Participation Agreements in the Capital Markets Industry
30 Contracts & Agreements
- BGC Partners, Inc. (2 contracts)
- Blucora, Inc. (1)
- CION Investment Corp (1)
- Franklin Resources (5)
- Goldman Sachs (1)
- KCAP Financial, Inc. (1)
- Moody's Corp (14)
- Morgan Stanley (4)
- Waddell & Reed Financial, Inc. (1)
- First Amendment to Participation Agreement, dated as of September 9, 2023, between Avantax, Inc. and Christopher W. Walters (Blucora, Inc., Filed With SEC on September 11, 2023)
- First Amendment to the Profit Participation Plan of Moodys Corporation (effective January 1, 2020) (Moody's Corp, Filed With SEC on February 22, 2022)
- Profit Participation Plan of Moodys Corporation (amended and restated as of January 1, 20 (Moody's Corp, Filed With SEC on February 22, 2021)
- Newmark Holdings, L.P. Participation Plan (BGC Partners, Inc., Filed With SEC on December 19, 2017)
- MASTER PARTICIPATION AGREEMENT (CION Investment Corp, Filed With SEC on September 1, 2016)
- SECOND AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (Moody's Corp, Filed With SEC on May 4, 2016)
- FIRST AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (Moody's Corp, Filed With SEC on May 4, 2015)
- PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (amended and restatedas of January 1, 2014) (Moody's Corp, Filed With SEC on February 26, 2015)
- SEVENTH AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (Moody's Corp, Filed With SEC on July 31, 2014)
- Form of Participation Agreement as of __________, 20__ Franklin Templeton Variable Insurance Products Trust Franklin/Templeton Distributors, Inc. [Company] [Company Distributor]... (Franklin Resources, Filed With SEC on November 12, 2013)
- FIFTH AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (Moody's Corp, Filed With SEC on February 26, 2013)
- FOURTH AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (Moody's Corp, Filed With SEC on February 26, 2013)
- Representative Form of Participation Agreement Addendum Franklin Templeton Variable Insurance Products Trust Franklin/Templeton Distributors, Inc. Insurance_Company Distributor (Franklin Resources, Filed With SEC on November 15, 2012)
- Form of Participation Agreement as of __________, 20__ Franklin Templeton Variable Insurance Products Trust Franklin/Templeton Distributors, Inc. [Company] [Company Distributor]... (Franklin Resources, Filed With SEC on November 15, 2012)
- THIRD AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (Moody's Corp, Filed With SEC on February 27, 2012)
- SECOND AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (Moody's Corp, Filed With SEC on February 27, 2012)
- FIRST AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (AS AMENDED AND RESTATED AS OF JANUARY 1, 2010) (Moody's Corp, Filed With SEC on February 27, 2012)
- PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (amended and restated as of January 1, 2010) Table of Contents (Moody's Corp, Filed With SEC on May 4, 2011)
- THIRD AMENDMENT TO THE PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (Moody's Corp, Filed With SEC on February 28, 2011)
- Participation Agreement Addendum (Franklin Resources, Filed With SEC on November 24, 2009)
- Participation Agreement as of , 2009 (Franklin Resources, Filed With SEC on November 24, 2009)
- BGC HOLDINGS, L.P. PARTICIPATION PLAN (BGC Partners, Inc., Filed With SEC on April 7, 2008)
- PROFIT PARTICIPATION PLAN OF MOODYS CORPORATION (amended and restated as of January 1, 2007) Table of Contents (Moody's Corp, Filed With SEC on February 29, 2008)
- Target Funds Participation Agreement (Excludes Products Sold Through W&R DistributionSystem) (Waddell & Reed Financial, Inc., Filed With SEC on February 29, 2008)
- MORGAN STANLEY TAX DEFERRED EQUITY PARTICIPATION PLAN (Morgan Stanley, Filed With SEC on January 29, 2008)
- MORGAN STANLEY TAX DEFERRED EQUITY PARTICIPATION PLAN (Morgan Stanley, Filed With SEC on February 13, 2007)
- MASTER PAR/NEAR PAR PARTICIPATION AGREEMENT (KCAP Financial, Inc., Filed With SEC on December 15, 2006)
- MORGAN STANLEY TAX DEFERRED EQUITY PARTICIPATION PLAN (Morgan Stanley, Filed With SEC on July 7, 2006)
- Amendment to the Tax Deferred Equity Participation Plan (Morgan Stanley, Filed With SEC on October 7, 2005)
- PARTICIPATION AGREEMENT (Goldman Sachs, Filed With SEC on July 5, 2000)
