Underwriting Agreements
Capital Markets
Capital Markets (551) | Underwriting Agreements (24,556)
- AFFILIATED MANAGERS GROUP, INC. (9 contracts)
- ALTIMAR ACQUISITION CORP. (5)
- Ameriprise Financial (10)
- Apollo Global Management LLC (5)
- APOLLO INVESTMENT CORP (1)
- Ares Management Corp (7)
- Artisan Partners Asset Management Inc. (9)
- Ascendant Digital Acquisition Corp. (2)
- Ashford Inc. (1)
- AssetMark Financial Holdings, Inc. (1)
- B. Riley Financial, Inc. (16)
- BGC Partners, Inc. (3)
- BlackRock (13)
- BlackRock Capital Investment Corp (3)
- BlackRock TCP Capital Corp. (5)
- Blackstone Group L.P. (1)
- Bridge Investment Group Holdings Inc. (1)
- CAPITAL SOUTHWEST CORP (8)
- Carlyle Group L.P. (4)
- Cboe Global Markets (4)
- Charles Schwab Corporation (31)
- 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 (4)
- Focus Financial Partners Inc. (5)
- Franklin Resources (8)
- Freedom Holding Corp. (1)
- FS KKR Capital Corp (8)
- GAMCO INVESTORS, INC. ET AL (1)
- GLADSTONE CAPITAL CORP (3)
- GLADSTONE INVESTMENT CORPORATION (4)
- Goldman Sachs (7)
- GOLDMAN SACHS ASSET BACKED SECURITIES CORP (2)
- GOLUB CAPITAL BDC, Inc. (5)
- Great Elm Capital Corp. (3)
- GSV Capital Corp. (1)
- Hamilton Lane INC (10)
- HENNESSY ADVISORS INC (2)
- Hercules Capital, Inc. (3)
- Heritage Global Inc. (1)
- Horizon Technology Finance Corp (4)
- HOULIHAN LOKEY, INC. (8)
- Intercontinental Exchange (6)
- Invesco Ltd. (1)
- Janus Henderson Group plc (1)
- KKR & Co. Inc. (4)
- LADENBURG THALMANN FINANCIAL SERVICES INC. (5)
- Lazard Ltd (4)
- Legg Mason Inc (5)
- LPL Financial Holdings Inc. (1)
- Main Street Capital CORP (5)
- Manning & Napier, Inc. (1)
- MarketAxess Holdings Inc (1)
- Medley Capital Corp (1)
- Moelis & Co (6)
- MONROE CAPITAL Corp (1)
- Moody's Corp (14)
- 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. (12)
- Nebula Parent Corp. (4)
- NewHold Investment Corp. II (4)
- Newtek Business Services Corp. (1)
- Northern Trust Corp. (13)
- Oaktree Specialty Lending Corp (2)
- Och-Ziff Capital Management Group LLC (1)
- OFS Capital Corp (4)
- Owl Rock Capital Corp (5)
- 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. (2)
- S&P Global, Inc. (4)
- Silvercrest Asset Management Group Inc. (3)
- State Street Corp. (31)
- Stellus Capital Investment Corp (1)
- StepStone Group Inc. (3)
- Stifel Financial Corp (11)
- TD AMERITRADE HOLDING CORP (3)
- The Bank of New York Mellon Corp. (7)
- TPG Partners, LLC (1)
- TPG Specialty Lending, Inc. (5)
- Tradeweb Markets Inc. (3)
- Trinity Capital Inc. (5)
- TriplePoint Venture Growth BDC Corp. (2)
- ValueSetters Inc. (3)
- 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. (4)
- WisdomTree Investments, Inc. (2)
- Underwriting Agreement, dated as of May 23, 2023, by and among the Company, Gladstone Management Corporation, Gladstone Administration, LLC and Oppenheimer & Co. Inc., as... (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on May 24, 2023)
- Underwriting Agreement, dated May 17, 2023, by and among CSC and BofA Securities, Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC,... (Charles Schwab Corporation, Filed With SEC on May 19, 2023)
- Underwriting Agreement, dated May 15, 2023, by and among State Street Corporation and BofA Securities, Inc., Deutsche Bank Securities Inc., Goldman Sachs & Co. LLC and Samuel A.... (State Street Corp., Filed With SEC on May 18, 2023)
- Underwriting Agreement, dated May 17, 2023, among BlackRock, Inc. and J.P. Morgan Securities LLC, BofA Securities, Inc. and HSBC Securities (USA) Inc., as representatives of the... (BlackRock, Filed With SEC on May 18, 2023)
- Underwriting Agreement, dated May 10, 2023, by and among the Company, the Adviser and the Wells Fargo Securities, LLC as representative of the several underwriters named in... (TPG Specialty Lending, Inc., Filed With SEC on May 15, 2023)
