Security Agreements in the Capital Markets Industry

60 Contracts & Agreements

Browse by Company

AFFILIATED MANAGERS GROUP, INC. (1 contract)
B. Riley Financial, Inc. (7)
Barings BDC, Inc. (2)
Charles Schwab Corporation (2)
Cohen & Co Inc. (1)
E*Trade (1)
ENTERPRISE DIVERSIFIED, INC. (2)
EQUUS TOTAL RETURN, INC. (1)
FinTech Acquisition Corp. IV (2)
FS KKR Capital Corp (1)
GlassBridge Enterprises, Inc. (1)
Goldman Sachs (7)
GOLUB CAPITAL BDC, Inc. (1)
Greenhill & Co., Inc. (7)
Heritage Global Inc. (8)
INTL FCStone Inc. (1)
Lazard Ltd (1)
LPL Financial Holdings Inc. (1)
Main Street Capital CORP (3)
MarketAxess Holdings Inc (2)
Medley Capital Corp (1)
Oaktree Strategic Income Corp (1)
PennantPark Floating Rate Capital Ltd. (2)
RAND CAPITAL CORP (1)
SAFEGUARD SCIENTIFICS INC (1)
Virtus Investment Partners, Inc. (2)

Recent Contracts

Pledge and Security Agreement, 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)
Pledge and Security Agreement, dated December 15, 2022 by and between PhenixFIN Corporation and Woodforest National Bank (Medley Capital Corp, Filed With SEC on December 16, 2022)
General Security Agreement, dated June 27, 2022, by Rand Capital Corporation and each of the subsidiaries listed therein, as debtors, in favor of Manufacturers and Traders Trust... (RAND CAPITAL CORP, Filed With SEC on June 27, 2022)
Pledge and Security Agreement, dated May 11, 2021, by and between Heritage Global Inc. and C3bank, National Association (Heritage Global Inc., Filed With SEC on August 12, 2021)
Commercial Security Agreement, dated May 11, 2014, by and between Heritage Global Inc. and C3bank, National Association (Heritage Global Inc., Filed With SEC on August 12, 2021)
Pledge and Security Agreement, dated May 11, 2021, by and between Heritage Global Inc. and C3bank, National Association (Heritage Global Inc., Filed With SEC on May 13, 2021)
Commercial Security Agreement, dated May 11, 2014, by and between Heritage Global Inc. and C3bank, National Association (Heritage Global Inc., Filed With SEC on May 13, 2021)
Letter Agreement, dated September 24, 2020, by and among the Company and certain security holders, officers and directors of the Company (FinTech Acquisition Corp. IV, Filed With SEC on September 30, 2020)
Form of Letter Agreement by and between the Registrant, the Registrants security holders named therein, and the officers and directors of the Registrant (FinTech Acquisition Corp. IV, Filed With SEC on September 11, 2020)
Security and Pledge Agreement, dated as of July 31, 2020, by and among the Company, the Domestic Guaranteeing Subsidiaries and the Collateral Agent (INTL FCStone Inc., Filed With SEC on July 31, 2020)
Security Agreement, dated March 17, 2020, between Glassbridge Athlete, LLC and Orix PTP Holdings, LLC (GlassBridge Enterprises, Inc., Filed With SEC on April 3, 2020)
Commercial Security Agreement by and between Heritage Global Inc., certain of its subsidiaries and C3bank, National Association, effective as of February 10, 2020 (Heritage Global Inc., Filed With SEC on February 14, 2020)
Security and Pledge Agreement, dated December 19, 2018 (B. Riley Financial, Inc., Filed With SEC on December 27, 2018)
Security Agreement, dated as of August 3, 2018, between Barings Funding, as pledgor, and Bank of America N.A., as administrative agent (Barings BDC, Inc., Filed With SEC on August 6, 2018)
Security Agreement, dated as of July 20, 2018, by and among Golub Capital BDC 2010-1 LLC, as the borrower, Morgan Stanley Senior Funding, Inc., as administrative agent, and U.S.... (GOLUB CAPITAL BDC, Inc., Filed With SEC on July 23, 2018)
THIRD-PARTY SECURITY AGREEMENT (Receivables) (Greenhill & Co., Inc., Filed With SEC on August 9, 2017)
