Equity Distribution Agreements in the Diversified Financial Services Industry

106 Contracts & Agreements
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Performance-Based Restricted Stock Unit Agreement between Standard Premium Finance Holdings, Inc. and Brian Krogol
Equity Distribution Agreements
STANDARD PREMIUM FINANCE HOLDINGS, INC.
Diversified Financial Services
FL
2025
Restricted Stock Unit Agreement between Standard Premium Finance Holdings, Inc. and William Koppelmann (March 31, 2025)
Equity Distribution Agreements
STANDARD PREMIUM FINANCE HOLDINGS, INC.
Diversified Financial Services
FL
2025
Alerus Financial Corporation 2019 Equity Incentive Plan Time-Based Restricted Stock Unit Award Agreement
Equity Distribution Agreements
ALERUS FINANCIAL CORP
Diversified Financial Services
DE
2025
Description of Securities Registered Under Section 12 of the Securities Exchange Act of 1934 – Compass Diversified Holdings
Equity Distribution Agreements
Compass Group Diversified Holdings LLC
Diversified Financial Services
2025
Description of Jackson Financial Inc. Securities Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Jackson Financial Inc.
Diversified Financial Services
2025
Description of Sundance Strategies, Inc. Common Stock Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Sundance Strategies, Inc.
Diversified Financial Services
2025
Description of AllianceBernstein L.P. and AllianceBernstein Holding L.P. Units and Unitholder Rights
Equity Distribution Agreements
ALLIANCEBERNSTEIN L.P.
Diversified Financial Services
2025
Description of Securities Registered Under Section 12 – Jefferies Financial Group Inc.
Equity Distribution Agreements
Jefferies Financial Group Inc.
Diversified Financial Services
2025
Dealer-Manager Agreement between FlexShopper Inc. and Moody Capital Solutions, Inc. (December 2, 2024)
Equity Distribution Agreements
FlexShopper, Inc.
Diversified Financial Services
NY
2024
Description of Registered Securities of Golub Capital Direct Lending Unlevered Corporation as of September 30, 2024
Equity Distribution Agreements
Golub Capital Direct Lending Unlevered Corp
Diversified Financial Services
2024
Description of Sundance Strategies, Inc. Common Stock Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Sundance Strategies, Inc.
Diversified Financial Services
2024
Amended and Restated At Market Issuance Sales Agreement among Compass Group Diversified Holdings LLC, Compass Diversified Holdings, Compass Group Management LLC, B. Riley...
Equity Distribution Agreements
Compass Group Diversified Holdings LLC
Diversified Financial Services
DE
2024
Amended and Restated At Market Issuance Sales Agreement between Compass Diversified Holdings, Compass Group Diversified Holdings LLC, Compass Group Management LLC, and B. Riley...
Equity Distribution Agreements
Compass Group Diversified Holdings LLC
Diversified Financial Services
DE
2024
Description of Sundance Strategies, Inc. Common Stock Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Sundance Strategies, Inc.
Diversified Financial Services
2024
Description of Beneficient Capital Stock Registered Under Section 12 of the Securities Exchange Act of 1934
Equity Distribution Agreements
Beneficient Co Group, L.P.
Diversified Financial Services
2024
At Market Issuance Sales Agreement between Compass Diversified Holdings, Compass Group Diversified Holdings LLC, Compass Group Management LLC, and B. Riley Securities, Inc. (March...
Equity Distribution Agreements
Compass Group Diversified Holdings LLC
Diversified Financial Services
DE
2024
Description of Jackson Financial Inc. Securities Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Jackson Financial Inc.
Diversified Financial Services
2024
Description of Equitable Holdings, Inc. Securities Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
AXA Equitable Holdings, Inc.
Diversified Financial Services
2024
Description of AllianceBernstein L.P. and AllianceBernstein Holding L.P. Units and Unitholder Rights
Equity Distribution Agreements
ALLIANCEBERNSTEIN L.P.
Diversified Financial Services
2024
Description of Securities Registered Under Section 12 – Jefferies Financial Group Inc.
Equity Distribution Agreements
Jefferies Financial Group Inc.
