Waddell & Reed Financial, Inc. Business Finance Contracts & Agreements

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Filed
Credit Agreement among Waddell & Reed Financial, Inc., Lenders, and Bank of America, N.A. dated October 20, 2020
Credit Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2020
Waddell & Reed Financial, Inc. Restricted Stock Unit Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Form of Restricted Stock Unit Award Agreement for awards pursuant to the Waddell & Reed Financial, Inc. Cash Settled RSU Plan
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Waddell & Reed Financial, Inc. Restricted Stock Unit Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2018
Certificate of Elimination of Series B Junior Participating Preferred Stock of Waddell & Reed Financial, Inc.
Articles of Amendment
Waddell & Reed Financial, Inc.
Capital Markets
2018
Certificate of Elimination of Series B Junior Participating Preferred Stock of Waddell & Reed Financial, Inc.
Articles of Amendment
Waddell & Reed Financial, Inc.
Capital Markets
2018
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Director
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2017
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2017
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2016
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2016
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Release of All Claims Agreement between Waddell & Reed Financial, Inc. and Daniel P. Connealy
Release Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2014
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2012
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Awardee
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2012
Waddell & Reed Financial, Inc. 1998 Non-Employee Director Stock Award Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2012
Waddell & Reed Financial, Inc. 1998 Executive Stock Award Plan (As Amended and Restated)
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2012
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement under 1998 Stock Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2012
Underwriting Agreement between Waddell & Reed Advisors Funds and Waddell & Reed, Inc. dated January 30, 2009
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Shareholder Servicing Agreement between Ivy Funds and Waddell & Reed Services Company (WRSCO)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010
Shareholder Servicing Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Services Company (2009)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010
Investment Management Agreement between Ivy Funds Variable Insurance Portfolios and Waddell & Reed Investment Management Company (April 10, 2009)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Ivy Funds, Inc. and Ivy Investment Management Company (Amended and Restated November 15, 2005)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (IICO)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement under 1998 Stock Incentive Plan
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
Rights Agreement between Waddell & Reed Financial, Inc. and Computershare Trust Company, N.A. dated April 8, 2009
Registration Rights Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2009
Certificate of Designation for Series B Junior Participating Preferred Stock of Waddell & Reed Financial, Inc.
Articles of Amendment
Waddell & Reed Financial, Inc.
Capital Markets
2009
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Employee
Bonus & Incentive Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2009
First Amendment to Waddell & Reed Financial, Inc. Non-Qualified Stock Option Grant Agreement with Henry J. Herrmann Trust
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Amendment to Principal Underwriting Agreement between Waddell & Reed Advisors Asset Strategy Fund, Inc. and Waddell & Reed, Inc.
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Shareholder Servicing Agreement between W&R Funds, Inc. and Waddell & Reed Services Company (as amended)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2008
Investment Management Agreement between W&R Target Funds, Inc. and Waddell & Reed Investment Management Company (as amended November 9, 2005)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Investment Management Agreement between Ivy Funds, Inc. and Ivy Investment Management Company (Amended and Restated November 16, 2005)
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Investment Management Agreement between Waddell & Reed Advisors Asset Strategy Fund, Inc. and Waddell & Reed Investment Management Company
Advisory Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Target Funds Participation Agreement between Minnesota Life Insurance Company and Waddell & Reed, Inc.
Participation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2008
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Compensation Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2007
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2007
Shareholder Servicing Agreement between W&R Funds, Inc. and Waddell & Reed Services Company (as amended)
Services Agreements
Waddell & Reed Financial, Inc.
Capital Markets
KS
2010