Note Agreements in the Capital Markets Industry

596 Contracts & Agreements

Browse by Company

ALLIANCEBERNSTEIN HOLDING L.P. (2 contracts)
ALTIMAR ACQUISITION CORP. (1)
Ameriprise Financial (14)
Artisan Partners Asset Management Inc. (5)
Ascendant Digital Acquisition Corp. (1)
Ashford Inc. (9)
Associated Capital Group, Inc. (1)
B. Riley Financial, Inc. (10)
Bain Capital Specialty Finance, Inc. (1)
Barings BDC, Inc. (4)
BGC Partners, Inc. (1)
BlackRock (16)
BlackRock Capital Investment Corp (3)
BLACKSTAR ENTERPRISE GROUP, INC. (25)
Blackstone Private Credit Fund (15)
Capital Financial Holdings, Inc (1)
Capitala Finance Corp. (1)
Cboe Global Markets (6)
Charles Schwab Corporation (7)
CION Investment Corp (4)
CME Group Inc. (5)
Cohen & Co Inc. (22)
CONCIERGE TECHNOLOGIES INC (4)
COWEN INC. (4)
Crescent Capital BDC, Inc. (3)
Diginex Ltd (6)
Donnelley Financial Solutions, Inc. (1)
E*Trade (2)
ENTERPRISE DIVERSIFIED, INC. (2)
Evercore (4)
Federated Investors (1)
FinTech Acquisition Corp. IV (2)
Franklin Resources (2)
Freedom Holding Corp. (2)
FS KKR Capital Corp (4)
GAMCO INVESTORS, INC. ET AL (6)
GlassBridge Enterprises, Inc. (10)
Goldman Sachs (39)
GOLUB CAPITAL BDC, Inc. (2)
Great Elm Capital Corp. (7)
Great Elm Capital Group, Inc. (6)
Greenhill & Co., Inc. (1)
Greenpro Capital Corp. (11)
GSV Capital Corp. (1)
Hamilton Lane INC (1)
Hercules Capital, Inc. (8)
Heritage Global Inc. (60)
Horizon Technology Finance Corp (10)
HOULIHAN LOKEY, INC. (3)
Intercontinental Exchange (3)
INTL FCStone Inc. (1)
Invesco Ltd. (3)
KCAP Financial, Inc. (2)
LADENBURG THALMANN FINANCIAL SERVICES INC. (12)
Lazard Ltd (5)
Legg Mason Inc (10)
Main Street Capital CORP (1)
Manning & Napier, Inc. (1)
Moody's Corp (8)
Morgan Stanley (19)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C28 (2)
Morgan Stanley Direct Lending Fund (2)
Morgan Stanley Finance LLC (1)
Morningstar, Inc. (1)
Nasdaq, Inc. (2)
NATIONAL HOLDINGS CORP (10)
New Mountain Finance Corp (9)
NewHold Investment Corp. II (1)
Newtek Business Services Corp. (1)
Northern Trust Corp. (11)
Oaktree Specialty Lending Corp (3)
Och-Ziff Capital Management Group LLC (2)
OFS Capital Corp (1)
Owl Rock Capital Corp (1)
Oxford Square Capital Corp. (3)
Piper Jaffray Companies (2)
PROSPECT CAPITAL CORP (2)
RAND CAPITAL CORP (1)
Raymond James Financial Inc. (9)
Runway Growth Credit Fund Inc. (2)
S&P Global, Inc. (4)
SIEBERT FINANCIAL CORP (4)
Solar Capital Ltd. (6)
Solar Senior Capital Ltd. (1)
State Street Corp. (46)
StepStone Group Inc. (1)
TCG BDC, INC. (2)
TD AMERITRADE HOLDING CORP (5)
The Bank of New York Mellon Corp. (17)
TPG Specialty Lending, Inc. (1)
Trinity Capital Inc. (1)
TriplePoint Venture Growth BDC Corp. (3)
U S GLOBAL INVESTORS INC (3)
ValueSetters Inc. (4)
VetaNova Inc. (1)
Virtus Investment Partners, Inc. (3)
VPC Impact Acquisition Holdings (1)
WhiteHorse Finance, Inc. (4)
Wright Investors Service Holdings, Inc. (2)

