Stock Agreements in the Capital Markets Industry
991 Contracts & Agreements
- AFFILIATED MANAGERS GROUP, INC. (12 contracts)
- ALTIMAR ACQUISITION CORP. (3)
- Ameriprise Financial (8)
- Ascendant Digital Acquisition Corp. (7)
- Ashford Inc. (4)
- AssetMark Financial Holdings, Inc. (11)
- B. Riley Financial, Inc. (6)
- Barings BDC, Inc. (1)
- BC Partners Lending Corp (1)
- BGC Partners, Inc. (10)
- BlackRock (2)
- BlackRock Capital Investment Corp (1)
- Blackstone Group L.P. (3)
- Blucora, Inc. (21)
- Bridge Investment Group Holdings Inc. (1)
- BrightSphere Investment Group Inc. (5)
- CAPITAL SOUTHWEST CORP (16)
- Carlyle Group L.P. (11)
- Cboe Global Markets (47)
- Charles Schwab Corporation (10)
- CME Group Inc. (14)
- Cohen & Co Inc. (11)
- COHEN & STEERS INC (1)
- Coinbase Global, Inc. (3)
- CONCIERGE TECHNOLOGIES INC (2)
- ContextLogic Inc. (6)
- COWEN INC. (9)
- DIAMOND HILL INVESTMENT GROUP INC (2)
- Donnelley Financial Solutions, Inc. (7)
- E*Trade (11)
- Eaton Vance Corp (5)
- ENTERPRISE DIVERSIFIED, INC. (6)
- Evercore (16)
- FactSet Research Systems Inc (5)
- Federated Investors (11)
- FinTech Acquisition Corp. IV (6)
- Franklin Resources (6)
- Freedom Holding Corp. (23)
- GAIN Capital Holdings, Inc. (4)
- GLADSTONE CAPITAL CORP (1)
- GLADSTONE INVESTMENT CORPORATION (1)
- GlassBridge Enterprises, Inc. (20)
- Goldman Sachs (33)
- Great Elm Capital Group, Inc. (12)
- Greenhill & Co., Inc. (2)
- Greenpro Capital Corp. (2)
- Hamilton Lane INC (1)
- HENNESSY ADVISORS INC (3)
- Hercules Capital, Inc. (4)
- Heritage Global Inc. (14)
- Interactive Brokers (4)
- Intercontinental Exchange (1)
- INTL FCStone Inc. (3)
- Invesco Ltd. (5)
- Investment Technology Group, Inc. (50)
- Janus Henderson Group plc (2)
- KCAP Financial, Inc. (4)
- KKR & Co. Inc. (7)
- Kyto Technology & Life Science, Inc. (1)
- LADENBURG THALMANN FINANCIAL SERVICES INC. (13)
- Lazard Ltd (14)
- Legg Mason Inc (5)
- LPL Financial Holdings Inc. (6)
- Manning & Napier, Inc. (10)
- MarketAxess Holdings Inc (8)
- MEDLEY MANAGEMENT INC. (4)
- Moelis & Co (2)
- Moody's Corp (4)
- Morgan Stanley (24)
- Morningstar, Inc. (5)
- MSCI Inc (24)
- Nasdaq, Inc. (50)
- NATIONAL HOLDINGS CORP (6)
- Nebula Parent Corp. (1)
- NewHold Investment Corp. II (7)
- Newtek Business Services Corp. (2)
- Northern Trust Corp. (86)
- Och-Ziff Capital Management Group LLC (1)
- OPPENHEIMER HOLDINGS INC (1)
- P10, Inc. (2)
- Piper Jaffray Companies (13)
- PROSPECT CAPITAL CORP (3)
- Pzena Investment Management, Inc. (3)
- QUOTEMEDIA INC (2)
- RAND CAPITAL CORP (1)
- Raymond James Financial Inc. (13)
- Robinhood Markets, Inc. (7)
- S&P Global, Inc. (22)
- SAFEGUARD SCIENTIFICS INC (18)
- SEI Investments Corp (5)
- SIEBERT FINANCIAL CORP (5)
- Silvercrest Asset Management Group Inc. (2)
- State Street Corp. (8)
- Stifel Financial Corp (3)
- T. Rowe Price Group (2)
- TD AMERITRADE HOLDING CORP (21)
- The Bank of New York Mellon Corp. (7)
- Tradeweb Markets Inc. (2)
- Trinity Capital Inc. (3)
- U S GLOBAL INVESTORS INC (2)
- ValueSetters Inc. (7)
- Victory Capital Holdings, Inc. (3)
- Virtu Financial, Inc. (3)
- Virtus Investment Partners, Inc. (5)
- VPC Impact Acquisition Holdings (6)
- Waddell & Reed Financial, Inc. (38)
- WESTWOOD HOLDINGS GROUP INC (1)
- WisdomTree Investments, Inc. (10)
- Wright Investors Service Holdings, Inc. (3)
- Description of Capital Stock (Raymond James Financial Inc., Filed With SEC on November 26, 2024)
- Restricted Stock Award Agreement dated July 12, 2024 between Freedom Holding Corp. and Evgeny Ler (Freedom Holding Corp., Filed With SEC on November 8, 2024)
- Restricted Stock Award Agreement dated July 12, 2024 between Freedom Holding Corp. and Askar Tashtitov (Freedom Holding Corp., Filed With SEC on November 8, 2024)
- MSCI Inc. Executive Committee Stock Ownership Guidelines (MSCI Inc, Filed With SEC on October 31, 2024)
- Opinion of Venable LLP as to the validity of shares of Preferred Stock (PROSPECT CAPITAL CORP, Filed With SEC on October 17, 2024)
- Form of certificate representing the Series Y Preferred Stock (Goldman Sachs, Filed With SEC on September 26, 2024)
- Restricted Stock Award Agreement dated Ma (Freedom Holding Corp., Filed With SEC on August 9, 2024)
- Restricted Stock Award Agreement dated (Freedom Holding Corp., Filed With SEC on August 9, 2024)