Diversified Financial Services
2024
Description of Registered Securities of Golub Capital Direct Lending Unlevered Corporation
Equity Distribution Agreements
Golub Capital Direct Lending Unlevered Corp
Diversified Financial Services
2023
Athena Bitcoin Global 2021 Equity Compensation Plan Restricted Stock Unit Agreement with Shaun Overton
Equity Distribution Agreements
Athena Bitcoin Global
Diversified Financial Services
2023
Description of A-Mark Precious Metals, Inc. Common Stock Registered under Section 12 of the Exchange Act
Equity Distribution Agreements
A-Mark Precious Metals, Inc.
Diversified Financial Services
2023
2023 Director Restricted Share Unit Agreement between Jackson Financial Inc. and Director
Equity Distribution Agreements
Jackson Financial Inc.
Diversified Financial Services
MI
2023
Description of Beneficient Capital Stock Registered Under Section 12 of the Securities Exchange Act of 1934
Equity Distribution Agreements
Beneficient Co Group, L.P.
Diversified Financial Services
2023
Standby Equity Purchase Agreement between Beneficient and YA II PN, LTD. dated June 27, 2023
Equity Distribution Agreements
Beneficient Co Group, L.P.
Diversified Financial Services
NY
2023
Equity Distribution Agreement between LM Funding America, Inc. and Maxim Group LLC (June 26, 2023)
Equity Distribution Agreements
LM FUNDING AMERICA, INC.
Diversified Financial Services
NY
2023
Description of Equitable Holdings, Inc. Securities Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
AXA Equitable Holdings, Inc.
Diversified Financial Services
2023
Description of AllianceBernstein L.P. and AllianceBernstein Holding L.P. Units and Unitholder Rights
Equity Distribution Agreements
ALLIANCEBERNSTEIN L.P.
Diversified Financial Services
2023
Description of Securities Registered under Section 12 – Jefferies Financial Group Inc.
Equity Distribution Agreements
Jefferies Financial Group Inc.
Diversified Financial Services
2023
Description of Registered Securities of Golub Capital Direct Lending Unlevered Corporation
Equity Distribution Agreements
Golub Capital Direct Lending Unlevered Corp
Diversified Financial Services
2022
Description of Registered Securities of Golub Capital Direct Lending Corporation as of September 30, 2022
Equity Distribution Agreements
GOLUB CAPITAL DIRECT LENDING CORP
Diversified Financial Services
2022
Open Market Sale Agreement between Jefferies Financial Group Inc. and Jefferies LLC (November 1, 2022)
Equity Distribution Agreements
Jefferies Financial Group Inc.
Diversified Financial Services
NY
2022
Jefferies Financial Group Inc. Global Medium Term Notes, Series A Distribution Agreement with Jefferies LLC (November 1, 2022)
Equity Distribution Agreements
Jefferies Financial Group Inc.
Diversified Financial Services
NY
2022
Jackson Financial Inc. 2022 Director Restricted Shares Award Agreement
Equity Distribution Agreements
Jackson Financial Inc.
Diversified Financial Services
MI
2022
Jackson Financial Inc. Equity Award Exchange Notice for Former Prudential Employees
Equity Distribution Agreements
Jackson Financial Inc.
Diversified Financial Services
2022
Equity Award Exchange Notice and Award Certificate between Jackson Financial Inc. and Prudential plc
Equity Distribution Agreements
Jackson Financial Inc.
Diversified Financial Services
2022
Jefferies Financial Group Inc. Leadership Continuity Grant Restricted Stock Units Agreement
Equity Distribution Agreements
Jefferies Financial Group Inc.
Diversified Financial Services
2022
Jefferies Financial Group Inc. Three-Year Cliff Vest Restricted Stock Units Agreement
Equity Distribution Agreements
Jefferies Financial Group Inc.
Diversified Financial Services
2022
Jackson Financial Inc. Equity Award Exchange Notice and Award Certificate for Marcia L. Wadsten
Equity Distribution Agreements
Jackson Financial Inc.
Diversified Financial Services
2022