Investment Agreements in the Capital Markets Industry

96 Contracts & Agreements

Browse by Company

Ares Management Corp (5 contracts)
B. Riley Financial, Inc. (1)
BGC Partners, Inc. (1)
Blackstone Private Equity Strategies Fund L.P. (2)
Bridge Investment Group Holdings Inc. (4)
BrightSphere Investment Group Inc. (2)
CAPITAL SOUTHWEST CORP (1)
CERES ABINGDON L.P. (3)
CERES ORION L.P. (6)
Ceres Tactical Commodity L.P. (3)
CERES TACTICAL CURRENCY L.P. (4)
CERES TACTICAL SYSTEMATIC L.P. (5)
Chineseinvestors.com, Inc. (1)
CM Finance Inc (1)
Cohen & Co Inc. (11)
Franklin Resources (1)
GLADSTONE INVESTMENT CORPORATION (2)
Great Elm Capital Group, Inc. (2)
Hamilton Lane INC (1)
Investment Technology Group, Inc. (3)
MEDLEY MANAGEMENT INC. (1)
Morgan Stanley (1)
MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P. (3)
MORGAN STANLEY SMITH BARNEY CHARTER CAMPBELL LP (3)
MORGAN STANLEY SMITH BARNEY CHARTER WNT L.P. (3)
MORGAN STANLEY SMITH BARNEY SPECTRUM GLOBAL BALANCED LP (1)
MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (4)
MORGAN STANLEY SMITH BARNEY SPECTRUM STRATEGIC LP (3)
MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP (3)
Solar Capital Ltd. (1)
StepStone Group Inc. (1)
Virtu Financial, Inc. (5)
Virtus Investment Partners, Inc. (1)
Waddell & Reed Financial, Inc. (6)
WESTWOOD HOLDINGS GROUP INC (1)