Recent Contracts

BMO Bank Revolver Note Agreement, dated November 22, 2024 (SIEBERT FINANCIAL CORP, Filed With SEC on December 19, 2024)
Registration Rights Agreement, dated as of November 22, 2024, relating to the 6.000% Notes due 2034, by and among the Fund and Wells Fargo Securities, LLC, Citigroup Global... (Blackstone Private Credit Fund, Filed With SEC on November 22, 2024)
Registration Rights Agreement, dated as of November 22, 2024, relating to the 5.600% Notes due 2029, by and among the Fund and Wells Fargo Securities, LLC, Citigroup Global... (Blackstone Private Credit Fund, Filed With SEC on November 22, 2024)
East West Revolver Note Agreement, dated July 29, 2024 (incorporated by reference to Exhibit 10.45 to the Company's Current Report on Form 8-K (File No. 000-05703) filed on August... (SIEBERT FINANCIAL CORP, Filed With SEC on November 12, 2024)
Form of 5.52% Series A Senior Note due October 22, 2029 (included in Exhibit 10.1) (StepStone Group Inc., Filed With SEC on October 23, 2024)
Form of Fixed-to-Floating Rate Senior Note due 2032 (State Street Corp., Filed With SEC on October 22, 2024)
Form of Floating Rate Senior Note due 2027 (State Street Corp., Filed With SEC on October 22, 2024)
Form of 4.330% Senior Note due 2027 (State Street Corp., Filed With SEC on October 22, 2024)
Note Purchase Agreement, dated as of October 17, 2024, by and among the Company and the Purchasers (Horizon Technology Finance Corp, Filed With SEC on October 18, 2024)
Form of 5.28% senior notes due October 15, 2029 (included in Exhibit 10.1) (Hamilton Lane INC, Filed With SEC on October 11, 2024)
Registration Rights Agreement, dated as of September 26, 2024, relating to the 5.250% Notes due 2030, by and among the Fund and Citigroup Global Markets Inc., Goldman Sachs & Co.... (Blackstone Private Credit Fund, Filed With SEC on September 26, 2024)
Registration Rights Agreement, dated as of September 26, 2024, relating to the 4.950% Notes due 2027, by and among the Fund and Citigroup Global Markets Inc., Goldman Sachs & Co.... (Blackstone Private Credit Fund, Filed With SEC on September 26, 2024)
Senior Promissory Note, dated September 1, 2024, issued by Cohen & Company, LLC to JKD Capital Partners I LTD in the aggregate principal amount of $5,145,926.67 (Cohen & Co Inc., Filed With SEC on September 24, 2024)
Form of Secured Promissory Note #2 (CONCIERGE TECHNOLOGIES INC, Filed With SEC on September 24, 2024)
Form of Secured Promissory Note, dated September 19, 2024 (CONCIERGE TECHNOLOGIES INC, Filed With SEC on September 24, 2024)
Note Purchase Agreement, dated September 19, 2024, by and between Company and Streeterville Capital, LLC (CONCIERGE TECHNOLOGIES INC, Filed With SEC on September 24, 2024)
Amended and Restated Note Purchase Agreement, dated as of September 18, 2024, by and among CĪON Investment Corporation and certain institutional investors (CION Investment Corp, Filed With SEC on September 23, 2024)
Form of Fixed-to-Floating Rate Senior Note due 2029 (State Street Corp., Filed With SEC on August 20, 2024)
East West Revolver Note Agreement, dated July 29, 2024 (SIEBERT FINANCIAL CORP, Filed With SEC on August 20, 2024)
Note Purchase Agreement, dated August 6, 2024, by and between the Registrant and the purchaser party thereto (GSV Capital Corp., Filed With SEC on August 8, 2024)
Form of 3.625% Global Note due 2028 (Intercontinental Exchange, Filed With SEC on August 2, 2024)
