Stock Agreements in the Capital Markets Industry
961 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. (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 (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. (14)
- GAIN Capital Holdings, Inc. (4)
- GLADSTONE CAPITAL CORP (1)
- GLADSTONE INVESTMENT CORPORATION (1)
- GlassBridge Enterprises, Inc. (19)
- Goldman Sachs (31)
- 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 (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 (13)
- PROSPECT CAPITAL CORP (2)
- Pzena Investment Management, Inc. (3)
- QUOTEMEDIA INC (2)
- RAND CAPITAL CORP (1)
- Raymond James Financial Inc. (12)
- 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. (6)
- 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. (10)
- Wright Investors Service Holdings, Inc. (3)
- 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)
- Ameriprise Financial Form of Award Certificate - Restricted Stock Award (for grants after April 26, 2023) (Ameriprise Financial, Filed With SEC on February 22, 2024)
- Statement of Terms and Conditions of the 2023 Elective Restricted Stock Unit Award for NonEmployee Directors (Moelis & Co, Filed With SEC on February 22, 2024)
- Statement of Terms and Conditions of the 2023 Annual Restricted Stock Unit Award for NonEmployee Directors (Moelis & Co, Filed With SEC on February 22, 2024)
- Form of 2024 Restricted Stock Unit Award Agreement without Retirement Vesting (3 Year Cliff Vest) (Cboe Global Markets, Filed With SEC on February 16, 2024)
- Form of 2024 Restricted Stock Unit Award Agreement without Retirement Vesting (earnings per share) (Cboe Global Markets, Filed With SEC on February 16, 2024)
- Form of 2024 Restricted Stock Unit Award Agreement without Retirement Vesting (relative total shareholder return) (Cboe Global Markets, Filed With SEC on February 16, 2024)
- Form of 2024 Restricted Stock Unit Award Agreement (earnings per share) (Cboe Global Markets, Filed With SEC on February 16, 2024)
- Form of 2024 Restricted Stock Unit Award Agreement (relative total shareholder return) (Cboe Global Markets, Filed With SEC on February 16, 2024)
- Form of 2024 Restricted Stock Unit Award Agreement (for Executive Officers) (Cboe Global Markets, Filed With SEC on February 16, 2024)
- Amendment to Stock Purchase Agreement, dated as of February 13, 2024, by and between GlassBridge Enterprises, Inc. and Tacora Capital, LP (GlassBridge Enterprises, Inc., Filed With SEC on February 15, 2024)
- Form of Restricted Stock Unit Award Agreement for Directors and Advisory Committee Members (HENNESSY ADVISORS INC, Filed With SEC on February 8, 2024)
- Form of Restricted Stock Unit Award Agreement for Employees (HENNESSY ADVISORS INC, Filed With SEC on February 8, 2024)
- Form of certificate representing the Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock, Series I (State Street Corp., Filed With SEC on January 30, 2024)
- Articles of Amendment of State Street Corporation with respect to the Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock, Series I, filed on January 30, 2024 (State Street Corp., Filed With SEC on January 30, 2024)
- Form of Stock Certificate (Lazard Ltd, Filed With SEC on January 2, 2024)
- Description of Capital Stock (Raymond James Financial Inc., Filed With SEC on November 21, 2023)
- Form of Restricted Stock Grant Notice and Restricted Stock Agreement (Ascendant Digital Acquisition Corp., Filed With SEC on November 9, 2023)
- Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement (Non-Employee Directors) (Ascendant Digital Acquisition Corp., Filed With SEC on November 9, 2023)
- Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement (Employees) (Ascendant Digital Acquisition Corp., Filed With SEC on November 9, 2023)
- Restricted Stock Unit Award Agreement, dated October 12, 2023, for Fredric J. Tomczyk (Cboe Global Markets, Filed With SEC on November 3, 2023)
- Redemption Agreement, dated as of September 25, 2023, by and among GlassBridge Enterprises, Inc. and certain holders of Common Stock of GlassBridge Enterprises, Inc (GlassBridge Enterprises, Inc., Filed With SEC on September 29, 2023)
- Stock Purchase Agreement, dated as of September 25, 2023, by and between GlassBridge Enterprises, Inc. and Tacora Capital, LP (GlassBridge Enterprises, Inc., Filed With SEC on September 29, 2023)
- GlassBridge Enterprises, Inc. Series 2 Restricted Stock Unit Award Agreement, dated as of September 25, 2023, by and between GlassBridge Enterprises, Inc. and Tacora Capital, LP (GlassBridge Enterprises, Inc., Filed With SEC on September 29, 2023)
- GlassBridge Enterprises, Inc. Series 1 Restricted Stock Unit Award Agreement, dated as of September 25, 2023, by and between GlassBridge Enterprises, Inc. and Tacora Capital, LP (GlassBridge Enterprises, Inc., Filed With SEC on September 29, 2023)
- Form of certificate representing the Series W Preferred Stock (Goldman Sachs, 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 2023 Restricted Stock Unit Award Agreement with Vesting Dates (Cboe Global Markets, Filed With SEC on August 18, 2023)
- Restricted Stock Award Agreement (Freedom Holding Corp., Filed With SEC on August 4, 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)