Stock Agreements in the Diversified Financial Services Industry

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Description of Ordinary Shares Registered Under Section 12 of the Exchange Act – Freight Technologies, Inc.
Stock Agreements
Hudson Capital Inc.
Diversified Financial Services
2025
Description of Caliber's Capital Stock and Anti-Takeover Provisions
Stock Agreements
CaliberCos Inc.
Diversified Financial Services
2025
Description of Common Stock of Golub Capital Direct Lending Corporation as of September 30, 2022
Stock Agreements
GOLUB CAPITAL DIRECT LENDING CORP
Diversified Financial Services
2024
Description of Caliber's Capital Stock and Anti-Takeover Provisions
Stock Agreements
CaliberCos Inc.
Diversified Financial Services
2024
Description of Registered Securities of Golub Capital Direct Lending Corporation as of September 30, 2022
Stock Agreements
GOLUB CAPITAL DIRECT LENDING CORP
Diversified Financial Services
2023
Description of Capital Stock and Stockholders’ Agreement with Carlson Capital
Stock Agreements
SWK Holdings Corp
Diversified Financial Services
2023
Description of Common and Series A Convertible Preferred Stock of [Company Name]
Stock Agreements
STANDARD PREMIUM FINANCE HOLDINGS, INC.
Diversified Financial Services
2023
Description of Jackson Financial Inc. Common Stock Registered Under Section 12 of the Securities Exchange Act of 1934
Stock Agreements
Jackson Financial Inc.
Diversified Financial Services
2023
LM Funding America, Inc. Stock Option Cancellation Agreement with Employee
Stock Agreements
LM FUNDING AMERICA, INC.
Diversified Financial Services
2022
Amendment to Stock Transfer Agreement among Philux Global Group Inc., Tin Thanh Group JSC, and Tran Dinh Quyen
Stock Agreements
PHI GROUP INC
Diversified Financial Services
2022
Amendment to Stock Transfer Agreement among Philux Global Group Inc., Tin Thanh Group JSC, and Tran Dinh Quyen
Stock Agreements
PHI GROUP INC
Diversified Financial Services
2022
Stock Transfer Agreement among Philux Global Group Inc., Tin Thanh Group Joint Stock Company, and Mr. Tran Dinh Quyen
Stock Agreements
PHI GROUP INC
Diversified Financial Services
2022
Description of Common and Series A Convertible Preferred Stock of [Company Name]
Stock Agreements
STANDARD PREMIUM FINANCE HOLDINGS, INC.
Diversified Financial Services
2022
Galaxy Digital Holdings Ltd. Stock Option Repricing Agreement with Employee Participant
Stock Agreements
Galaxy Digital Holdings Ltd.
Diversified Financial Services
NY
2022
Galaxy Digital Holdings Ltd. Stock Option Grant Agreement with Christopher Ferraro (July 23, 2018)
Stock Agreements
Galaxy Digital Holdings Ltd.
Diversified Financial Services
2022
Galaxy Digital Holdings Ltd. Amended and Restated Stock Option Plan
Stock Agreements
Galaxy Digital Holdings Ltd.
Diversified Financial Services
NY
2022
Description of Registered Securities of Golub Capital Direct Lending Corporation as of September 30, 2021
Stock Agreements
GOLUB CAPITAL DIRECT LENDING CORP
Diversified Financial Services
2021
Description of GWG Holdings, Inc. Common Stock and Related Governance Provisions
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2021
AllianceBernstein L.P. Unit Transfer Guidelines Agreement
Stock Agreements
ALLIANCEBERNSTEIN L.P.
Diversified Financial Services
2021
PHI Group, Inc. Written Consent of Directors Extending Record Date for Special Stock Dividend in American Pacific Resources, Inc.
Stock Agreements
PHI GROUP INC
Diversified Financial Services
2020
Description of CCUR Holdings, Inc. Capital Stock as of June 30, 2020
Stock Agreements
CCUR Holdings, Inc.
Diversified Financial Services
2020
Description of GWG Holdings, Inc. Common Stock and Related Governance Provisions
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
DE
2020
Description of Common Stock and Related Rights of Cannae Holdings, Inc.
Stock Agreements
Cannae Holdings, Inc.
Diversified Financial Services
2020
Description of Securities of [Company Name]—Ordinary Shares, Preferred Shares, and Warrants
Stock Agreements
FGL Holdings
Diversified Financial Services
2020
Stock Purchase Agreement among Craven House Capital North America LLC, IIU, Inc., and LM Funding America, Inc. dated January 8, 2020
Stock Agreements
LM FUNDING AMERICA, INC.
Diversified Financial Services
FL
2020
Compass Diversified Holdings 7.875% Series C Cumulative Preferred Share Global Certificate (Cede & Co.)
Stock Agreements
Compass Diversified Holdings
Diversified Financial Services
2019
Description of CCUR Holdings, Inc. Capital Stock as of June 30, 2019
Stock Agreements
CCUR Holdings, Inc.
Diversified Financial Services
2019
Alerus Financial Corporation 2009 Stock Plan Performance-Based Restricted Stock Unit Award Agreement with Employee
Stock Agreements
ALERUS FINANCIAL CORP
Diversified Financial Services
DE
2019
Alerus Financial Corporation 2009 Stock Plan
Stock Agreements
ALERUS FINANCIAL CORP
Diversified Financial Services
DE
2019
On Deck Capital, Inc. 2014 Employee Stock Purchase Plan (As Amended and Restated)
Stock Agreements
On Deck Capital, Inc.
Diversified Financial Services
NY
2019
GWG Holdings, Inc. Non-Employee Director Restricted Stock Unit Agreement (2019)
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2019
AXA Equitable Holdings, Inc. Stock Purchase Plan Effective December 1, 2018
Stock Agreements
AXA Equitable Holdings, Inc.
Diversified Financial Services
DE
2019
On Deck Capital, Inc. 2014 Employee Stock Purchase Plan
Stock Agreements
On Deck Capital, Inc.
Diversified Financial Services
NY
2019
AllianceBernstein L.P. Unit Transfer Guidelines Agreement
Stock Agreements
ALLIANCEBERNSTEIN L.P.
Diversified Financial Services
2019
Stock Purchase Agreement between Blockchain Industries, Inc. and LegatumX, Inc. dated February 19, 2018
Stock Agreements
Blockchain Industries, Inc.
Diversified Financial Services
NV
2018
FlexShopper, Inc. Form of Unit Certificate for Common Stock and Warrants
Stock Agreements
FlexShopper, Inc.
Diversified Financial Services
2018
Certificate of Designation of Series B Convertible Preferred Stock of GWG Holdings, Inc.
Stock Agreements
GWG Holdings, Inc.
Diversified Financial Services
2018
AXA S.A. Stock Option Agreement for AXA Financial Employees and Associates
Stock Agreements
AXA Equitable Holdings, Inc.
Diversified Financial Services
2018
AXA Equitable Holdings, Inc. Common Stock Certificate Issued to Alexander David Sample
Stock Agreements
AXA Equitable Holdings, Inc.
Diversified Financial Services
2018
Compass Diversified Holdings 7.875% Series B Preferred Share Global Certificate (Cede & Co.)
Stock Agreements
Compass Group Diversified Holdings LLC
Diversified Financial Services
2018