I Trust 2016-UBS11 (2)
Morgan Stanley Capital I Trust 2016-UBS12 (1)
Morgan Stanley Capital I Trust 2016-UBS9 (1)
Morgan Stanley Capital I Trust 2017-H1 (1)
Morgan Stanley Capital I Trust 2017-HR2 (1)
Morgan Stanley Capital I Trust 2018-H3 (1)
Morgan Stanley Capital I Trust 2018-H4 (1)
Morgan Stanley Capital I Trust 2018-L1 (1)
Morgan Stanley Capital I Trust 2019-H6 (1)
Morgan Stanley Capital I Trust 2019-H7 (1)
Morgan Stanley Capital I Trust 2019-L2 (1)
Morgan Stanley Capital I Trust 2019-L3 (1)
Morgan Stanley Capital I Trust 2020-HR8 (1)
Morgan Stanley Capital I Trust 2020-L4 (1)
Morgan Stanley Capital I Trust 2021-L5 (1)
Morgan Stanley Capital I Trust 2021-L6 (1)
Morgan Stanley Capital I Trust 2021-L7 (1)
Morgan Stanley Capital I Trust 2022-L8 (1)
Morgan Stanley Direct Lending Fund (14)
Morgan Stanley Finance LLC (1)
Morgan Stanley Mortgage Loan Trust 2007-4SL (1)
MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P. (4)
MORGAN STANLEY SMITH BARNEY CHARTER CAMPBELL LP (4)
MORGAN STANLEY SMITH BARNEY CHARTER WNT L.P. (4)
MORGAN STANLEY SMITH BARNEY SPECTRUM GLOBAL BALANCED LP (1)
MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (5)
MORGAN STANLEY SMITH BARNEY SPECTRUM STRATEGIC LP (4)
MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP (4)
Morgan Stanley Structured Trust I 2007-1 (1)
Morningstar, Inc. (11)
MSCI Inc (57)
MVC CAPITAL, INC. (31)
Nasdaq, Inc. (111)
NATIONAL HOLDINGS CORP (44)
Nebula Parent Corp. (13)
New Mountain Finance Corp (31)
NewHold Investment Corp. II (31)
Newtek Business Services Corp. (25)
Northern Trust Corp. (122)
Oaktree Specialty Lending Corp (55)
Oaktree Strategic Income Corp (27)
Och-Ziff Capital Management Group LLC (40)
OFS Capital Corp (32)
OPPENHEIMER HOLDINGS INC (1)
Owl Rock Capital Corp (36)
Oxford Square Capital Corp. (19)
P10, Inc. (11)
PennantPark Floating Rate Capital Ltd. (14)
PENNANTPARK INVESTMENT CORP (11)
Piper Jaffray Companies (67)
PJT Partners Inc. (7)
PROSPECT CAPITAL CORP (37)
Pzena Investment Management, Inc. (10)
QUOTEMEDIA INC (6)
RAND CAPITAL CORP (5)
Raymond James Financial Inc. (59)
Robinhood Markets, Inc. (19)
Runway Growth Credit Fund Inc. (25)
S&P Global, Inc. (48)
SAFEGUARD SCIENTIFICS INC (84)
SEI Investments Corp (20)
SIEBERT FINANCIAL CORP (15)
Silvercrest Asset Management Group Inc. (21)
Solar Capital Ltd. (22)
Solar Senior Capital Ltd. (9)
State Street Corp. (95)
Stellus Capital Investment Corp (17)
StepStone Group Inc. (12)
Stifel Financial Corp (32)
T. Rowe Price Group (2)
Tango Holdings, Inc. (5)
TCG BDC, INC. (9)
TD AMERITRADE HOLDING CORP (72)
The Bank of New York Mellon Corp. (47)
TPG Partners, LLC (11)
TPG Specialty Lending, Inc. (33)
Tradeweb Markets Inc. (14)
Trinity Capital Inc. (12)
TriplePoint Venture Growth BDC Corp. (13)
U S GLOBAL INVESTORS INC (8)
ValueSetters Inc. (26)
VetaNova Inc. (2)
Victory Capital Holdings, Inc. (11)
Virtu Financial, Inc. (36)
Virtus Investment Partners, Inc. (31)
VPC Impact Acquisition Holdings (27)
Waddell & Reed Financial, Inc. (57)
WESTWOOD HOLDINGS GROUP INC (3)
WhiteHorse Finance, Inc. (29)
WisdomTree Investments, Inc. (20)
Wright Investors Service Holdings, Inc. (6)

Recent Contracts

Credit Agreement, dated as of September 27, 2023, among Stifel Financial Corp. and Stifel Nicolaus & Company, Incorporated, the Lenders party thereto, and Bank of America, N.A (Stifel Financial Corp, Filed With SEC on September 28, 2023)
Equity Distribution Agreement. Dated September 22, 2023, by and among Horizon Technology Finance Corporation, Horizon Technology Finance Management, LLC, Goldman Sachs & Co. LLC... (Horizon Technology Finance Corp, Filed With SEC on September 22, 2023)