Promissory Note dated July 16, 2024 by GlassBridge Enterprises, Inc. in favor of Alex Spiro (GlassBridge Enterprises, Inc., Filed With SEC on July 22, 2024)
Global Note (8.50% Note Due 2029) (Great Elm Capital Corp., Filed With SEC on July 10, 2024)
Note Funding Agreement, dated as of June 21, 2024, by and among Horizon Funding II, LLC, as issuer, and the Initial Purchasers (as defined therein) (Horizon Technology Finance Corp, Filed With SEC on June 24, 2024)
Registration Rights Agreement, dated as of May 29, 2024, relating to the Notes, by and among the Fund and Citigroup Global Markets Inc., J.P. Morgan Securities LLC, SMBC Nikko... (Blackstone Private Credit Fund, Filed With SEC on May 29, 2024)
Registration Rights Agreement, dated as of May 17, 2024, relating to the 6.150% Notes due 2029, by and among the Company and Truist Securities, Inc., BNP Paribas Securities Corp.,... (Morgan Stanley Direct Lending Fund, Filed With SEC on May 17, 2024)
Fourth Amended and Restated Note Funding Agreement, dated as of May 6, 2024, by and among Horizon Funding I, LLC, the issuer, and the Initial Purchasers (as defined therein) (Horizon Technology Finance Corp, Filed With SEC on May 10, 2024)
Global Note (8.50% Note Due 2029) (Great Elm Capital Corp., Filed With SEC on April 17, 2024)
Form of 4.993% Senior Note due 2027 (State Street Corp., Filed With SEC on March 18, 2024)
Promissory Note, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (filed as Exhibit 10.3 to the Companys Quarterly Report on Form... (Heritage Global Inc., Filed With SEC on March 14, 2024)
Amended and Restated Promissory Note, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (filed as Exhibit 10.1 to the Companys... (Heritage Global Inc., Filed With SEC on March 14, 2024)
First Amendment to Master Note Purchase Agreement, dated as of March 13, 2024, among BlackRock Capital Investment Corporation and the Noteholders party thereto (BlackRock Capital Investment Corp, Filed With SEC on March 14, 2024)
Registration Rights Agreement, dated as of January 25, 2024, relating to the Notes, by and among the Fund and Wells Fargo Securities, LLC, Citigroup Global Markets Inc., Deutsche... (Blackstone Private Credit Fund, Filed With SEC on January 29, 2024)
Amendment No. 1 to Amended and Restated Senior Promissory Note, dated January 5, 2024, by and between Cohen & Company, LLC and JKD Capital Partners I LTD (Cohen & Co Inc., Filed With SEC on January 5, 2024)
Registration Rights Agreement, dated as of November 27, 2023, relating to the Notes, by and among the Fund and Citigroup Global Markets Inc., Goldman Sachs & Co. LLC, J.P. Morgan... (Blackstone Private Credit Fund, Filed With SEC on November 28, 2023)
Form of Fixed-to-Floating Rate Senior Subordinated Note due 2034 (State Street Corp., Filed With SEC on November 21, 2023)
Form of Fixed-to-Floating Rate Senior Note due 2029 (State Street Corp., Filed With SEC on November 21, 2023)
Note Purchase Agreement, dated as of November 8, 2023, by and among CON Investment Corporation and certain institutional investors (CION Investment Corp, Filed With SEC on November 13, 2023)
Form of 5.700% Senior Note due 2028 (Ameriprise Financial, Filed With SEC on November 9, 2023)
Form of Global Fixed Rate / Floating Rate Note for the Senior Medium-Term Notes, Series J (The Bank of New York Mellon Corp., Filed With SEC on October 25, 2023)