Security Agreements in the Capital Markets Industry

61 Contracts & Agreements
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First Amendment to Pledge and Security Agreement, dated February 21, 2024 by and between PhenixFIN Corporation and Woodforest National Bank
Security Agreements
Medley Capital Corp
Capital Markets
2024
Pledge and Security Agreement, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (filed as Exhibit 10.5 to the Companys Quarterly...
Security Agreements
Heritage Global Inc.
Capital Markets
IL
2024
Pledge and Security Agreement, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023
Security Agreements
Heritage Global Inc.
Capital Markets
IL
2023
Pledge and Security Agreement, dated December 15, 2022 by and between PhenixFIN Corporation and Woodforest National Bank
Security Agreements
Medley Capital Corp
Capital Markets
NY
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...
Security Agreements
RAND CAPITAL CORP
Capital Markets
NY
2022
Pledge and Security Agreement, dated May 11, 2021, by and between Heritage Global Inc. and C3bank, National Association
Security Agreements
Heritage Global Inc.
Capital Markets
IL
2021
Commercial Security Agreement, dated May 11, 2014, by and between Heritage Global Inc. and C3bank, National Association
Security Agreements
Heritage Global Inc.
Capital Markets
CA
2021
Pledge and Security Agreement, dated May 11, 2021, by and between Heritage Global Inc. and C3bank, National Association
Security Agreements
Heritage Global Inc.
Capital Markets
IL
2021
Commercial Security Agreement, dated May 11, 2014, by and between Heritage Global Inc. and C3bank, National Association
Security Agreements
Heritage Global Inc.
Capital Markets
CA
2021
Letter Agreement, dated September 24, 2020, by and among the Company and certain security holders, officers and directors of the Company
Security Agreements
FinTech Acquisition Corp. IV
Capital Markets
DE
2020
Form of Letter Agreement by and between the Registrant, the Registrants security holders named therein, and the officers and directors of the Registrant
Security Agreements
FinTech Acquisition Corp. IV
Capital Markets
DE
2020
Security and Pledge Agreement, dated as of July 31, 2020, by and among the Company, the Domestic Guaranteeing Subsidiaries and the Collateral Agent
Security Agreements
INTL FCStone Inc.
Capital Markets
NY
2020
Security Agreement, dated March 17, 2020, between Glassbridge Athlete, LLC and Orix PTP Holdings, LLC
Security Agreements
GlassBridge Enterprises, Inc.
Capital Markets
DE
2020
Commercial Security Agreement by and between Heritage Global Inc., certain of its subsidiaries and C3bank, National Association, effective as of February 10, 2020
Security Agreements
Heritage Global Inc.
Capital Markets
CA
2020
Security and Pledge Agreement, dated December 19, 2018
Security Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2018
Security Agreement, dated as of August 3, 2018, between Barings Funding, as pledgor, and Bank of America N.A., as administrative agent
Security Agreements
Barings BDC, Inc.
Capital Markets
DE
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....
Security Agreements
GOLUB CAPITAL BDC, Inc.
Capital Markets
NY
2018
THIRD-PARTY SECURITY AGREEMENT (Receivables)
Security Agreements
Greenhill & Co., Inc.
Capital Markets
CA
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...
Security Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2017
FIFTH AMENDMENT TO LoanAND SECURITY AGREEMENT AND WAIVER
Security Agreements
Oaktree Strategic Income Corp
Capital Markets
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...
Security Agreements
SAFEGUARD SCIENTIFICS INC
Capital Markets
NY
2017
SECURITY AGREEMENT Partnership Distributions
Security Agreements
Greenhill & Co., Inc.
Capital Markets
CA
2017
(Face of Security)
Security Agreements
Goldman Sachs
Capital Markets
DE
2017
THIRD-PARTY SECURITY AGREEMENT (Receivables)
Security Agreements
Greenhill & Co., Inc.
Capital Markets
CA
2016
FIRST AMENDMENT TO THIRD AMENDED AND RESTATED REVOLVING CREDITAND SECURITY AGREEMENT
Security Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
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...
Security Agreements
MarketAxess Holdings Inc
Capital Markets
NY
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...
Security Agreements
B. Riley Financial, Inc.
Capital Markets
DE
2015
SECURITY AGREEMENT LLC Distributions
Security Agreements
Greenhill & Co., Inc.
Capital Markets
CA
2015
AMENDMENT NO. 2 TO SECURITY AGREEMENT
Security Agreements
Virtus Investment Partners, Inc.
Capital Markets
2014
THIRD AMENDMENTTO AMENDED AND RESTATED REVOLVINGCREDIT AND SECURITY AGREEMENT
Security Agreements
PennantPark Floating Rate Capital Ltd.
Capital Markets
NY
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...
Security Agreements
MarketAxess Holdings Inc
Capital Markets
DE
2013
AMENDMENT NO. 1 TO SECURITY AGREEMENT
Security Agreements
Virtus Investment Partners, Inc.
Capital Markets
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...
Security Agreements
Goldman Sachs
Capital Markets
DE
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...
Security Agreements
Goldman Sachs
Capital Markets
DE
2012
REAFFIRMATION OF THIRD-PARTY SECURITY AGREEMENT
Security Agreements
Greenhill & Co., Inc.
Capital Markets
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...
Security Agreements
E*Trade
Capital Markets
NY
2011
GENERAL SECURITY AGREEMENT
Security Agreements
Barings BDC, Inc.
Capital Markets
2011
AMENDED AND RESTATED GENERAL SECURITY AGREEMENT
Security Agreements
Main Street Capital CORP
Capital Markets
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...
Security Agreements
LPL Financial Holdings Inc.
Capital Markets
2010
SECURITY AGREEMENT dated as of
Security Agreements
FS KKR Capital Corp
Capital Markets
NY
2010
SECURITY AGREEMENT
Security Agreements
B. Riley Financial, Inc.
Capital Markets
CA
2009