Ninth Supplemental Indenture dated as of September 12, 2023, among S&P Global Inc., Standard & Poors Financial Services LLC and U.S. Bank Trust Company, National Association, as... (S&P Global, Inc., Filed With SEC on September 12, 2023)
Registration Rights Agreement, dated as of September 12, 2023, among S&P Global Inc., BofA Securities, Inc. and Citigroup Global Markets Inc., as representatives of the initial... (S&P Global, Inc., Filed With SEC on September 12, 2023)
First Amendment to Participation Agreement, dated as of September 9, 2023, between Avantax, Inc. and Christopher W. Walters (Blucora, Inc., Filed With SEC on September 11, 2023)
Amendment No. 1 to Credit and Security Agreement among BlackRock Private Credit Fund Leverage I, LLC and PNC Bank, National Association as revolving lender, term lender, facility... (BlackRock Private Credit Fund, Filed With SEC on September 11, 2023)
Form of Indenture between BGC Group, Inc. and UMB Bank, N.A., as Trustee (BGC Partners, Inc., Filed With SEC on September 6, 2023)
Form of Fourth Supplemental Indenture between BGC Partners, Inc. and Computershare Trust Company, National Association, as successor to Wells Fargo Bank, National Association, as... (BGC Partners, Inc., Filed With SEC on September 6, 2023)
Form of First Supplemental Indenture between BGC Group, Inc. and UMB Bank, N.A., as Trustee, with respect to BGC Group, Inc.s 3.750% Senior Notes due 2024 (BGC Partners, Inc., Filed With SEC on September 6, 2023)
Form of Second Supplemental Indenture between BGC Group, Inc. and UMB Bank, N.A., as Trustee, with respect to BGC Group, Inc.s 4.375% Senior Notes due 2025 (BGC Partners, Inc., Filed With SEC on September 6, 2023)
Form of Third Supplemental Indenture between BGC Group, Inc. and UMB Bank, N.A., as Trustee, with respect to BGC Group, Inc.s 8.000% Senior Notes due 2028 (BGC Partners, Inc., Filed With SEC on September 6, 2023)
Fee Waiver Agreement between BlackRock TCP Capital Corp. and Tennenbaum Capital Partners, LLC, dated as of September 6, 2023 (BlackRock TCP Capital Corp., Filed With SEC on September 6, 2023)
Secured Promissory Note, dated August 31, 2023, between Greenhill & Co., Inc. and Mizuho Bank, Ltd (Greenhill & Co., Inc., Filed With SEC on September 1, 2023)
Fifth Amended and Restated Confirmation in respect of Repurchase Transactions, dated as of August 25, 2023 (BC Partners Lending Corp, Filed With SEC on August 30, 2023)
Underwriting Agreement, dated August 22, 2023, by and among CSC and BofA Securities, Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC,... (Charles Schwab Corporation, Filed With SEC on August 24, 2023)
Twenty-Third Supplemental Indenture, dated as of August 24, 2023, by and between CSC and The Bank of New York Mellon Trust Company, N.A., as Trustee (Charles Schwab Corporation, Filed With SEC on August 24, 2023)
Third Supplemental Indenture, dated August 24, 2023, between the Company and Equiniti Trust Company, LLC (f/k/a American Stock Transfer & Trust Company, LLC) (WhiteHorse Finance, Inc., Filed With SEC on August 24, 2023)
Underwriting Agreement, dated as of August 16, 2023, among Apollo Global Management, Inc. and Morgan Stanley & Co. LLC, BofA Securities, Inc., UBS Securities LLC and Wells Fargo... (Tango Holdings, Inc., Filed With SEC on August 23, 2023)
Indenture, dated as of August 23, 2023, among Apollo Global Management, Inc., the guarantors named therein and U.S. Bank Trust Company, National Association, as trustee (Tango Holdings, Inc., Filed With SEC on August 23, 2023)
Indenture, dated as of August 23, 2023, among Apollo Global Management, Inc., the guarantors named therein and U.S. Bank Trust Company, National Association, as trustee (Apollo Global Management LLC, Filed With SEC on August 23, 2023)