- Restricted Stock Award Agreement (Freedom Holding Corp., Filed With SEC on August 9, 2024)
- Restricted Stock Award Agreement (Freedom Holding Corp., Filed With SEC on August 9, 2024)
- Form of Global Restricted Stock Unit Agreement for Time-Based Awards to Non-Employee Directors (Carlyle Group L.P., Filed With SEC on August 6, 2024)
- Form of Nasdaq Restricted Stock Unit Award Certificate (directors) (Nasdaq, Inc., Filed With SEC on August 6, 2024)
- Form of Nasdaq Restricted Stock Unit Award Certificate (employees) (Nasdaq, Inc., Filed With SEC on August 6, 2024)
- Description of capital stock (ValueSetters Inc., Filed With SEC on July 29, 2024)
- Form of certificate representing the Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock, Series J (State Street Corp., Filed With SEC on July 23, 2024)
- Articles of Amendment of State Street Corporation with respect to the Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock, Series J, filed on July 18, 2024 (State Street Corp., Filed With SEC on July 23, 2024)
- Form of Award Agreement for Restricted Stock Units for Directors Under the MSCI Inc. 2016 Non-Employee Directors Compensation Plan (MSCI Inc, Filed With SEC on July 23, 2024)
- Series 1 Restricted Stock Unit Agreement, dated as of July 16, 2024, by and between GlassBridge Enterprises, Inc. and Alex Spiro (GlassBridge Enterprises, Inc., Filed With SEC on July 22, 2024)
- Restricted Stock Award Agreement, effective (Freedom Holding Corp., Filed With SEC on June 14, 2024)
- Restricted Stock Award Agreement, effective May (Freedom Holding Corp., Filed With SEC on June 14, 2024)
- Restricted Stock Award Agreement, effective May 18, 2021, between Freedom Holding Corp. and Renat Tukanov (Freedom Holding Corp., Filed With SEC on June 14, 2024)
- Amendment No. 1 to the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan (Trinity Capital Inc., Filed With SEC on June 14, 2024)
- Form of Global Restricted Stock Unit Agreement for 2024 Time-Based Awards (Carlyle Group L.P., Filed With SEC on May 7, 2024)
- Form of 2024 Restricted Stock Unit Award Terms and Conditions (Termination Acceleration) (S&P Global, Inc., Filed With SEC on April 25, 2024)
- Form of 2024 Restricted Stock Unit Award Terms and Conditions (S&P Global, Inc., Filed With SEC on April 25, 2024)
- Stock Purchase Agreement dated April 24, 2024 between Netcapital Inc. and Paul Riss (ValueSetters Inc., Filed With SEC on April 25, 2024)
- Stock Purchase Agreement dated April 24, 2024 between Netcapital Inc. and Steven Geary (ValueSetters Inc., Filed With SEC on April 25, 2024)
- Form of Restricted Stock Unit Award Agreement (B. Riley Financial, Inc., Filed With SEC on April 24, 2024)
- Form of certificate representing the Series X Preferred Stock (Goldman Sachs, Filed With SEC on April 23, 2024)
- Form of 2024 Stock Unit Award Terms and Conditions (Northern Trust Corp., Filed With SEC on April 23, 2024)
- Description of Capital Stock (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2024)
- CME Group Inc. Fourth Amendment and Restated Omnibus Stock Plan (As amended and restated effective March 1, 2024) (CME Group Inc., Filed With SEC on March 7, 2024)
- Description of Capital Stock (ContextLogic Inc., Filed With SEC on March 5, 2024)
- Form of Restricted Stock Unit Agreement of KKR & Co. Inc. (Directors) (KKR & Co. Inc., Filed With SEC on February 29, 2024)
- Form of Restricted Stock and Mutual Fund Restricted Share Agreement for Employee Grants in 202 (Piper Jaffray Companies, Filed With SEC on February 26, 2024)
- Form of Fixed Allowance Restricted Stock Award Agreement (Goldman Sachs, Filed With SEC on February 23, 2024)
- Form of Restricted Stock Agreement for Executive Officers applicable to grants after January 1, 2024 (2022 Equity Plan) (WisdomTree Investments, Inc., Filed With SEC on February 23, 2024)
- Form of Award Certificate for Discretionary Retention Awards of Stock Units (Morgan Stanley, Filed With SEC on February 22, 2024)
- Ameriprise Financial Form of Award Certificate - Non-Qualified Stock Option Award (for grants after April 26, 2023) (Ameriprise Financial, Filed With SEC on February 22, 2024)
- Ameriprise Financial Form of Award Certificate - Restricted Stock Unit Award (for grants after April 26, 2023) (Ameriprise Financial, Filed With SEC on February 22, 2024)