- Underwriting Agreement, dated March 6, 2023, among the Company, HLA, BofA Securities, Inc. and the selling stockholder referenced therein (Hamilton Lane INC, Filed With SEC on March 9, 2023)
- Underwriting Agreement, dated March 6, 2023, among the Company and Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC and Wells Fargo Securities, LLC, as representatives of the... (Ameriprise Financial, Filed With SEC on March 9, 2023)
- Underwriting Agreement, dated January 23, 2023, among PennantPark Floating Rate Capital Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment Administration, LLC, and... (PennantPark Floating Rate Capital Ltd., Filed With SEC on January 26, 2023)
- Underwriting Agreement, dated January 23, 2023, by and among State Street Corporation and Goldman Sachs & Co. LLC, BofA Securities, Inc., Morgan Stanley & Co. LLC and Siebert... (State Street Corp., Filed With SEC on January 26, 2023)
- Underwriting Agreement, dated December 13, 2022, by and between Netcapital Inc. and ThinkEquity LLC (ValueSetters Inc., Filed With SEC on December 16, 2022)
- Underwriting Agreement, dated as of November 30, 2022, by and among Runway Growth Finance Corp., Runway Growth Capital LLC and Oppenheimer & Co. Inc., as Representative of the... (Runway Growth Credit Fund Inc., Filed With SEC on December 1, 2022)
- Underwriting Agreement, dated November 14, 2022, by and between Capital Southwest Corporation and Raymond James & Associates, Inc. as representative of the several underwriters... (CAPITAL SOUTHWEST CORP, Filed With SEC on November 17, 2022)
- Underwriting Agreement, dated November 1, 2022, by and among State Street Corporation and Deutsche Bank Securities Inc., Credit Suisse Securities (USA) LLC, Goldman Sachs & Co.... (State Street Corp., Filed With SEC on November 4, 2022)
- Underwriting Agreement, dated as of October 26, 2022, among Northern Trust Corporation and Citigroup Global Markets Inc., BofA Securities, Inc., Goldman Sachs & Co. LLC and Loop... (Northern Trust Corp., Filed With SEC on November 2, 2022)
- Underwriting Agreement, dated August 15, 2022, by among Trinity Capital Inc., on the one hand, and Keefe, Bruyette & Woods, Inc., Morgan Stanley & Co. LLC, UBS Securities LLC and... (Trinity Capital Inc., Filed With SEC on August 18, 2022)
- Underwriting Agreement, dated August 11, 2022, among Main Street Capital Corporation and RBC Capital Markets, LLC as representative of the several underwriters named on Exhibit A... (Main Street Capital CORP, Filed With SEC on August 15, 2022)
- Underwriting Agreement, dated August 8, 2022, among PennantPark Floating Rate Capital Ltd., PennantPark Investment Advisers, LLC, PennantPark Investment Administration, LLC, and... (PennantPark Floating Rate Capital Ltd., Filed With SEC on August 11, 2022)
- Underwriting Agreement, dated as of August 4, 2022, by and among TriplePoint Venture Growth BDC Corp., TriplePoint Advisers LLC and TriplePoint Administrator LLC, and Wells Fargo... (TriplePoint Venture Growth BDC Corp., Filed With SEC on August 9, 2022)
- Underwriting Agreement, dated August 2, 2022, by and among Moodys Corporation and BofA Securities, Inc., Citigroup Global Markets Inc. and J.P. Morgan Securities LLC, as... (Moody's Corp, Filed With SEC on August 8, 2022)
- Underwriting Agreement, dated August 1, 2022, by and among State Street Corporation and BofA Securities, Inc., Cabrera Capital Markets LLC, Citigroup Global Markets Inc. and... (State Street Corp., Filed With SEC on August 4, 2022)
- Underwriting Agreement, dated as of July 21, 2022, by and among Runway Growth Finance Corp., Runway Growth Capital LLC and Oppenheimer & Co. Inc., as Representative of the several... (Runway Growth Credit Fund Inc., Filed With SEC on July 22, 2022)
- Underwriting Agreement, dated July 19, 2022, by and between Trinity Capital Inc. and Keefe, Bruyette & Woods, Inc. and UBS Securities, LLC as representative of the several... (Trinity Capital Inc., Filed With SEC on July 22, 2022)
