Equity Distribution Agreements in the Capital Markets Industry

852 Contracts & Agreements

Browse by Company

AFFILIATED MANAGERS GROUP, INC. (36 contracts)
ALLIANCEBERNSTEIN HOLDING L.P. (9)
ALTIMAR ACQUISITION CORP. (2)
Ameriprise Financial (1)
Apollo Global Management LLC (13)
APOLLO INVESTMENT CORP (1)
ARES CAPITAL CORP (36)
Ares Management Corp (14)
Artisan Partners Asset Management Inc. (2)
Ascendant Digital Acquisition Corp. (3)
Ashford Inc. (7)
AssetMark Financial Holdings, Inc. (4)
Associated Capital Group, Inc. (1)
B. Riley Financial, Inc. (8)
Bain Capital Specialty Finance, Inc. (1)
Barings BDC, Inc. (1)
BC Partners Lending Corp (1)
BGC Partners, Inc. (8)
BlackRock (6)
BlackRock Direct Lending Corp. (1)
Blackstone / GSO Secured Lending Fund (6)
Blackstone Group L.P. (1)
Blackstone Private Credit Fund (2)
Blackstone Private Equity Strategies Fund L.P. (1)
Blucora, Inc. (6)
Bridge Investment Group Holdings Inc. (1)
BrightSphere Investment Group Inc. (3)
CAPITAL SOUTHWEST CORP (16)
Capitala Finance Corp. (1)
Carlyle Group L.P. (1)
CERES TACTICAL SYSTEMATIC L.P. (2)
Charles Schwab Corporation (16)
CION Investment Corp (7)
CME Group Inc. (9)
Cohen & Co Inc. (8)
COHEN & STEERS INC (1)
Coinbase Global, Inc. (2)
CONCIERGE TECHNOLOGIES INC (1)
ContextLogic Inc. (3)
COWEN INC. (8)
DIAMOND HILL INVESTMENT GROUP INC (1)
Donnelley Financial Solutions, Inc. (3)
E*Trade (5)
ENDI Corp. (4)
Evercore (9)
Federated Investors (3)
FIDUS INVESTMENT Corp (4)
FinTech Acquisition Corp. IV (5)
Focus Financial Partners Inc. (2)
Franklin Resources (4)
Freedom Holding Corp. (11)
FS KKR Capital Corp (7)
GAIN Capital Holdings, Inc. (4)
Garrison Capital Inc. (1)
GLADSTONE CAPITAL CORP (4)
GLADSTONE INVESTMENT CORPORATION (13)
GlassBridge Enterprises, Inc. (4)
Goldman Sachs (64)
Goldman Sachs BDC, Inc. (4)
Goldman Sachs Private Credit Corp. (1)
GOLUB CAPITAL BDC, Inc. (6)
Great Elm Capital Corp. (4)
Great Elm Capital Group, Inc. (3)
GSV Capital Corp. (5)
Hamilton Lane INC (2)
Harvest Capital Credit Corp (1)
HENNESSY ADVISORS INC (1)
Hercules Capital, Inc. (10)
Heritage Global Inc. (3)
Horizon Technology Finance Corp (8)
Interactive Brokers (1)
Intercontinental Exchange (3)
INTL FCStone Inc. (4)
Invesco Ltd. (1)
Investment Technology Group, Inc. (30)
Janus Henderson Group plc (3)
KCAP Financial, Inc. (2)
KKR & Co. Inc. (21)
LADENBURG THALMANN FINANCIAL SERVICES INC. (7)
Lazard Ltd (5)
Legg Mason Inc (5)
LPL Financial Holdings Inc. (13)
Main Street Capital CORP (5)
Manning & Napier, Inc. (5)
MarketAxess Holdings Inc (31)
Medley Capital Corp (1)
MONROE CAPITAL Corp (1)
Moody's Corp (3)
Morgan Stanley (14)
Morgan Stanley Direct Lending Fund (5)
MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (1)
Morningstar, Inc. (2)
MSCI Inc (12)
Nasdaq, Inc. (22)
NATIONAL HOLDINGS CORP (1)
Nebula Parent Corp. (1)
New Mountain Finance Corp (9)
Newtek Business Services Corp. (2)
Northern Trust Corp. (20)
Oaktree Specialty Lending Corp (7)
Och-Ziff Capital Management Group LLC (6)
OFS Capital Corp (4)
Owl Rock Capital Corp (3)
Oxford Square Capital Corp. (6)
P10, Inc. (1)
PennantPark Floating Rate Capital Ltd. (13)
PENNANTPARK INVESTMENT CORP (2)
PJT Partners Inc. (3)
PRINCETON CAPITAL CORP (1)
PROSPECT CAPITAL CORP (8)
Pzena Investment Management, Inc. (4)
Raymond James Financial Inc. (4)
Robinhood Markets, Inc. (4)
S&P Global, Inc. (3)
SAFEGUARD SCIENTIFICS INC (5)
SEI Investments Corp (2)
Silvercrest Asset Management Group Inc. (3)
Solar Capital Ltd. (3)
Solar Senior Capital Ltd. (2)
State Street Corp. (7)
Stellus Capital Investment Corp (6)
StepStone Group Inc. (3)
Stifel Financial Corp (6)
T. Rowe Price Group (1)
Tango Holdings, Inc. (9)
TCG BDC, INC. (2)
TD AMERITRADE HOLDING CORP (10)
The Bank of New York Mellon Corp. (5)
TPG Partners, LLC (5)
TPG Specialty Lending, Inc. (1)
Tradeweb Markets Inc. (1)
Trinity Capital Inc. (9)
TriplePoint Venture Growth BDC Corp. (1)
ValueSetters Inc. (1)
Victory Capital Holdings, Inc. (1)
Virtu Financial, Inc. (3)
VPC Impact Acquisition Holdings (1)
Waddell & Reed Financial, Inc. (11)
WhiteHorse Finance, Inc. (3)
WisdomTree Investments, Inc. (6)

