Stock Agreements in the Capital Markets Industry
927 Contracts & Agreements
- AFFILIATED MANAGERS GROUP, INC. (12 contracts)
- ALTIMAR ACQUISITION CORP. (3)
- Ameriprise Financial (5)
- Ascendant Digital Acquisition Corp. (4)
- Ashford Inc. (4)
- AssetMark Financial Holdings, Inc. (10)
- B. Riley Financial, Inc. (5)
- 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. (9)
- Cboe Global Markets (40)
- Charles Schwab Corporation (10)
- CME Group Inc. (13)
- Cohen & Co Inc. (11)
- COHEN & STEERS INC (1)
- Coinbase Global, Inc. (3)
- CONCIERGE TECHNOLOGIES INC (2)
- ContextLogic Inc. (5)
- 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. (14)
- GAIN Capital Holdings, Inc. (4)
- GLADSTONE CAPITAL CORP (1)
- GLADSTONE INVESTMENT CORPORATION (1)
- GlassBridge Enterprises, Inc. (14)
- Goldman Sachs (30)
- Great Elm Capital Group, Inc. (12)
- Greenhill & Co., Inc. (2)
- Greenpro Capital Corp. (2)
- Hamilton Lane INC (1)
- HENNESSY ADVISORS INC (1)
- 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. (6)
- Kyto Technology & Life Science, Inc. (1)
- LADENBURG THALMANN FINANCIAL SERVICES INC. (13)
- Lazard Ltd (13)
- Legg Mason Inc (5)
- LPL Financial Holdings Inc. (6)
- Manning & Napier, Inc. (10)
- MarketAxess Holdings Inc (8)
- MEDLEY MANAGEMENT INC. (4)
- Moody's Corp (4)
- Morgan Stanley (23)
- Morningstar, Inc. (5)
- MSCI Inc (22)
- Nasdaq, Inc. (48)
- NATIONAL HOLDINGS CORP (6)
- Nebula Parent Corp. (1)
- NewHold Investment Corp. II (7)
- Newtek Business Services Corp. (2)
- Northern Trust Corp. (85)
- Och-Ziff Capital Management Group LLC (1)
- OPPENHEIMER HOLDINGS INC (1)
- P10, Inc. (2)
- Piper Jaffray Companies (12)
- PROSPECT CAPITAL CORP (2)
- Pzena Investment Management, Inc. (3)
- QUOTEMEDIA INC (2)
- RAND CAPITAL CORP (1)
- Raymond James Financial Inc. (11)
- Robinhood Markets, Inc. (7)
- S&P Global, Inc. (20)
- SAFEGUARD SCIENTIFICS INC (18)
- SEI Investments Corp (5)
- SIEBERT FINANCIAL CORP (5)
- Silvercrest Asset Management Group Inc. (2)
- State Street Corp. (4)
- 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. (2)
- U S GLOBAL INVESTORS INC (2)
- ValueSetters Inc. (4)
- 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. (9)
- Wright Investors Service Holdings, Inc. (3)
- Form of 2023 Restricted Stock Unit Award Agreement with Vesting Dates (Cboe Global Markets, Filed With SEC on August 18, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement without Retirement Vesting (3 Year Cliff Vest) (Cboe Global Markets, Filed With SEC on August 18, 2023)
- Form of certificate representing the Series W Preferred Stock (Goldman Sachs, Filed With SEC on August 18, 2023)
- Form of Cash-Linked Stock Appreciation Right Award Notice and Agreement (AssetMark Financial Holdings, Inc., Filed With SEC on August 4, 2023)
- Form of Equity-Linked Stock Appreciation Right Award Notice and Agreement (AssetMark Financial Holdings, Inc., Filed With SEC on August 4, 2023)
- Restricted Stock Award Agreement (Freedom Holding Corp., Filed With SEC on August 4, 2023)
- Form of Nasdaq Restricted Stock Unit Award Certificate (directors) (Nasdaq, Inc., Filed With SEC on August 2, 2023)
- Form of Nasdaq Restricted Stock Unit Award Certificate (employees) (Nasdaq, Inc., Filed With SEC on August 2, 2023)
- Form of Global Restricted Stock Unit Agreement for Time-Based Awards to Non-Employee Directors (Carlyle Group L.P., Filed With SEC on August 2, 2023)
- DESCRIPTION OF CAPITAL STOCK (ValueSetters Inc., Filed With SEC on July 26, 2023)
- 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 25, 2023)
- Amendment No. 2, dated as of May 10, 2023, to Stockholder Rights Agreement, dated as of March 17, 2023, between WisdomTree, Inc. and Continental Stock Transfer & Trust Company, as... (WisdomTree Investments, Inc., Filed With SEC on May 10, 2023)
