Underwriting Agreements in the Capital Markets Industry

626 Contracts & Agreements

Browse by Company

AFFILIATED MANAGERS GROUP, INC. (11 contracts)
ALTIMAR ACQUISITION CORP. (5)
Ameriprise Financial (11)
Apollo Global Management LLC (5)
APOLLO INVESTMENT CORP (2)
Ares Management Corp (11)
Artisan Partners Asset Management Inc. (9)
Ascendant Digital Acquisition Corp. (2)
Ashford Inc. (1)
AssetMark Financial Holdings, Inc. (1)
B. Riley Financial, Inc. (17)
Barings BDC, Inc. (1)
BGC Partners, Inc. (3)
BlackRock (15)
BlackRock Capital Investment Corp (3)
BlackRock TCP Capital Corp. (6)
Blackstone / GSO Secured Lending Fund (2)
Blackstone Group L.P. (2)
Bridge Investment Group Holdings Inc. (1)
CAPITAL SOUTHWEST CORP (10)
Carlyle Group L.P. (4)
Cboe Global Markets (4)
Charles Schwab Corporation (33)
CION Investment Corp (1)
CME Group Inc. (3)
CONCIERGE TECHNOLOGIES INC (2)
ContextLogic Inc. (1)
COWEN INC. (3)
Donnelley Financial Solutions, Inc. (1)
E*Trade (12)
Eaton Vance Corp (2)
Evercore (4)
FactSet Research Systems Inc (1)
FIDUS INVESTMENT Corp (3)
FinTech Acquisition Corp. IV (5)
Focus Financial Partners Inc. (5)
Franklin Resources (8)
Freedom Holding Corp. (1)
FS KKR Capital Corp (10)
GAMCO INVESTORS, INC. ET AL (1)
GLADSTONE CAPITAL CORP (4)
GLADSTONE INVESTMENT CORPORATION (5)
Goldman Sachs (7)
GOLDMAN SACHS ASSET BACKED SECURITIES CORP (2)
Goldman Sachs BDC, Inc. (1)
GOLUB CAPITAL BDC, Inc. (8)
Great Elm Capital Corp. (3)
GSV Capital Corp. (1)
Hamilton Lane INC (11)
HENNESSY ADVISORS INC (2)
Hercules Capital, Inc. (4)
Heritage Global Inc. (1)
Horizon Technology Finance Corp (5)
HOULIHAN LOKEY, INC. (8)
Intercontinental Exchange (7)
Invesco Ltd. (1)
Janus Henderson Group plc (1)
KKR & Co. Inc. (4)
LADENBURG THALMANN FINANCIAL SERVICES INC. (5)
Lazard Ltd (5)
Legg Mason Inc (5)
LPL Financial Holdings Inc. (3)
Main Street Capital CORP (8)
Manning & Napier, Inc. (1)
MarketAxess Holdings Inc (1)
Medley Capital Corp (1)
Moelis & Co (6)
MONROE CAPITAL Corp (1)
Moody's Corp (15)
MORGAN STANLEY ABS CAPITAL I INC CDC MOR CAP TR 2004-HE2 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-HE7 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-NC3 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-NC4 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-NC5 (1)
Morgan Stanley ABS Capital I Inc. Trust 2006-WMC2 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2012-C5 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2012-C6 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C10 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C11 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C12 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C13 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C9 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2014-C17 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2014-C18 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2014-C19 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C21 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C22 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C24 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C25 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C26 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2015-C27 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C28 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C29 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C30 (3)
Morgan Stanley Bank of America Merrill Lynch Trust 2016-C32 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2017-C33 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2017-C34 (1)
Morgan Stanley Capital I Trust 2011-C3 (1)
Morgan Stanley Capital I Trust 2012-C4 (1)
Morgan Stanley Capital I Trust 2015-UBS8 (1)
