LADENBURG THALMANN FINANCIAL SERVICES INC. Business Finance Contracts & Agreements
63 Contracts & Agreements
- Credit Agreements (4 contracts)
- Equity Distribution Agreements (1)
- Exchange Agreements (1)
- Indenture Agreements (5)
- Loan Agreements (4)
- Note Agreements (12)
- Pledge Agreements (1)
- Purchase Agreements (1)
- Share Agreements (1)
- Stock Agreements (13)
- Subscription Agreements (10)
- Underwriting Agreements (5)
- Warrant Agreements (5)
- Fourth Supplemental Indenture, dated as of May 29, 2019, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on May 29, 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... (Filed With SEC on May 23, 2019)
- Form of 7.25% Senior Note due 2028 issued to Phillip Frost, M.D. and Frost Nevada Investments Trust (Filed With SEC on December 26, 2018)
- Promissory Note, dated as of August 31, 2018, issued by Ladenburg Thalmann Annuity Insurance Services LLC to Kestler Financial Group, Inc (Filed With SEC on September 7, 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 (Filed With SEC on September 7, 2018)
- Third Supplemental Indenture, dated as of August 16, 2018, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on August 16, 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... (Filed With SEC on August 13, 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 (Filed With SEC on June 22, 2018)
- Equity Distribution Agreement, dated June 11, 2018, between Ladenburg Thalmann Financial Services Inc., Ladenburg Thalmann & Co. Inc. and Barrington Research Associates, Inc (Filed With SEC on June 12, 2018)
- Second Supplemental Indenture, dated as of May 30, 2018, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on May 30, 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 (Filed With SEC on May 23, 2018)
- Forgivable Loan Termination Agreement, dated as of May 8, 2018, between the Company and National Financial Services LLC (Filed With SEC on May 9, 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 (Filed With SEC on February 16, 2018)
- First Supplemental Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on November 21, 2017)
- Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as Trustee (Filed With SEC on November 21, 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 (Filed With SEC on November 16, 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 (Filed With SEC on November 9, 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... (Filed With SEC on May 22, 2017)
- AMENDMENT NO. 3 TO CREDIT AGREEMENT (Filed With SEC on March 15, 2016)
- STOCK PLEDGE AGREEMENT (Filed With SEC on January 6, 2015)
- SECURED NON-NEGOTIABLE PROMISSORY NOTE Short Term Note (Filed With SEC on January 6, 2015)
- SECURED NON-NEGOTIABLE PROMISSORY NOTE Balance Note (Filed With SEC on January 6, 2015)
- SECURED NON-NEGOTIABLE PROMISSORY NOTE Cap Note (Filed With SEC on January 6, 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... (Filed With SEC on November 21, 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... (Filed With SEC on November 20, 2014)
- NON-NEGOTIABLE PROMISSORY NOTE (Filed With SEC on October 16, 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... (Filed With SEC on October 16, 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 (Filed With SEC on May 24, 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... (Filed With SEC on March 15, 2012)
- FIRST AMENDMENT TO FORGIVABLE LOAN AGREEMENT (Filed With SEC on March 15, 2012)
- NON-NEGOTIABLE PROMISSORY NOTE (Filed With SEC on November 9, 2011)
- LOAN AGREEMENT (Filed With SEC on November 9, 2011)
- WARRANT TO PURCHASE COMMON STOCK LADENBURG THALMANN FINANCIAL SERVICES INC. (Filed With SEC on November 9, 2011)
- AMENDMENT NO. 2 TO CREDIT AGREEMENT (Filed With SEC on August 18, 2011)
- STOCK PURCHASE AGREEMENT by and between AMERIPRISE FINANCIAL, INC. and LADENBURG THALMANN FINANCIAL SERVICES INC. dated as of August 16, 2011 (Filed With SEC on August 18, 2011)
- Share Pledge Agreement (Filed With SEC on August 14, 2008)
- NON-NEGOTIABLE PROMISSORY NOTE (Filed With SEC on August 14, 2008)
- WARRANT TO PURCHASE COMMON STOCK LADENBURG THALMANN FINANCIAL SERVICES INC. EXPIRING OCTOBER 19, 2017 (THE EXPIRATION DATE) (Filed With SEC on October 22, 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... (Filed With SEC on October 22, 2007)
- PLEDGE AGREEMENT (Filed With SEC on October 22, 2007)