- Underwriting Agreement by and between the Company and ThinkEquity LLC, as representative of the several underwriters named therein dated July 12, 2022 (ValueSetters Inc., Filed With SEC on July 15, 2022)
- Form of Underwriting Agreement (ValueSetters Inc., Filed With SEC on June 28, 2022)
- Underwriting Agreement, dated as of June 8, 2022, by and among Horizon Technology Finance Corporation, Horizon Technology Finance Management LLC and Keefe, Bruyette & Woods, Inc (Horizon Technology Finance Corp, Filed With SEC on June 13, 2022)
- Underwriting Agreement, dated as of June 1, 2022, by and among Blue Owl Capital Inc., NBSH Blue Investments II, LLC and BofA Securities, Inc. and Citigroup Global Markets Inc (ALTIMAR ACQUISITION CORP., Filed With SEC on June 2, 2022)
- Underwriting Agreement dated as of May 12, 2022 between Intercontinental Exchange, Inc. and BofA Securities, Inc., Goldman Sachs & Co. LLC and Wells Fargo Securities, LLC, as... (Intercontinental Exchange, Filed With SEC on May 23, 2022)
- Underwriting Agreement, dated May 10, 2022, among the Company and BofA Securities, Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC and Wells Fargo Securities, LLC,... (Ameriprise Financial, Filed With SEC on May 13, 2022)
- Underwriting Agreement, dated May 10, 2022, by and among State Street Corporation and Morgan Stanley & Co. LLC, Lloyds Securities Inc., R. Seelaus & Co., LLC and Siebert Williams... (State Street Corp., Filed With SEC on May 13, 2022)
- Underwriting Agreement, dated as of May 5, 2022, among Northern Trust Corporation and Wells Fargo Securities, LLC, Barclays Capital Inc., Goldman Sachs & Co. LLC, Loop Capital... (Northern Trust Corp., Filed With SEC on May 10, 2022)
- Underwriting Agreement, dated April 5, 2022, by among Trinity Capital Inc., on the one hand, and Keefe, Bruyette & Woods, Inc., Wells Fargo Securities, LLC and UBS Investment... (Trinity Capital Inc., Filed With SEC on April 7, 2022)
- Underwriting Agreement, dated as of March 25, 2022, between Morgan Stanley Capital I Inc., Morgan Stanley Mortgage Capital Holdings LLC, Morgan Stanley & Co. LLC, BMO Capital... (Morgan Stanley Capital I Trust 2022-L8, Filed With SEC on April 7, 2022)
- Underwriting Agreement, dated March 9, 2022, between the Company and Maxim Group LLC (CONCIERGE TECHNOLOGIES INC, Filed With SEC on March 15, 2022)
- Underwriting Agreement, dated March 9, 2022, among Horizon Technology Finance Corporation, Horizon Technology Finance Management LLC and Morgan Stanley & Co. LLC, as... (Horizon Technology Finance Corp, Filed With SEC on March 14, 2022)
- Underwriting Agreement, dated March 1, 2022, by and among CSC and BofA Securities, Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, J.P. Morgan Securities... (Charles Schwab Corporation, Filed With SEC on March 7, 2022)
- Underwriting Agreement, dated March 2, 2022, by and among CSC and BofA Securities, Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, J.P. Morgan Securities... (Charles Schwab Corporation, Filed With SEC on March 7, 2022)
- Underwriting Agreement, dated March 2, 2022, by and between Nasdaq, Inc., and the underwriters named therein (Nasdaq, Inc., Filed With SEC on March 7, 2022)
- Underwriting Agreement, dated as of March 2, 2022, by and among Cboe Global Markets, Inc. and BofA Securities, Inc., J.P. Morgan Securities LLC and Morgan Stanley & Co. LLC, as... (Cboe Global Markets, Filed With SEC on March 4, 2022)
- Underwriting Agreement, dated March 1, 2022, between CME Group Inc. and Barclays Capital Inc. and BofA Securities, Inc., as representatives of the underwriters named therein (CME Group Inc., Filed With SEC on March 2, 2022)
- Underwriting Agreement, dated February 22, 2022, by and among Moodys Corporation and BofA Securities, Inc., Citigroup Global Markets Inc. and J.P. Morgan Securities LLC, as... (Moody's Corp, Filed With SEC on February 28, 2022)