Pledge Agreements in the Capital Markets Industry

72 Contracts & Agreements
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Consent and Second Amendment to Pledge and Security Agreement between PhenixFIN Corporation and Woodforest National Bank (September 30, 2024)
Pledge Agreements
Medley Capital Corp
Capital Markets
2025
First Amendment to Pledge and Security Agreement between PhenixFIN Corporation and Woodforest National Bank (February 21, 2024)
Pledge Agreements
Medley Capital Corp
Capital Markets
2024
Stock Pledge Agreement between The Marygold Companies, Inc. and Streeterville Capital, LLC dated September 19, 2024
Pledge Agreements
CONCIERGE TECHNOLOGIES INC
Capital Markets
UT
2024
Pledge Agreement between GB HRP, LLC and East West Bank as Agent for Lenders (May 9, 2024)
Pledge Agreements
GlassBridge Enterprises, Inc.
Capital Markets
NY
2024
Pledge and Security Agreement between Heritage Global Inc. and C3Bank (Loan #15784)
Pledge Agreements
Heritage Global Inc.
Capital Markets
IL
2024
Pledge and Security Agreement between Heritage Global Inc. and C3Bank (Loan #15784)
Pledge Agreements
Heritage Global Inc.
Capital Markets
IL
2023
Pledge and Security Agreement between PhenixFIN Corporation and Woodforest National Bank dated December 15, 2022
Pledge Agreements
Medley Capital Corp
Capital Markets
NY
2022
Pledge Agreement between Investcorp Credit Management BDC, Inc. and Capital One, N.A. (August 23, 2021)
Pledge Agreements
CM Finance Inc
Capital Markets
NY
2021
Pledge and Security Agreement between Heritage Global Inc. and C3Bank dated May 5, 2021
Pledge Agreements
Heritage Global Inc.
Capital Markets
IL
2021
Pledge and Security Agreement between Heritage Global Inc. and C3Bank dated May 5, 2021
Pledge Agreements
Heritage Global Inc.
Capital Markets
IL
2021
Pledge Agreement between GlassBridge Enterprises, Inc. and ORIX PTP Holdings, LLC dated March 17, 2020
Pledge Agreements
GlassBridge Enterprises, Inc.
Capital Markets
2020
Pledge Agreement between Runway Growth Credit Fund Inc. and CIBC Bank USA dated June 22, 2018
Pledge Agreements
Runway Growth Credit Fund Inc.
Capital Markets
IL
2018
Pledge Amendment to Pledge Agreement between Harvest Capital Credit Corporation and Pacific Western Bank (November 28, 2017)
Pledge Agreements
Harvest Capital Credit Corp
Capital Markets
2018
Pledge and Security Agreement between Fifth Street Holdings L.P. and Fifth Street Finance Corp. dated October 17, 2017
Pledge Agreements
Oaktree Specialty Lending Corp
Capital Markets
DE
2017
Pledge and Security Agreement between Fifth Street Senior Floating Rate Corp. and Fifth Street Holdings L.P. dated October 17, 2017
Pledge Agreements
Oaktree Strategic Income Corp
Capital Markets
DE
2017
Pledge Agreement between GlassBridge Enterprises, Inc. and IOENGINE, LLC dated September 28, 2017
Pledge Agreements
GlassBridge Enterprises, Inc.
Capital Markets
NY
2017
Security and Pledge Agreement between United Online, Inc. and Banc of California, N.A. (April 13, 2017)
Pledge Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2017
Pledge and Security Agreement among Safeguard Scientifics, Inc., Subsidiaries, and HPS Investment Partners, LLC (May 11, 2017)
Pledge Agreements
SAFEGUARD SCIENTIFICS INC
Capital Markets
NY
2017
Share Pledge Agreement among Greenpro Holding Limited, LOKE Che Chan, Gilbert, LEE Chong Kuang, and Greenpro Synergy Network Limited dated June 13, 2016
Pledge Agreements
Greenpro Capital Corp.
Capital Markets
2016
Pledge Agreement between Harvest Capital Credit Corporation and Pacific Western Bank (August 4, 2016)
Pledge Agreements
Harvest Capital Credit Corp
Capital Markets
2016
Amended and Restated Pledge and Security Agreement between MarketAxess Holdings Inc. and JPMorgan Chase Bank, N.A.
