Note Agreements in the Capital Markets Industry

597 Contracts & Agreements

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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. (4)
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

Category

Company

Industry

Jur. Jurisdiction

Filed

Convertible Promissory Note May 5, 2022

Note Agreements

BLACKSTAR ENTERPRISE GROUP, INC.

Capital Markets

2022

Third Supplement to Note Purchase Agreement, dated December 20, 2024, by and among Crescent Capital BDC, Inc. and the Purchasers signatory thereto

Note Agreements

Crescent Capital BDC, Inc.

Capital Markets

2024

BMO Bank Revolver Note Agreement, dated November 22, 2024

Note Agreements

SIEBERT FINANCIAL CORP

Capital Markets

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...

Note Agreements

Blackstone Private Credit Fund

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...

Note Agreements

Blackstone Private Credit Fund

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...

Note Agreements

SIEBERT FINANCIAL CORP

2024

Form of 5.52% Series A Senior Note due October 22, 2029 (included in Exhibit 10.1)

Note Agreements

StepStone Group Inc.

2024

Form of Fixed-to-Floating Rate Senior Note due 2032

Note Agreements

State Street Corp.

2024

Form of Floating Rate Senior Note due 2027

Note Agreements

State Street Corp.

2024

Form of 4.330% Senior Note due 2027

Note Agreements

State Street Corp.

2024

Note Purchase Agreement, dated as of October 17, 2024, by and among the Company and the Purchasers

Note Agreements

Horizon Technology Finance Corp

2024

Form of 5.28% senior notes due October 15, 2029 (included in Exhibit 10.1)

Note Agreements

Hamilton Lane INC

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....

Note Agreements

Blackstone Private Credit Fund

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....

Note Agreements

Blackstone Private Credit Fund

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

Note Agreements

Cohen & Co Inc.

2024

Form of Secured Promissory Note #2

Note Agreements

CONCIERGE TECHNOLOGIES INC

2024

Form of Secured Promissory Note, dated September 19, 2024

Note Agreements

CONCIERGE TECHNOLOGIES INC

2024

Note Purchase Agreement, dated September 19, 2024, by and between Company and Streeterville Capital, LLC

Note Agreements

CONCIERGE TECHNOLOGIES INC

2024

Amended and Restated Note Purchase Agreement, dated as of September 18, 2024, by and among CĪON Investment Corporation and certain institutional investors

Note Agreements

CION Investment Corp

2024

Form of Fixed-to-Floating Rate Senior Note due 2029

Note Agreements

State Street Corp.

2024

East West Revolver Note Agreement, dated July 29, 2024

Note Agreements

SIEBERT FINANCIAL CORP

2024

Note Purchase Agreement, dated August 6, 2024, by and between the Registrant and the purchaser party thereto

Note Agreements

GSV Capital Corp.

2024

Form of 3.625% Global Note due 2028

Note Agreements

Intercontinental Exchange

2024

Promissory Note dated July 16, 2024 by GlassBridge Enterprises, Inc. in favor of Alex Spiro

Note Agreements

GlassBridge Enterprises, Inc.

2024

Global Note (8.50% Note Due 2029)

Note Agreements

Great Elm Capital Corp.

Capital Markets

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)

Note Agreements

Horizon Technology Finance Corp

Capital Markets

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...

Note Agreements

Blackstone Private Credit Fund

Capital Markets

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.,...

Note Agreements

Morgan Stanley Direct Lending Fund

Capital Markets

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)

Note Agreements

Horizon Technology Finance Corp

Capital Markets

2024

Global Note (8.50% Note Due 2029)

Note Agreements

Great Elm Capital Corp.

Capital Markets

2024

Form of 4.993% Senior Note due 2027

Note Agreements

State Street Corp.

Capital Markets

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...

Note Agreements

Heritage Global Inc.

Capital Markets

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...

Note Agreements

Heritage Global Inc.

Capital Markets

2024

First Amendment to Master Note Purchase Agreement, dated as of March 13, 2024, among BlackRock Capital Investment Corporation and the Noteholders party thereto

Note Agreements

BlackRock Capital Investment Corp

Capital Markets

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...

Note Agreements

Blackstone Private Credit Fund

Capital Markets

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

Note Agreements

Cohen & Co Inc.

Capital Markets

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...

Note Agreements

Blackstone Private Credit Fund

Capital Markets

2023

Form of Fixed-to-Floating Rate Senior Subordinated Note due 2034

Note Agreements

State Street Corp.

Capital Markets

2023

Form of Fixed-to-Floating Rate Senior Note due 2029

Note Agreements

State Street Corp.

Capital Markets

2023

Note Purchase Agreement, dated as of November 8, 2023, by and among CON Investment Corporation and certain institutional investors

Note Agreements

CION Investment Corp

Capital Markets

2023

Form of 5.700% Senior Note due 2028

Note Agreements

Ameriprise Financial

Capital Markets

2023

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Note Agreements in the Capital Markets Industry