Morgan Stanley Capital I Trust 2016-BNK2 (1)
Morgan Stanley Capital I Trust 2016-UBS11 (2)
Morgan Stanley Capital I Trust 2016-UBS12 (1)
Morgan Stanley Capital I Trust 2016-UBS9 (1)
Morgan Stanley Capital I Trust 2017-H1 (1)
Morgan Stanley Capital I Trust 2017-HR2 (1)
Morgan Stanley Capital I Trust 2018-H3 (1)
Morgan Stanley Capital I Trust 2018-H4 (1)
Morgan Stanley Capital I Trust 2018-L1 (1)
Morgan Stanley Capital I Trust 2019-H6 (1)
Morgan Stanley Capital I Trust 2019-H7 (1)
Morgan Stanley Capital I Trust 2019-L2 (1)
Morgan Stanley Capital I Trust 2019-L3 (1)
Morgan Stanley Capital I Trust 2020-HR8 (1)
Morgan Stanley Capital I Trust 2020-L4 (1)
Morgan Stanley Capital I Trust 2021-L5 (1)
Morgan Stanley Capital I Trust 2021-L6 (1)
Morgan Stanley Capital I Trust 2021-L7 (1)
Morgan Stanley Capital I Trust 2022-L8 (1)
Morgan Stanley Structured Trust I 2007-1 (1)
MSCI Inc (2)
MVC CAPITAL, INC. (1)
Nasdaq, Inc. (16)
Nebula Parent Corp. (4)
New Mountain Finance Corp (3)
NewHold Investment Corp. II (4)
Newtek Business Services Corp. (1)
Northern Trust Corp. (13)
Oaktree Specialty Lending Corp (3)
Och-Ziff Capital Management Group LLC (1)
OFS Capital Corp (4)
Owl Rock Capital Corp (6)
Oxford Square Capital Corp. (1)
P10, Inc. (2)
PennantPark Floating Rate Capital Ltd. (4)
PENNANTPARK INVESTMENT CORP (3)
PROSPECT CAPITAL CORP (9)
Pzena Investment Management, Inc. (1)
Raymond James Financial Inc. (9)
Robinhood Markets, Inc. (2)
Runway Growth Credit Fund Inc. (3)
S&P Global, Inc. (4)
Silvercrest Asset Management Group Inc. (3)
State Street Corp. (38)
Stellus Capital Investment Corp (1)
StepStone Group Inc. (4)
Stifel Financial Corp (11)
Tango Holdings, Inc. (3)
TCG BDC, INC. (2)
TD AMERITRADE HOLDING CORP (3)
The Bank of New York Mellon Corp. (7)
TPG Partners, LLC (4)
TPG Specialty Lending, Inc. (8)
Tradeweb Markets Inc. (3)
Trinity Capital Inc. (8)
TriplePoint Venture Growth BDC Corp. (2)
ValueSetters Inc. (4)
Victory Capital Holdings, Inc. (1)
Virtu Financial, Inc. (8)
Virtus Investment Partners, Inc. (3)
VPC Impact Acquisition Holdings (2)
Waddell & Reed Financial, Inc. (2)
WhiteHorse Finance, Inc. (5)
WisdomTree Investments, Inc. (2)

Recent Contracts

Underwriting Agreement, dated as of December 10, 2024, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Oppenheimer & Co. Inc., as... (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on December 12, 2024)
Underwriting Agreement dated as of December 2, 2024 among Blackstone Reg Finance Co. L.L.C., the Guarantors party thereto and BofA Securities, Inc., Citigroup Global Markets Inc.,... (Blackstone Group L.P., Filed With SEC on December 6, 2024)
Underwriting Agreement, dated November 25, 2024, by and among Golub Capital BDC, Inc., GC Advisors LLC, Golub Capital LLC, and SMBC Nikko Securities America, Inc., J.P. Morgan... (GOLUB CAPITAL BDC, Inc., Filed With SEC on November 27, 2024)
Underwriting Agreement, dated November 13, 2024, by and among FS KKR Capital Corp., FS/KKR Advisor, LLC and BofA Securities, Inc., BMO Capital Markets Corp., J.P. Morgan... (FS KKR Capital Corp, Filed With SEC on November 15, 2024)
Underwriting Agreement, dated November 4, 2024, by and between Capital Southwest Corporation and Oppenheimer & Co. Inc., as representative of the several underwriters named in... (CAPITAL SOUTHWEST CORP, Filed With SEC on November 8, 2024)
Underwriting Agreement, dated October 17, 2024, by and among State Street Corporation and BMO Capital Markets Corp., Citigroup Global Markets Inc., Morgan Stanley & Co. LLC and... (State Street Corp., Filed With SEC on October 22, 2024)
Underwriting Agreement, dated October 10, 2024, by and among the Company, Carlyle Global Credit Investment Management L.L.C., and Carlyle Global Credit Administration L.L.C., on... (TCG BDC, INC., Filed With SEC on October 17, 2024)
