Note Agreements in the Capital Markets Industry
561 Contracts & Agreements
- 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 (2)
- BLACKSTAR ENTERPRISE GROUP, INC. (25)
- Blackstone Private Credit Fund (8)
- Capital Financial Holdings, Inc (1)
- Capitala Finance Corp. (1)
- Cboe Global Markets (6)
- Charles Schwab Corporation (7)
- CION Investment Corp (3)
- CME Group Inc. (5)
- Cohen & Co Inc. (20)
- CONCIERGE TECHNOLOGIES INC (1)
- 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. (9)
- Goldman Sachs (39)
- GOLUB CAPITAL BDC, Inc. (2)
- Great Elm Capital Corp. (5)
- Great Elm Capital Group, Inc. (6)
- Greenhill & Co., Inc. (1)
- Greenpro Capital Corp. (11)
- Hercules Capital, Inc. (8)
- Heritage Global Inc. (58)
- Horizon Technology Finance Corp (7)
- HOULIHAN LOKEY, INC. (3)
- Intercontinental Exchange (2)
- 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 (1)
- 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 (1)
- Solar Capital Ltd. (6)
- Solar Senior Capital Ltd. (1)
- State Street Corp. (41)
- 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)
- 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)
- Form of Terms Agreement for Medium Term Notes, among The Bank of New York Mellon Corporation and the Underwriters signatory thereto (The Bank of New York Mellon Corp., Filed With SEC on October 25, 2023)
- Secured Promissory Note, dated August 31, 2023, between Greenhill & Co., Inc. and Mizuho Bank, Ltd (Greenhill & Co., Inc., Filed With SEC on September 1, 2023)
- Global Note (8.75% Note Due 2028) (Great Elm Capital Corp., Filed With SEC on August 16, 2023)
- Promissory Note, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (Heritage Global Inc., Filed With SEC on August 10, 2023)
- Amended and Restated Promissory Note, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (Heritage Global Inc., Filed With SEC on August 10, 2023)
- Form of Floating Rate Senior Notes due 2026 (State Street Corp., Filed With SEC on August 3, 2023)
- Form of 5.272% Senior Notes due 2026 (State Street Corp., Filed With SEC on August 3, 2023)
- Third Amended and Restated Note Funding Agreement, dated as of May 24, 2023, 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 25, 2023)
- Form of Note for the 4.750% Notes due 2033 (BlackRock, Filed With SEC on May 25, 2023)
- Form of Fixed-to-Floating Rate Senior Notes due 2034 (State Street Corp., Filed With SEC on May 18, 2023)
- Form of Fixed-to-Floating Rate Senior Notes due 2026 (State Street Corp., Filed With SEC on May 18, 2023)
- Form of Terms Agreement for Medium Term Notes, among The Bank of New York Mellon Corporation and the Underwriters signatory thereto (The Bank of New York Mellon Corp., Filed With SEC on April 26, 2023)
- First Supplement to Note Purchase Agreement by and between the Company and the purchaser party thereto, dated April 13, 2023 (Runway Growth Credit Fund Inc., Filed With SEC on April 14, 2023)
- Equipment Note Agreement, dated March 24, 2023, made by Inspire Event Technologies Holdings, LLC in favor of Comerica Bank (Ashford Inc., Filed With SEC on March 28, 2023)
- Third Amended and Restated Master Revolving Note, dated March 24, 2023, made by Inspire Event Technologies Holdings, LLC in favor of Comerica Bank (Ashford Inc., Filed With SEC on March 28, 2023)
- Third Amended and Restated Master Term Note, dated March 24, 2023, made by Inspire Event Technologies Holdings, LLC in favor of Comerica Bank (Ashford Inc., Filed With SEC on March 28, 2023)
- Form of Private Placement Purchase Agreement, dated as of March 8, 2023, by and among New Mountain Finance Corporation and the investor named therein, on behalf of itself and the... (New Mountain Finance Corp, Filed With SEC on March 10, 2023)
- Form of 5.150% Senior Note due 2033 (Ameriprise Financial, Filed With SEC on March 9, 2023)
- Form of Fixed-to-Floating Rate Senior Notes due 2034 (State Street Corp., Filed With SEC on January 26, 2023)
- Form of Fixed-to-Floating Rate Senior Notes due 2026 (State Street Corp., Filed With SEC on January 26, 2023)
- Note Purchase Agreement, dated as of December 23, 2022, by and among the Company and the Purchasers party thereto (Main Street Capital CORP, Filed With SEC on December 28, 2022)
- Convertible Promissory Note October 31, 2022 (BLACKSTAR ENTERPRISE GROUP, INC., Filed With SEC on November 21, 2022)
- Convertible Promissory Note August 30, 2022 (BLACKSTAR ENTERPRISE GROUP, INC., Filed With SEC on November 21, 2022)
- Convertible Promissory Note May 5, 2022 (BLACKSTAR ENTERPRISE GROUP, INC., Filed With SEC on November 21, 2022)
- Note Purchase Agreement, dated as of October 26, 2022, by and among the Company, Horizon Funding Trust 2022-1, the issuer, Horizon Funding 2022-1 LLC, the trust depositor, and... (Horizon Technology Finance Corp, Filed With SEC on November 14, 2022)
- Form of Fixed-to-Floating Rate Senior Notes due 2028 (State Street Corp., Filed With SEC on November 4, 2022)
- Form of Fixed-to-Floating Rate Senior Notes due 2026 (State Street Corp., Filed With SEC on November 4, 2022)
- Form of Private Placement Purchase Agreement, dated as of October 27, 2022, by and among New Mountain Finance Corporation and the investor named therein, on behalf of itself and... (New Mountain Finance Corp, Filed With SEC on October 28, 2022)
- Form of Terms Agreement for Medium Term Notes, among The Bank of New York Mellon Corporation and the Underwriters signatory thereto (The Bank of New York Mellon Corp., Filed With SEC on October 25, 2022)
- Registration Rights Agreement, dated as of September 27, 2022, relating to the Notes, by and among the Fund and BofA Securities, Inc., Citigroup Global Markets Inc., Truist... (Blackstone Private Credit Fund, Filed With SEC on September 27, 2022)
- Master Note Purchase Agreement by and between the Company and the purchaser party thereto, dated August 31, 2022 (Runway Growth Credit Fund Inc., Filed With SEC on August 31, 2022)
- Form of Fixed-to-Floating Rate Senior Notes due 2033 (State Street Corp., Filed With SEC on August 4, 2022)
- Form of Note Purchase Agreement, dated June 28, 2022 (Evercore, Filed With SEC on August 3, 2022)
- Revolving Line Note, dated June 27, 2022, by Rand Capital Corporation, as borrower (RAND CAPITAL CORP, Filed With SEC on June 27, 2022)
- Form of Sixth Supplement to Amended and Restated Note Purchase Agreement, dated June 15, 2022, by and between New Mountain Finance Corporation and the purchasers party thereto,... (New Mountain Finance Corp, Filed With SEC on June 17, 2022)
