LADENBURG THALMANN FINANCIAL SERVICES INC. Business Finance Contracts & Agreements

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Filed
Fourth Supplemental Indenture, dated as of May 29, 2019, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2019
Underwriting Agreement, dated as of May 21, 2019, by and among the Company and UBS Securities LLC, Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, as representatives of the...
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2019
Form of 7.25% Senior Note due 2028 issued to Phillip Frost, M.D. and Frost Nevada Investments Trust
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Promissory Note, dated as of August 31, 2018, issued by Ladenburg Thalmann Annuity Insurance Services LLC to Kestler Financial Group, Inc
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
VA
2018
Asset Purchase Agreement, dated as of August 31, 2018, by and among Kestler Financial Group, Inc., Jason A. Kestler and Ladenburg Thalmann Annuity Insurance Services LLC
Purchase Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2018
Third Supplemental Indenture, dated as of August 16, 2018, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Underwriting Agreement, dated as of August 9, 2018, by and among the Company and Morgan Stanley & Co. LLC, UBS Securities LLC and Ladenburg Thalmann & Co. Inc., as representatives...
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Note Distribution Agreement, dated as of June 22, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the sales agents named therein
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Equity Distribution Agreement, dated June 11, 2018, between Ladenburg Thalmann Financial Services Inc., Ladenburg Thalmann & Co. Inc. and Barrington Research Associates, Inc
Equity Distribution Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Second Supplemental Indenture, dated as of May 30, 2018, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2018
Underwriting Agreement, dated as of May 22, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the several underwriters named therein
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Forgivable Loan Termination Agreement, dated as of May 8, 2018, between the Company and National Financial Services LLC
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
Note Distribution Agreement, dated as of February 15, 2018, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the agents named therein
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2018
First Supplemental Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2017
Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as Trustee
Indenture Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Underwriting Agreement, dated as of November 14, 2017, between the Company and Ladenburg Thalmann & Co. Inc., as representative of the several underwriters named therein
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
Credit Agreement, dated as of November 8, 2017, by and between the Company and Frost Gamma Investments Trust, including the form of note thereto
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2017
LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 8,000,000 Shares of 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2017
AMENDMENT NO. 3 TO CREDIT AGREEMENT
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2016
STOCK PLEDGE AGREEMENT
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
SECURED NON-NEGOTIABLE PROMISSORY NOTE Short Term Note
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
SECURED NON-NEGOTIABLE PROMISSORY NOTE Balance Note
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
SECURED NON-NEGOTIABLE PROMISSORY NOTE Cap Note
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 3,400,000 Shares of 8.00%Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
NOTE: PORTIONS OF THIS EXHIBIT ARE THE SUBJECT OF A CONFIDENTIAL TREATMENT REQUEST BY THE REGISTRANT TO THE SECURITIES AND EXCHANGE COMMISSION (COMMISSION). SUCH PORTIONS HAVE...
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NE
2014
NON-NEGOTIABLE PROMISSORY NOTE
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
STOCK PURCHASE AGREEMENT by and among KMS Financial Services, Inc., the Shareholders of KMS Financial Services, Inc. and Ladenburg Thalmann Financial Services Inc. Dated as of...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2014
Ladenburg Thalmann Financial Services Inc. 4,600,000 Shares 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) Underwriting Agreement
Underwriting Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2013
NOTE: PORTIONS OF THIS EXHIBIT ARE THESUBJECT OF A CONFIDENTIAL TREATMENT REQUEST BY THE REGISTRANT TO THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION").SUCH PORTIONS HAVE...
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
NY
2012
FIRST AMENDMENT TO FORGIVABLE LOAN AGREEMENT
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2012
NON-NEGOTIABLE PROMISSORY NOTE
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
LOAN AGREEMENT
Loan Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
WARRANT TO PURCHASE COMMON STOCK LADENBURG THALMANN FINANCIAL SERVICES INC.
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2011
AMENDMENT NO. 2 TO CREDIT AGREEMENT
Credit Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2011
STOCK PURCHASE AGREEMENT by and between AMERIPRISE FINANCIAL, INC. and LADENBURG THALMANN FINANCIAL SERVICES INC. dated as of August 16, 2011
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
CA
2011
Share Pledge Agreement
Share Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2008
NON-NEGOTIABLE PROMISSORY NOTE
Note Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2008
WARRANT TO PURCHASE COMMON STOCK LADENBURG THALMANN FINANCIAL SERVICES INC. EXPIRING OCTOBER 19, 2017 (THE EXPIRATION DATE)
Warrant Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2007
STOCK PURCHASE AGREEMENT among LADENBURG THALMANN FINANCIAL SERVICES INC., THE INVESTACORP COMPANIES, THE VIA COMPANIES and BRUCE ZWIGARD and BRUCE A. ZWIGARD GRANTOR RETAINED...
Stock Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2007
PLEDGE AGREEMENT
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2007