Underwriting Agreement, dated as of October 9, 2024, by and among the Fund, Blackstone Credit BDC Advisors LLC, Blackstone Alternative Credit Advisors LP and Citigroup Global... (Blackstone / GSO Secured Lending Fund, Filed With SEC on October 15, 2024)
Underwriting Agreement, dated as of October 9, 2024 (the “Underwriting Agreement”), by and among the Company, the Guarantors and Morgan Stanley & Co. LLC and Citigroup Global... (Ares Management Corp, Filed With SEC on October 11, 2024)
Underwriting Agreement, dated as of October 3, 2024, among Apollo Global Management, Inc. and J.P. Morgan Securities LLC, BofA Securities, Inc., Citigroup Global Markets Inc. and... (Tango Holdings, Inc., Filed With SEC on October 10, 2024)
Underwriting Agreement, dated October 8, 2024, among Ares Management Corporation, Ares Holdings L.P., Ares Holdco LLC and Morgan Stanley & Co. LLC and Citigroup Global Markets Inc (Ares Management Corp, Filed With SEC on October 10, 2024)
Underwriting Agreement, dated as of September 26, 2024, by and among CĪON Investment Corporation, CION Investment Management, LLC and Keefe, Bruyette & Woods, Inc (CION Investment Corp, Filed With SEC on October 1, 2024)
Underwriting Agreement, dated (New Mountain Finance Corp, Filed With SEC on September 26, 2024)
Underwriting Agreement, dated September 11, 2024, between Main Street Capital Corporation and Truist Securities, Inc. as representative of the underwriters named in Schedule A... (Main Street Capital CORP, Filed With SEC on September 13, 2024)
Underwriting Agreement, dated September 9, 2024, by and among the Company, the Partnership and Goldman Sachs & Co. LLC (StepStone Group Inc., Filed With SEC on September 11, 2024)
Underwriting Agreement, dated August 14, 2024, by and among State Street Corporation and HSBC Securities (USA) Inc., BofA Securities, Inc., Deutsche Bank Securities Inc. and R.... (State Street Corp., Filed With SEC on August 20, 2024)
Underwriting Agreement, dated as of August 15, 2024, among Affiliated Managers Group, Inc. and Barclays Capital Inc., BofA Securities, Inc. and Citigroup Global Markets Inc., as... (AFFILIATED MANAGERS GROUP, INC., Filed With SEC on August 20, 2024)
Underwriting Agreement, dated July 29, 2024, by and among Moodys Corporation and BofA Securities, Inc., Citigroup Global Markets Inc., HSBC Securities (USA) Inc. and J.P. Morgan... (Moody's Corp, Filed With SEC on July 31, 2024)
Underwriting Agreement, dated as of July 29, 2024, among Nasdaq, Inc., Argus Seller, LP and Goldman Sachs & Co. LLC (Nasdaq, Inc., Filed With SEC on July 30, 2024)
Underwriting Agreement, dated July 17, 2024, by and among State Street Corporation and Goldman Sachs & Co. LLC and UBS Securities LLC, as representatives of the several... (State Street Corp., Filed With SEC on July 23, 2024)
Underwriting Agreement, dated July 16, 2024, by and among Trinity Capital Inc. and Keefe, Bruyette & Woods, Inc., Morgan Stanley & Co. LLC, RBC Capital Markets, LLC and UBS... (Trinity Capital Inc., Filed With SEC on July 19, 2024)
Underwriting Agreement, dated July 17, 2024, among BlackRock Funding, Inc., BlackRock, Inc., Morgan Stanley & Co. LLC, J.P. Morgan Securities LLC, BofA Securities, Inc. and Wells... (BlackRock, Filed With SEC on July 18, 2024)
Underwriting Agreement, dated June 12, 2024, among Ares Management Corporation, Ares Holdings L.P., Ares Holdco LLC and Morgan Stanley & Co. LLC, BofA Securities, Inc., J.P Morgan... (Ares Management Corp, Filed With SEC on June 14, 2024)
Underwriting Agreement, dated May 28, 2024, between Main Street Capital Corporation and Truist Securities, Inc. as representative of the underwriters named on Schedule A thereto (Main Street Capital CORP, Filed With SEC on May 30, 2024)