Underwriting Agreement, dated August 17, 2023, among WhiteHorse Finance, Inc., H.I.G. WhiteHorse Advisers, LLC, H.I.G. WhiteHorse Administration, LLC and Oppenheimer & Co. Inc.,... (WhiteHorse Finance, Inc., Filed With SEC on August 21, 2023)
Form of certificate representing the Series W Preferred Stock (Goldman Sachs, Filed With SEC on August 18, 2023)
Form of 2023 Restricted Stock Unit Award Agreement without Retirement Vesting (3 Year Cliff Vest) (Cboe Global Markets, Filed With SEC on August 18, 2023)
Form of 2023 Restricted Stock Unit Award Agreement with Vesting Dates (Cboe Global Markets, Filed With SEC on August 18, 2023)
Fifth Supplemental Indenture between Gladstone Capital Corporation and U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association),... (GLADSTONE CAPITAL CORP, Filed With SEC on August 17, 2023)
Fifth Supplemental Indenture, dated as of August 16, 2023, between Great Elm Capital Corp. and Equiniti Trust Company, LLC (f/k/a American Stock Transfer & Trust Company, LLC), as... (Great Elm Capital Corp., Filed With SEC on August 16, 2023)
Global Note (8.75% Note Due 2028) (Great Elm Capital Corp., Filed With SEC on August 16, 2023)
Seventh Supplemental Indenture, dated as of August 15, 2023, relating to the 7.100% Notes due 2029, between the Company and Deutsche Bank Trust Company Americas, as trustee (Oaktree Specialty Lending Corp, Filed With SEC on August 15, 2023)
Underwriting Agreement, dated August 9, 2023, by and among Blackstone Secured Lending Fund, Blackstone Credit BDC Advisors LLC, Blackstone Alternative Credit Advisors LP and Wells... (Blackstone / GSO Secured Lending Fund, Filed With SEC on August 14, 2023)
Fourth Supplemental Indenture, dated as of August 14, 2023, between Sixth Street Specialty Lending, Inc. and Computershare Trust Company, N.A., as successor to Wells Fargo Bank,... (TPG Specialty Lending, Inc., Filed With SEC on August 14, 2023)
Equity Distribution Agreement, dated August 11, 2023, by and among Stellus Capital Investment Corporation and Stellus Capital Management, LLC, on the one hand, and Keefe, Bruyette... (Stellus Capital Investment Corp, Filed With SEC on August 14, 2023)
Underwriting Agreement, dated as of August 10, 2023, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Piper Sandler & Co., as... (GLADSTONE CAPITAL CORP, Filed With SEC on August 11, 2023)
Amendment No. 1, dated August 11, 2023, to Equity Distribution Agreement by and among Fidus Investment Corporation and Fidus Investment Advisors, LLC, on the one hand, and Raymond... (FIDUS INVESTMENT Corp, Filed With SEC on August 11, 2023)
Underwriting Agreement, dated August 7, 2023, by and among the Company, the Adviser and the Underwriters (TPG Specialty Lending, Inc., Filed With SEC on August 10, 2023)
Underwriting Agreement, dated August 7, 2023, by and among Hercules Capital, Inc. and Morgan Stanley & Co. LLC, UBS Securities LLC and Wells Fargo Securities, LLC as... (Hercules Capital, Inc., Filed With SEC on August 10, 2023)
Pledge and Security Agreement, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (Heritage Global Inc., Filed With SEC on August 10, 2023)
Business Loan Agreement, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (Heritage Global Inc., Filed With SEC on August 10, 2023)
Promissory Note, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (Heritage Global Inc., Filed With SEC on August 10, 2023)
Loan Modification Agreement and Reaffirmation of Loan, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (Heritage Global Inc., Filed With SEC on August 10, 2023)
Amended and Restated Promissory Note, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (Heritage Global Inc., Filed With SEC on August 10, 2023)