Modification Agreements in the Capital Markets Industry

682 Contracts & Agreements

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AFFILIATED MANAGERS GROUP, INC. (2 contracts)
ALLIANCEBERNSTEIN HOLDING L.P. (3)
ALTIMAR ACQUISITION CORP. (1)
Ameriprise Financial (1)
Apollo Global Management LLC (7)
ARES CAPITAL CORP (23)
Artisan Partners Asset Management Inc. (2)
Ashford Inc. (13)
AssetMark Financial Holdings, Inc. (3)
B. Riley Financial, Inc. (2)
Bain Capital Specialty Finance, Inc. (3)
Barings BDC, Inc. (1)
BGC Partners, Inc. (15)
BlackRock (2)
BlackRock Private Credit Fund (1)
BlackRock TCP Capital Corp. (2)
Blackstone / GSO Secured Lending Fund (6)
Blackstone Group L.P. (4)
Blackstone Private Credit Fund (5)
Blucora, Inc. (21)
BrightSphere Investment Group Inc. (1)
Capitala Finance Corp. (1)
Carlyle Group L.P. (1)
CERES ABINGDON L.P. (4)
CERES ORION L.P. (13)
Ceres Tactical Commodity L.P. (7)
CERES TACTICAL CURRENCY L.P. (5)
CERES TACTICAL SYSTEMATIC L.P. (19)
CION Investment Corp (2)
CM Finance Inc (6)
CME Group Inc. (7)
Cohen & Co Inc. (4)
COHEN & STEERS INC (1)
CONCIERGE TECHNOLOGIES INC (1)
COWEN INC. (4)
Crescent Capital BDC, Inc. (4)
DIAMOND HILL INVESTMENT GROUP INC (2)
Diginex Ltd (1)
Donnelley Financial Solutions, Inc. (5)
E*Trade (5)
ENTERPRISE DIVERSIFIED, INC. (2)
EQUUS TOTAL RETURN, INC. (3)
Evercore (7)
FactSet Research Systems Inc (4)
Federated Investors (8)
FinTech Acquisition Corp. IV (1)
Focus Financial Partners Inc. (1)
Freedom Holding Corp. (2)
FS KKR Capital Corp (4)
GAIN Capital Holdings, Inc. (11)
GAMCO INVESTORS, INC. ET AL (1)
GLADSTONE CAPITAL CORP (2)
GLADSTONE INVESTMENT CORPORATION (1)
GlassBridge Enterprises, Inc. (11)
Goldman Sachs (4)
Goldman Sachs Middle Market Lending Corp. (1)
Goldman Sachs Middle Market Lending Corp. II (3)
Goldman Sachs Private Credit Corp. (1)
Goldman Sachs Private Middle Market Credit II LLC (2)
Goldman Sachs Private Middle Market Credit LLC (4)
GOLUB CAPITAL BDC, Inc. (3)
Great Elm Capital Group, Inc. (2)
Greenhill & Co., Inc. (15)
Hamilton Lane INC (13)
Harvest Capital Credit Corp (4)
HENNESSY ADVISORS INC (1)
Hercules Capital, Inc. (12)
Heritage Global Inc. (14)
Horizon Technology Finance Corp (10)
HOULIHAN LOKEY, INC. (1)
INTL FCStone Inc. (1)
Invesco Ltd. (2)
Investment Technology Group, Inc. (2)
KCAP Financial, Inc. (2)
KKR & Co. Inc. (5)
LADENBURG THALMANN FINANCIAL SERVICES INC. (5)
Lazard Ltd (9)
Legg Mason Inc (9)
LPL Financial Holdings Inc. (2)
MarketAxess Holdings Inc (5)
Medley Capital Corp (3)
MEDLEY MANAGEMENT INC. (6)
Moelis & Co (1)
MONROE CAPITAL Corp (1)
Moody's Corp (3)
Morgan Stanley (6)
Morgan Stanley ABS Capital I Inc. Trust 2006-HE4 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-HE5 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-NC4 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-WMC2 (2)
Morgan Stanley ABS Capital I Inc. Trust 2007-NC1 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C32 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2017-C33 (1)
Morgan Stanley Capital I Trust 2016-BNK2 (1)
Morgan Stanley Capital I Trust 2021-L6 (1)
Morgan Stanley Direct Lending Fund (3)
MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P. (1)
MORGAN STANLEY SMITH BARNEY SPECTRUM GLOBAL BALANCED LP (1)
MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (4)
MORGAN STANLEY SMITH BARNEY SPECTRUM STRATEGIC LP (2)
MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP (2)
MSCI Inc (16)
MVC CAPITAL, INC. (10)
Nasdaq, Inc. (12)
NATIONAL HOLDINGS CORP (8)
Nebula Parent Corp. (3)
New Mountain Finance Corp (8)
Northern Trust Corp. (22)
Oaktree Specialty Lending Corp (6)
Oaktree Strategic Income Corp (10)
Och-Ziff Capital Management Group LLC (10)
OFS Capital Corp (10)
Owl Rock Capital Corp (4)
P10, Inc. (3)
PennantPark Floating Rate Capital Ltd. (5)
PENNANTPARK INVESTMENT CORP (1)
Piper Jaffray Companies (2)
PJT Partners Inc. (6)
PROSPECT CAPITAL CORP (1)
Pzena Investment Management, Inc. (2)
Raymond James Financial Inc. (8)
Runway Growth Credit Fund Inc. (2)
SAFEGUARD SCIENTIFICS INC (18)
SEI Investments Corp (4)
Solar Capital Ltd. (1)
Solar Senior Capital Ltd. (2)
State Street Corp. (2)
Stellus Capital Investment Corp (1)
T. Rowe Price Group (1)
TCG BDC, INC. (4)
TD AMERITRADE HOLDING CORP (7)
The Bank of New York Mellon Corp. (1)
TPG Partners, LLC (3)
TPG Specialty Lending, Inc. (1)
Tradeweb Markets Inc. (5)
TriplePoint Venture Growth BDC Corp. (4)
U S GLOBAL INVESTORS INC (9)
ValueSetters Inc. (6)
VetaNova Inc. (1)
Victory Capital Holdings, Inc. (1)
Virtus Investment Partners, Inc. (2)
VPC Impact Acquisition Holdings (2)
Waddell & Reed Financial, Inc. (5)
WESTWOOD HOLDINGS GROUP INC (1)
WhiteHorse Finance, Inc. (5)
WisdomTree Investments, Inc. (1)
Wright Investors Service Holdings, Inc. (3)