Underwriting Agreement, dated May 22, 2024, by and among BlackRock TCP Capital Corp., Tennenbaum Capital Partners, LLC, Series H of SVOF/MM, LLC and Morgan Stanley & Co. LLC , as... (BlackRock TCP Capital Corp., Filed With SEC on May 23, 2024)
Underwriting Agreement, dated May 13, 2024, among LPL Holdings, the Company, J.P. Morgan Securities LLC, Citigroup Global Markets Inc., Citizens JMP Securities, LLC, Truist... (LPL Financial Holdings Inc., Filed With SEC on May 14, 2024)
Underwriting Agreement, dated May 6, 2024, between Intercontinental Exchange, Inc. and BofA Securities, Inc., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC and Wells Fargo... (Intercontinental Exchange, Filed With SEC on May 13, 2024)
Underwriting Agreement, dated March 25, 2024, by and among Trinity Capital Inc. and Keefe, Bruyette & Woods, Inc., Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, as... (Trinity Capital Inc., Filed With SEC on March 28, 2024)
Underwriting Agreement, dated as of March 19, 2024, among Nasdaq, Inc., the Selling Stockholder and Morgan Stanley & Co. LLC and Goldman Sachs & Co. LLC, as representatives of the... (Nasdaq, Inc., Filed With SEC on March 20, 2024)
Underwriting Agreement, dated as of March 14, 2024, among Affiliated Managers Group, Inc. and BofA Securities, Inc., Morgan Stanley & Co. LLC, RBC Capital Markets, LLC, and Wells... (AFFILIATED MANAGERS GROUP, INC., Filed With SEC on March 20, 2024)
Underwriting Agreement, dated March 13, 2024, by and among State Street Corporation and Morgan Stanley & Co. LLC, Blaylock Van, LLC, Scotia Capital (USA) Inc. and UBS Securities... (State Street Corp., Filed With SEC on March 18, 2024)
Underwriting Agreement, dated March 6, 2024, among Lazard Group LLC and Citigroup Global Markets Inc., as representative of the several underwriters listed on Schedule I thereto (Lazard Ltd, Filed With SEC on March 12, 2024)
Underwriting Agreement, dated March 6, 2024, by and among Goldman Sachs BDC, Inc., Goldman Sachs Asset Management, L.P. and BofA Securities, Inc., as representative of the several... (Goldman Sachs BDC, Inc., Filed With SEC on March 11, 2024)
Underwriting Agreement, dated March 4, 2024, among the Company, HLA, Morgan Stanley & Co. LLC and the selling stockholder referenced therein (Hamilton Lane INC, Filed With SEC on March 7, 2024)
Underwriting Agreement, dated March 5, 2024, among BlackRock Funding, Inc., BlackRock, Inc. and Morgan Stanley & Co. LLC, BofA Securities, Inc., Citigroup Global Markets Inc. and... (BlackRock, Filed With SEC on March 6, 2024)
Underwriting Agreement, dated as of February 29, 2024, by and among TPG Inc., TPG Operating Group I, L.P., TPG Operating Group II, L.P, TPG Operating Group III, L.P., TPG Holdings... (TPG Partners, LLC, Filed With SEC on March 5, 2024)
Underwriting Agreement, dated February 29, 2024, by and among the Company, the Adviser and Morgan Stanley & Co. LLC as representative of the several underwriters named in Schedule... (TPG Specialty Lending, Inc., Filed With SEC on March 5, 2024)
Underwriting Agreement, dated as of February 28, 2024, by and among TPG Inc., TPG Operating Group I, L.P., TPG Operating Group II, L.P, TPG Operating Group III, L.P., TPG Holdings... (TPG Partners, LLC, Filed With SEC on March 4, 2024)
Underwriting Agreement, dated February 27, 2024, by and among Perella Weinberg Partners, PWP Holdings LP and Citizens JMP Securities, LLC (FinTech Acquisition Corp. IV, Filed With SEC on March 1, 2024)
Underwriting Agreement, dated as of February 26, 2024, by and among TPG Inc., TPG OpCo Holdings, L.P. and TPG Operating Group II, L.P, J.P. Morgan Securities LLC, Morgan Stanley &... (TPG Partners, LLC, Filed With SEC on February 29, 2024)