Recent Contracts

Amended and Restated Warehousing Agreement, dated as of November 3, 2023, by and among Blackstone Holdings Finance Co. L.L.C., Blackstone Private Investment Advisors L.L.C.,... (Blackstone Private Equity Strategies Fund L.P., Filed With SEC on March 15, 2024)
Transaction Agreement, dated February 7, 2024, by and among StepStone Group Inc., StepStone Group LP, StepStone Europe Limited, Swiss Capital Alternative Investments AG, Marcel... (StepStone Group Inc., Filed With SEC on February 8, 2024)
Incremental Commitment and Assumption Agreement dated December 7, 2023 among Capital Southwest Corporation, as borrower, Capital Southwest Equity Investments, Inc, as a Subsidiary... (CAPITAL SOUTHWEST CORP, Filed With SEC on December 7, 2023)
Amendment No. 2 to Investment Agreement, date February 13, 2023, by and between Cohen and Company, LLC and JKD Capital Partners I LTD (Cohen & Co Inc., Filed With SEC on March 9, 2023)
Warehousing Agreement, dated as of November 4, 2022, by and among Blackstone Holdings Finance Co. L.L.C., Blackstone Private Investments Advisors L.L.C., Blackstone Private Equity... (Blackstone Private Equity Strategies Fund L.P., Filed With SEC on November 8, 2022)
Letter Agreement, dated as of April 1, 2022, between SLR Investment Corp. and SLR Capital Partners, LLC (Solar Capital Ltd., Filed With SEC on April 1, 2022)
Fifth Amended and Restated Limited Liability Company Agreement of Bridge Investment Group Holdings LLC, dated July 16, 2021, by and among Bridge Investment Group Holdings LLC,... (Bridge Investment Group Holdings Inc., Filed With SEC on July 20, 2021)
Stockholders Agreement, dated July 16, 2021, by and among Bridge Investment Group Holdings Inc. and the persons and entities listed on the schedules attached thereto (Bridge Investment Group Holdings Inc., Filed With SEC on July 20, 2021)
Tax Receivable Agreement, dated July 16, 2021, by and among Bridge Investment Group Holdings Inc, Bridge Investment Group Holdings LLC and each of the Members from time to time... (Bridge Investment Group Holdings Inc., Filed With SEC on July 20, 2021)
Form of Fifth Amended and Restated LLC Agreement of Bridge Investment Group Holdings LLC, to be effective upon the consummation of this offering (Bridge Investment Group Holdings Inc., Filed With SEC on July 7, 2021)
Investment Agreement, dated March 29, 2021, by and between Russell Investments Group, Ltd. and Hamilton Lane Advisors, L.L.C (Hamilton Lane INC, Filed With SEC on May 27, 2021)
DASH Medical Holdings, LLC Subscription Agreement, dated as of March 1, 2021, by and between DASH Medical Holdings, LLC and B. Riley Principal Investments, LLC (B. Riley Financial, Inc., Filed With SEC on May 10, 2021)
Amendment No. 4 to Investment Agreement, dated October 9, 2020, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC (Cohen & Co Inc., Filed With SEC on October 15, 2020)
Amendment No. 3 to Investment Agreement, dated September 25, 2020, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC (Cohen & Co Inc., Filed With SEC on September 29, 2020)
Amendment to the Amended and Restated Alternative Investment Selling Agreement, dated as of July 1, 2020, by and among the Registrant, the General Partner and MSSB (MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP, Filed With SEC on July 8, 2020)
AMENDMENT TO THE AMENDED AND RESTATED ALTERNATIVE INVESTMENT SELLING AGENT AGREEMENT (CERES ABINGDON L.P., Filed With SEC on July 8, 2020)
AMENDMENT TO THE AMENDED AND RESTATED ALTERNATIVE INVESTMENT SELLING AGENT AGREEMENT (Ceres Tactical Commodity L.P., Filed With SEC on July 8, 2020)
AMENDMENT TO THE ALTERNATIVE INVESTMENT SELLING AGENT AGREEMENT (CERES ORION L.P., Filed With SEC on July 8, 2020)
AMENDMENT TO THE AMENDED AND RESTATED ALTERNATIVE INVESTMENT SELLING AGENT AGREEMENT (CERES ORION L.P., Filed With SEC on July 8, 2020)
AMENDMENT TO THE ALTERNATIVE INVESTMENT SELLING AGENT AGREEMENT (CERES TACTICAL SYSTEMATIC L.P., Filed With SEC on July 8, 2020)
AMENDMENT TO THE AMENDED AND RESTATED ALTERNATIVE INVESTMENT SELLING AGENT AGREEMENT (CERES TACTICAL SYSTEMATIC L.P., Filed With SEC on July 8, 2020)
Amendment to the Amended and Restated Alternative Investment Selling Agreement, dated as of July 1, 2020, by and among the Registrant, the General Partner and MSSB (CERES TACTICAL CURRENCY L.P., Filed With SEC on July 8, 2020)
Dealer Manager Agreement, dated as of May 22, 2020, by and between Gladstone Investment Corporation and Gladstone Securities, LLC (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on May 22, 2020)
Option Award Agreement, effective April 21, 2020 by and between BrightSphere Investment Group Inc. and Suren Rana (BrightSphere Investment Group Inc., Filed With SEC on May 11, 2020)
Amendment No. 2 to Investment Agreement, dated as of December 4, 2019 and effective as of October 1, 2019, by and between Cohen & Company, LLC and the DGC Family Fintech Trust (Cohen & Co Inc., Filed With SEC on December 9, 2019)
Amendment No. 2 to Investment Agreement, dated as of December 4, 2019 and effective as of October 1, 2019, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC (Cohen & Co Inc., Filed With SEC on December 9, 2019)
Amendment No. 1 to Investment Agreement, dated as of September 25, 2019 and effective as of October 1, 2019, by and between Cohen & Company, LLC and the DGC Family Fintech Trust (Cohen & Co Inc., Filed With SEC on September 30, 2019)
Amendment No. 1 to Investment Agreement, dated as of September 25, 2019 and effective as of October 1, 2019, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC (Cohen & Co Inc., Filed With SEC on September 30, 2019)
Stockholder Agreement, dated May 17, 2019, between BrightSphere Investment Group Inc. and Paulson & Co. Inc (BrightSphere Investment Group Inc., Filed With SEC on August 9, 2019)
Amendment No. 1 to Investment Agreement, dated as of March 6, 2019, by and between Cohen & Company, LLC and JKD Capital Partners I LTD (Cohen & Co Inc., Filed With SEC on March 8, 2019)
Third Amended and Restated Limited Partnership Agreement of Ares Investments L.P. dated November 26, 2018 (Ares Management Corp, Filed With SEC on February 26, 2019)
Alternative Investment Selling Agent Agreement between the Partnership, the General Partner, Harbor and MSDI, dated as of November 1, 2018 (CERES ORION L.P., Filed With SEC on November 8, 2018)
Alternative Investment Selling Agent Agreement between the Partnership, the General Partner, Harbor and MSDI, dated as of November 1, 2018 (CERES TACTICAL SYSTEMATIC L.P., Filed With SEC on November 8, 2018)
English language summary of Preliminary Real Estate Sale Agreement, dated December 18, 2017, between the Registrants subsidiary Franklin Templeton Investments Poland sp. z o.o.,... (Franklin Resources, Filed With SEC on July 27, 2018)
Second Amended and Restated Limited Partnership Agreement of Ares Investments L.P., effective March 1, 2018 (Ares Management Corp, Filed With SEC on May 7, 2018)
Investment Agreement dated as of March 6, 2018 by and among BGC Partners, Inc., BGC Holdings, L.P., BGC Partners, L.P., BGC Global Holdings, L.P., Newmark Group, Inc., Newmark... (BGC Partners, Inc., Filed With SEC on March 7, 2018)
Amendment Agreement, dated as of September 1, 2017, by and among CM Finance SPV LTD., U.S. Bank National Association, CM Investment Partners LLC and CM Finance Inc (CM Finance Inc, Filed With SEC on November 7, 2017)
Investment Agreement, dated September 29, 2017, by and between Cohen & Company, LLC and the DGC Family Fintech Trust (Cohen & Co Inc., Filed With SEC on October 5, 2017)
Investment Agreement, dated September 29, 2017, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC (Cohen & Co Inc., Filed With SEC on October 5, 2017)
THIRD AMENDMENT TO MASTER INVESTMENT AGREEMENT (MEDLEY MANAGEMENT INC., Filed With SEC on June 12, 2017)