- Amendment No. 3 to the Avantax, Inc. 2016 Employee Stock Purchase Plan, effective May 4, 2023 (Blucora, Inc., Filed With SEC on May 5, 2023)
- Amendment No. 1, dated as of May 4, 2023, to Stockholder Rights Agreement, dated as of March 17, 2023, between WisdomTree, Inc. and Continental Stock Transfer & Trust Company, as... (WisdomTree Investments, Inc., Filed With SEC on May 5, 2023)
- Form of Global Restricted Stock Unit Agreement for Time-Based Awards (Carlyle Group L.P., Filed With SEC on May 4, 2023)
- Form of Global Restricted Stock Unit Agreement for 2023 One-Time Time-Based Awards (Carlyle Group L.P., Filed With SEC on May 4, 2023)
- Second Tranche Stock Purchase Agreement (SIEBERT FINANCIAL CORP, Filed With SEC on May 3, 2023)
- First Tranche Stock Purchase Agreement (SIEBERT FINANCIAL CORP, Filed With SEC on May 3, 2023)
- Form of 2023 Stock Unit Award Terms and Conditions (Northern Trust Corp., Filed With SEC on May 2, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement (S&P Global, Inc., Filed With SEC on April 27, 2023)
- Form of Restricted Stock Award Agreement (Ashford Inc., Filed With SEC on March 17, 2023)
- Description of Capital Stock (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2023)
- Form of Restricted Stock Agreement for Executive Officers (2022 Equity Plan) (WisdomTree Investments, Inc., Filed With SEC on February 28, 2023)
- Form of Restricted Stock Unit Agreement of KKR & Co. Inc. (Directors) (KKR & Co. Inc., Filed With SEC on February 27, 2023)
- Employee Stock Purchase Plan as amended and restated as of (Morgan Stanley, Filed With SEC on February 24, 2023)
- Form of Fixed Allowance Restricted Stock Award Agreement (Goldman Sachs, Filed With SEC on February 24, 2023)
- Description of Class A common stock registered under Section 12 of the Securities Exchange Act of 1934, as amended (Coinbase Global, Inc., Filed With SEC on February 21, 2023)
- Form of Restricted Stock Unit Award Agreement (for Non-employee US and CDN Directors) (Cboe Global Markets, Filed With SEC on February 17, 2023)
- Form of Restricted Stock Unit Award Agreement (for Non-employee CDN Directors) (Cboe Global Markets, Filed With SEC on February 17, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement (for Executive Officers) (Cboe Global Markets, Filed With SEC on February 17, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement (relative total shareholder return) (Cboe Global Markets, Filed With SEC on February 17, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement (earnings per share) (Cboe Global Markets, Filed With SEC on February 17, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement without Retirement Vesting (relative total shareholder return) (Cboe Global Markets, Filed With SEC on February 17, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement without Retirement Vesting (earnings per share) (Cboe Global Markets, Filed With SEC on February 17, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement for Edward T. Tilly (earnings per share) (Cboe Global Markets, Filed With SEC on February 14, 2023)
- Form of 2023 Restricted Stock Unit Award Agreement for Edward T. Tilly (relative total shareholder return) (Cboe Global Markets, Filed With SEC on February 14, 2023)
- Non-Employee Director Stock Ownership Guidelines (MSCI Inc, Filed With SEC on February 10, 2023)
- Form of Restricted Stock Unit Cancellation Agreement, dated February 3, 2023, between Robinhood Markets, Inc. and, separately, (a) Vladimir Tenev and (b) Baiju Bhatt (Robinhood Markets, Inc., Filed With SEC on February 8, 2023)
- Form of Restricted Stock Unit Agreement between Blucora, Inc. and Ann Bruder (attached as Exhibit A to Exhibit 10.1 above) (Blucora, Inc., Filed With SEC on January 26, 2023)
- Form of Stock Option Agreement (ValueSetters Inc., Filed With SEC on January 5, 2023)