Recent Contracts

Category

Company

Industry

Jur. Jurisdiction

Filed

Amendment No. 1 to Sale and Servicing Agreement among Horizon Funding II, LLC, Horizon Technology Finance Corporation, and U.S. Bank Entities

Modification Agreements

Horizon Technology Finance Corp

Capital Markets

2025

Amendment to Loan Documents by Evercore Partners Services East L.L.C., Evercore LP, Evercore Group Holdings L.P., and PNC Bank, N.A.

Modification Agreements

Evercore

Capital Markets

2025

Amendment No. 6 to Sale and Servicing Agreement among Horizon Funding I, LLC, Horizon Secured Loan Fund I LLC, Horizon Technology Finance Corporation, and U.S. Bank Trust Company

Modification Agreements

Horizon Technology Finance Corp

Capital Markets

2025

Fourth Amendment to Revolving Credit and Security Agreement among PennantPark Floating Rate Funding I, LLC, PennantPark Investment Advisers, LLC, Truist Bank, and Others

Modification Agreements

PennantPark Floating Rate Capital Ltd.

Capital Markets

2025

Eighth Amendment to Loan and Security Agreement among Crescent Capital BDC Funding, LLC, Crescent Capital BDC, Inc., and Wells Fargo Bank, N.A.

Modification Agreements

Crescent Capital BDC, Inc.

Capital Markets

2025

Loan Modification Agreement and Reaffirmation of Loan between Heritage Global Inc. and C3bank, N.A. (Loan No. 13880)

Modification Agreements

Heritage Global Inc.