Pledge Agreements
MarketAxess Holdings Inc
Capital Markets
NY
2015
Stock Pledge Agreement between Ladenburg Thalmann Financial Services Inc. and Representatives of Former Shareholders of SSN and RCC
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
TN
2015
Pledge and Escrow Agreement among GSV Capital Corp. and U.S. Bank National Association (Trustee and Escrow Agent)
Pledge Agreements
GSV Capital Corp.
Capital Markets
NY
2013
Pledge and Security Agreement between MarketAxess Holdings Inc., Subsidiaries, and JPMorgan Chase Bank, N.A. (2013)
Pledge Agreements
MarketAxess Holdings Inc
Capital Markets
DE
2013
Securities Account Control Agreement among Walnut Street Funding LLC and Wells Fargo Bank, N.A. (May 17, 2012)
Pledge Agreements
FS KKR Capital Corp
Capital Markets
NY
2012
Equity Pledge Agreement among Triangle Capital Corporation, Subsidiaries, and Branch Banking and Trust Company (BB&T)
Pledge Agreements
Barings BDC, Inc.
Capital Markets
NC
2011
Amended and Restated Equity Pledge Agreement among Main Street Capital Corporation, Main Street Equity Interests, Inc., and Branch Banking and Trust Company
Pledge Agreements
Main Street Capital CORP
Capital Markets
NC
2010
Pledge Agreement between Fifth Street Finance Corp. and Wells Fargo Bank, N.A. (November 16, 2009)
Pledge Agreements
Oaktree Specialty Lending Corp
Capital Markets
NY
2009
Pledge and Security Agreement between Gain Capital Holdings, Inc., Silicon Valley Bank, and JPMorgan Chase Bank, N.A.
Pledge Agreements
GAIN Capital Holdings, Inc.
Capital Markets
CA
2009
Collateral Agreement between Goldman Sachs Bank USA, The Goldman Sachs Group, Inc., and Subsidiaries (November 28, 2008)
Pledge Agreements
Goldman Sachs
Capital Markets
NY
2009
Pledge and Security Agreement between Equus Total Return, Inc. and Amegy Bank National Association (August 13, 2008)
Pledge Agreements
EQUUS TOTAL RETURN, INC.
Capital Markets
TX
2008
Equity Pledge Agreement among Main Street Capital Corporation, Main Street Equity Interests, Inc., and Branch Banking and Trust Company (BB&T)
Pledge Agreements
Main Street Capital CORP
Capital Markets
NC
2008
Share Pledge Agreement between Ladenburg Thalmann Financial Services Inc. and Representatives of Former Triad Advisors, Inc. Shareholders
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
FL
2008
ISDA Credit Support Annex between Barclays Bank PLC and Legg Mason, Inc. dated December 28, 2007
Pledge Agreements
Legg Mason Inc
Capital Markets
2008
Collateral Agreement among State Street Corporation, U.S. Bank National Association, and State Street Capital Trust III (January 25, 2008)
Pledge Agreements
State Street Corp.
Capital Markets
MA
2008
Pledge Agreement between Ladenburg Thalmann Financial Services Inc. and Bruce A. Zwigard dated October 19, 2007
Pledge Agreements
LADENBURG THALMANN FINANCIAL SERVICES INC.
Capital Markets
2007
Pledge Agreement between Pledgors and Roynat Business Capital Inc. regarding AZ LIMOS LLC Equity Interests
Pledge Agreements
Heritage Global Inc.
Capital Markets
2007
Pledge and Collateral Agency Agreement between Interactive Brokers Group LLC, Subsidiaries, and JPMorgan Chase Bank, N.A. (May 19, 2006)
Pledge Agreements
Interactive Brokers
Capital Markets
NY
2006
E*TRADE Financial Corporation Purchase Contract and Pledge Agreement with The Bank of New York (2005)
Pledge Agreements
E*Trade
Capital Markets
NY
2005
Pledge Agreement among Lazard Group Finance LLC and The Bank of New York as Collateral Agent and Trustee (May 10, 2005)
Pledge Agreements
Lazard Ltd
Capital Markets
NY
2005