Recent Contracts

Category

Company

Industry

Jur. Jurisdiction

Filed

Gladstone Investment Corporation $75 Million Common Stock Sales Agreement with M&T Securities, Inc.

Equity Distribution Agreements

GLADSTONE INVESTMENT CORPORATION

Capital Markets

2025

First Amendment to Sales Agreement among Gladstone Investment Corporation, Gladstone Management Corporation, Gladstone Administration, LLC, and Virtu Americas LLC

Equity Distribution Agreements

GLADSTONE INVESTMENT CORPORATION

Capital Markets

2025

First Amendment to Sales Agreement among Gladstone Investment Corporation, Gladstone Management Corporation, Gladstone Administration, LLC, and B. Riley Securities, Inc.

Equity Distribution Agreements

GLADSTONE INVESTMENT CORPORATION

Capital Markets

2025

First Amendment to Sales Agreement among Gladstone Investment Corporation, Gladstone Management Corporation, Gladstone Administration, LLC, and Oppenheimer & Co. Inc.

Equity Distribution Agreements

GLADSTONE INVESTMENT CORPORATION

Capital Markets

2025

Description of StepStone Group Inc. Securities Registered Under Section 12 of the Exchange Act

Equity Distribution Agreements

StepStone Group Inc.

Capital Markets

2025

Second Amendment to Equity Distribution Agreement among Golub Capital BDC, Inc., GC Advisors LLC, Golub Capital LLC, Keefe, Bruyette & Woods, Inc., and Regions Securities LLC

Equity Distribution Agreements

GOLUB CAPITAL BDC, Inc.

Capital Markets

2025

Carlyle Group Inc. Global Restricted Stock Unit Agreement under 2012 Equity Incentive Plan

Equity Distribution Agreements

Carlyle Group L.P.

Capital Markets

2025

FS KKR Capital Corp. Equity Distribution Agreement with Distribution Manager

Equity Distribution Agreements

FS KKR Capital Corp

Capital Markets

2025

LPL Financial Holdings Inc. Performance Stock Unit Award Agreement under 2021 Omnibus Equity Incentive Plan

Equity Distribution Agreements

LPL Financial Holdings Inc.

Capital Markets

2025

2025 Performance Stock Unit Agreement for U.K. Based Executive Officers under MarketAxess Holdings Inc. 2020 Equity Incentive Plan

Equity Distribution Agreements

MarketAxess Holdings Inc

Capital Markets

2025

2025 Restricted Stock Unit Agreement for U.K.-Based Executive Officers under MarketAxess Holdings Inc. 2020 Equity Incentive Plan

Equity Distribution Agreements

MarketAxess Holdings Inc

Capital Markets

2025

MarketAxess Holdings Inc. 2025 Performance Stock Unit Agreement for U.S. Executive Officers

Equity Distribution Agreements

MarketAxess Holdings Inc

Capital Markets

2025

MarketAxess Holdings Inc. 2025 Restricted Stock Unit Agreement (Non-Deferred) for Mr. McVey

Equity Distribution Agreements

MarketAxess Holdings Inc

Capital Markets

2025

MarketAxess Holdings Inc. 2025 Restricted Stock Unit Agreement for U.S. Executive Officers

Equity Distribution Agreements

MarketAxess Holdings Inc

Capital Markets

2025

Equity Distribution Agreement between Great Elm Capital Corp. and Lucid Capital Markets, LLC (May 6, 2025)

Equity Distribution Agreements

Great Elm Capital Corp.