Capital Markets

2025

Omnibus Amendment to Deferred Unit and Phantom Unit Agreements under Blackstone Inc. Amended and Restated 2007 Equity Incentive Plan

Modification Agreements

Blackstone Group L.P.

Capital Markets

2025

Omnibus Amendment to Certain GP Carry Plan Governing Agreements by Blackstone Entities (Effective January 1, 2025)

Modification Agreements

Blackstone Group L.P.

Capital Markets

2025

Seventh Amendment to Loan and Servicing Agreement among Meadowbrook Run LLC, FS KKR Capital Corp., Morgan Stanley Bank, N.A., and Morgan Stanley Senior Funding, Inc.

Modification Agreements

FS KKR Capital Corp

Capital Markets

2025

Sixth Amendment to Loan and Servicing Agreement among Meadowbrook Run LLC, FS KKR Capital Corp., Morgan Stanley Bank, N.A., and Morgan Stanley Senior Funding, Inc.

Modification Agreements

FS KKR Capital Corp

Capital Markets

2025

Deed of Amendment to Amended and Restated Deed of Adherence between Sean A. Windeatt and BGC Services (Holdings) LLP (February 18, 2025)

Modification Agreements

BGC Partners, Inc.

Capital Markets

2025

Amendment to Transaction Agreement Among West End Investors Management LP, AllianceBernstein L.P., and Affiliates (December 2024)

Modification Agreements

ALLIANCEBERNSTEIN HOLDING L.P.

Capital Markets

2025

Amendment No. 2 to Controlled Company Agreement by and among P10, Inc. and Certain Stockholders

Modification Agreements

P10, Inc.

Capital Markets

2024

Fourth Amendment to Amended and Restated Loan and Security Agreement among BGSL Jackson Hole Funding LLC, Lenders, and Agents

Modification Agreements

Blackstone / GSO Secured Lending Fund

Capital Markets

2024

Tenth Amendment to Revolving Credit and Security Agreement by BGSL Breckenridge Funding LLC and Lenders

Modification Agreements

Blackstone / GSO Secured Lending Fund

Capital Markets

2024

Amendment No. 11 to Loan and Servicing Agreement among Ares Capital JB Funding LLC, Ares Capital Corporation, SMBC, Citizens Bank, and SuMi Trust

Modification Agreements

ARES CAPITAL CORP

Capital Markets

2024

First Amendment to 382 Rights Agreement between GlassBridge Enterprises, Inc. and Equiniti Trust Company, LLC

Modification Agreements

GlassBridge Enterprises, Inc.

Capital Markets

2024

Fifth Amendment to Loan, Security and Collateral Management Agreement among Investcorp Credit Management BDC SPV, LLC, Capital One, NA, CM Investment Partners LLC, Wells Fargo...

Modification Agreements

CM Finance Inc

Capital Markets

2024

Fourth Amendment to Revolving Credit Agreement between Goldman Sachs Middle Market Lending Corp. II and Bank of America, N.A.

Modification Agreements

Goldman Sachs Middle Market Lending Corp. II

Capital Markets

2024

Loan Modification Agreement and Reaffirmation of Loan between Heritage Global Inc. and C3bank, N.A. (Loan No. 13880)

Modification Agreements

Heritage Global Inc.

Capital Markets

2024

Second Amendment to Revolving Credit and Security Agreement among GS Private Credit SPV Public I LLC, Lenders, BNP Paribas, Goldman Sachs Private Credit Corp., and State Street...

Modification Agreements

Goldman Sachs Private Credit Corp.

Capital Markets

2024

Fifth Amendment to Term Loan and Security Agreement between JPMorgan Chase Bank, N.A. and Hamilton Lane Advisors, L.L.C.

Modification Agreements

Hamilton Lane INC

Capital Markets

2024

Fourth Amendment to Revolving Loan and Security Agreement between JPMorgan Chase Bank, N.A. and Hamilton Lane Advisors, L.L.C.