Security and Pledge Agreement, dated as of April 13, 2017, by and among United Online, Inc., the subsidiaries of United Online, Inc. from time to time party thereto and Banc of... (B. Riley Financial, Inc., Filed With SEC on August 8, 2017)
FIFTH AMENDMENT TO LoanAND SECURITY AGREEMENT AND WAIVER (Oaktree Strategic Income Corp, Filed With SEC on July 17, 2017)
Dated May 11, 2017 PLEDGE AND SECURITY AGREEMENT among SAFEGUARD SCIENTIFICS,INC. EACH OF THE GRANTORS PARTY HERETO and HPS INVESTMENT PARTNERS,LLC as Collateral Agent TABLE OF... (SAFEGUARD SCIENTIFICS INC, Filed With SEC on May 12, 2017)
SECURITY AGREEMENT Partnership Distributions (Greenhill & Co., Inc., Filed With SEC on May 8, 2017)
(Face of Security) (Goldman Sachs, Filed With SEC on January 19, 2017)
THIRD-PARTY SECURITY AGREEMENT (Receivables) (Greenhill & Co., Inc., Filed With SEC on February 26, 2016)
FIRST AMENDMENT TO THIRD AMENDED AND RESTATED REVOLVING CREDITAND SECURITY AGREEMENT (PennantPark Floating Rate Capital Ltd., Filed With SEC on November 12, 2015)
AMENDED AND RESTATED PLEDGE AND SECURITY AGREEMENT dated as of January 14,2013, amended and restated as of October 30, 2015, by MARKETAXESS HOLDINGS INC. and its SUBSIDIARIES... (MarketAxess Holdings Inc, Filed With SEC on November 3, 2015)
SECURITY AGREEMENT by THE WET SEAL, INC., as the Lead Borrower,as a Debtor and as a Debtor-in-Possession and THE OTHER BORROWERS AND GUARANTORS PARTYHERETO FROM TIME TO TIME, as... (B. Riley Financial, Inc., Filed With SEC on May 7, 2015)
SECURITY AGREEMENT LLC Distributions (Greenhill & Co., Inc., Filed With SEC on April 7, 2015)
AMENDMENT NO. 2 TO SECURITY AGREEMENT (Virtus Investment Partners, Inc., Filed With SEC on February 24, 2014)
THIRD AMENDMENTTO AMENDED AND RESTATED REVOLVINGCREDIT AND SECURITY AGREEMENT (PennantPark Floating Rate Capital Ltd., Filed With SEC on May 9, 2013)
PLEDGE AND SECURITY AGREEMENT dated as of January 14, 2013 by MARKETAXESSHOLDINGS INC. and its SUBSIDIARIES PARTY HERETO in favor of JPMORGAN CHASE BANK, N.A. as Administrative... (MarketAxess Holdings Inc, Filed With SEC on January 17, 2013)
AMENDMENT NO. 1 TO SECURITY AGREEMENT (Virtus Investment Partners, Inc., Filed With SEC on November 7, 2012)
VESEY STREET INVESTMENT TRUST I 4.404% Senior Guaranteed Trust Securities (Liquidation amount $1,000 per Trust Security) guaranteed by THE GOLDMAN SACHS GROUP, INC. DISTRIBUTION... (Goldman Sachs, Filed With SEC on July 20, 2012)
MURRAY STREET INVESTMENT TRUSTI 4.647% Senior Guaranteed Trust Securities (Liquidation amount $1,000 per Trust Security) guaranteed by THE GOLDMAN SACHS GROUP, INC. DISTRIBUTION... (Goldman Sachs, Filed With SEC on March 9, 2012)
REAFFIRMATION OF THIRD-PARTY SECURITY AGREEMENT (Greenhill & Co., Inc., Filed With SEC on August 5, 2011)
SECURITY AGREEMENT dated as of June 15, 2011 among E*TRADE FINANCIAL CORPORATION, THE SUBSIDIARY GRANTORS PARTY HERETO and THE BANK OF NEW YORK MELLON, as Collateral Trustee TABLE... (E*Trade, Filed With SEC on August 4, 2011)
GENERAL SECURITY AGREEMENT (Barings BDC, Inc., Filed With SEC on May 11, 2011)
AMENDED AND RESTATED GENERAL SECURITY AGREEMENT (Main Street Capital CORP, Filed With SEC on September 21, 2010)
TEN COM- as tenants in common UNIF GIFT MIN ACT- Custodian TEN ENT- as tenants by the entireties (Cust) (Minor) JT TEN- as joint tenants with right of survivorship and not as... (LPL Financial Holdings Inc., Filed With SEC on July 23, 2010)
SECURITY AGREEMENT dated as of (FS KKR Capital Corp, Filed With SEC on March 16, 2010)
SECURITY AGREEMENT (B. Riley Financial, Inc., Filed With SEC on August 31, 2009)
SECURITY AGREEMENT (B. Riley Financial, Inc., Filed With SEC on August 31, 2009)