Capital Markets

2025

Fourth Amendment to Equity Distribution Agreement among Oaktree Specialty Lending Corporation, Oaktree Fund Advisors, Oaktree Fund Administration, and Placement Agents

Equity Distribution Agreements

Oaktree Specialty Lending Corp

Capital Markets

2025

Northern Trust Corporation 2017 Long-Term Incentive Plan Restricted Stock Unit Terms and Conditions

Equity Distribution Agreements

Northern Trust Corp.

Capital Markets

2025

Morgan Stanley Direct Lending Fund Equity Distribution Agreement with [Manager] for Up to $300,000,000 Common Stock

Equity Distribution Agreements

Morgan Stanley Direct Lending Fund

Capital Markets

2025

Equity Distribution Agreement between Carlyle Secured Lending, Inc. and Sales Agents (March 28, 2025)

Equity Distribution Agreements

TCG BDC, INC.

Capital Markets

2025

Heritage Global Inc. Restricted Stock Award Agreement under 2022 Equity Incentive Plan (Employees)

Equity Distribution Agreements

Heritage Global Inc.

Capital Markets

2025

Description of CĪON Investment Corporation’s Registered Securities under Section 12 of the Exchange Act

Equity Distribution Agreements

CION Investment Corp

Capital Markets

2025

Description of Cohen & Company Inc. Common Stock Registered Under Section 12 of the Exchange Act

Equity Distribution Agreements

Cohen & Co Inc.

Capital Markets

2025

Equity Distribution Agreement between The Marygold Companies, Inc. and Maxim Group LLC (March 7, 2025)

Equity Distribution Agreements

CONCIERGE TECHNOLOGIES INC

Capital Markets

2025

Description of Securities Registered Under Section 12 of the Exchange Act – Great Elm Capital Corp.

Equity Distribution Agreements

Great Elm Capital Corp.

Capital Markets

2025

Affiliated Managers Group, Inc. $500 Million Equity Distribution Agreement with Multiple Agents and Forward Purchasers (March 2025)

Equity Distribution Agreements

AFFILIATED MANAGERS GROUP, INC.

Capital Markets

2025

Master Confirmation for Registered Forward Transactions between Affiliated Managers Group, Inc. and Dealer

Equity Distribution Agreements

AFFILIATED MANAGERS GROUP, INC.

Capital Markets

2025

Main Street Capital Corporation Equity Distribution Agreement with [Bank Name]

Equity Distribution Agreements

Main Street Capital CORP

Capital Markets

2025

Description of Securities Registered under Section 12 – Oxford Square Capital Corp. (OXSQ)

Equity Distribution Agreements

Oxford Square Capital Corp.

Capital Markets

2025

Equity Distribution Agreement among Bain Capital Specialty Finance, Inc., BCSF Advisors, LP, and Manager

Equity Distribution Agreements

Bain Capital Specialty Finance, Inc.

Capital Markets

2025

Description of Securities Registered Under Section 12 of the Exchange Act – Horizon Technology Finance Corporation

Equity Distribution Agreements

Horizon Technology Finance Corp

Capital Markets

2025

Equity Distribution Agreement between Sixth Street Specialty Lending, Inc. and [Manager]

Equity Distribution Agreements

TPG Specialty Lending, Inc.

Capital Markets

2025

Equity Distribution Agreement between SLR Investment Corp. and Raymond James & Associates, Citizens JMP Securities, and Jefferies LLC

Equity Distribution Agreements

Solar Capital Ltd.

Capital Markets

2025

Goldman Sachs Group, Inc. Performance-Based RSU Award Agreement under 2021 Stock Incentive Plan

Equity Distribution Agreements

Goldman Sachs

Capital Markets

2025

Goldman Sachs Group, Inc. Performance-Based RSU Award Agreement under 2021 Stock Incentive Plan

Equity Distribution Agreements

Goldman Sachs

Capital Markets

2025

Description of Registered Common Stock of The Bank of New York Mellon Corporation as of December 31, 2024

Equity Distribution Agreements

The Bank of New York Mellon Corp.

Capital Markets

2025

Goldman Sachs Group, Inc. Short-Term RSU Award Agreement under 2021 Stock Incentive Plan

Equity Distribution Agreements

Goldman Sachs

Capital Markets

2025

Goldman Sachs Group, Inc. Year-End RSU Award Agreement under 2021 Stock Incentive Plan

Equity Distribution Agreements

Goldman Sachs

Capital Markets

2025

Goldman Sachs Group, Inc. Year-End RSU Award Agreement under 2021 Stock Incentive Plan

Equity Distribution Agreements

Goldman Sachs

Capital Markets

2025

Goldman Sachs Group, Inc. Outside Director RSU Award Agreement under 2021 Stock Incentive Plan

Equity Distribution Agreements

Goldman Sachs

Capital Markets

2025

Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934 – The Goldman Sachs Group, Inc.

Equity Distribution Agreements

Goldman Sachs

Capital Markets

2025