Modification Agreements

Hamilton Lane INC

Capital Markets

2024

Fourth Amendment to Multi-Draw Term Loan and Security Agreement between JPMorgan Chase Bank, N.A. and Hamilton Lane Advisors, L.L.C.

Modification Agreements

Hamilton Lane INC

Capital Markets

2024

First Amendment to Multi-Draw Term Loan and Security Agreement between JPMorgan Chase Bank, N.A. and Hamilton Lane Advisors, L.L.C.

Modification Agreements

Hamilton Lane INC

Capital Markets

2024

Loan Modification Agreement and Reaffirmation of Loan between Heritage Global Inc. and C3bank, N.A.

Modification Agreements

Heritage Global Inc.

Capital Markets

2024

Eighth Amendment to Revolving Credit and Security Agreement by and among ARCC FB Funding LLC, BNP Paribas, Ares Capital Corporation, and U.S. Bank Trust Company

Modification Agreements

ARES CAPITAL CORP

Capital Markets

2024

Amendment Agreement to Management Agreement among Opus Futures, LLC, Ceres Tactical Commodity L.P., and Ceres Managed Futures LLC (July 2024)

Modification Agreements

Ceres Tactical Commodity L.P.

Capital Markets

2024

Amendment No. 2 to Second Amended and Restated Sale and Servicing Agreement by and among Horizon Credit II LLC, Horizon Technology Finance Corporation, Horizon Technology Finance...

Modification Agreements

Horizon Technology Finance Corp

Capital Markets

2024

Amendment to Clearing Services Agreement between Cantor Fitzgerald & Co. and BGC Financial, L.P. (June 2024)

Modification Agreements

BGC Partners, Inc.

Capital Markets

2024

Third Amendment to Third Amended and Restated Loan Agreement among 34th Street Funding, JPMorgan Chase, U.S. Bank, and CĪON Investment Management

Modification Agreements

CION Investment Corp

Capital Markets

2024

Amendment No. 5 to Sale and Servicing Agreement among Horizon Funding I, LLC, Horizon Secured Loan Fund I LLC, Horizon Technology Finance Corporation, and U.S. Bank Trust Company

Modification Agreements

Horizon Technology Finance Corp

Capital Markets

2024

Amendment No. 3 to Transaction Agreement between TPG Operating Group II, L.P. and API Representative, LLC (March 13, 2024)

Modification Agreements

TPG Partners, LLC

Capital Markets

2024

Amendment No. 2 to Master Project Management Agreement among Braemar TRS Corporation, CHH III Tenant Parent Corp., RC Hotels (Virgin Islands), Inc., Premier Project Management...

Modification Agreements

Ashford Inc.

Capital Markets

2024

Fifth Amendment to Amended and Restated Loan and Security Agreement among Goldman Sachs Private Middle Market Credit II SPV II LLC, JPMorgan Chase Bank, and Others

Modification Agreements

Goldman Sachs Private Middle Market Credit II LLC

Capital Markets

2024

Amendment No. 9 to Subcustodial and Services Agreement among AssetMark Trust Company, Fidelity Brokerage Services LLC, and National Financial Services LLC

Modification Agreements

AssetMark Financial Holdings, Inc.

Capital Markets

2024

First Amendment to BETA Services Master Subscription Agreement between Beta Plus Technologies, Inc. and AssetMark Financial Holdings, Inc.

Modification Agreements

AssetMark Financial Holdings, Inc.

Capital Markets

2024

Third Amendment to the Diamond Hill Variable Term Deferred Compensation Plan

Modification Agreements

DIAMOND HILL INVESTMENT GROUP INC

Capital Markets

2024

Amendment No. 1 to Amended and Restated Tax Receivable Agreement by and among Blue Owl Capital, Inc. and Affiliates

Modification Agreements

ALTIMAR ACQUISITION CORP.

Capital Markets

2024

First Amendment to Tax Receivable Agreement between Artisan Partners Asset Management Inc. and TRA Beneficiaries

Modification Agreements

Artisan Partners Asset Management Inc.

Capital Markets

2024

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Modification Agreements in the Capital Markets Industry