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
Description of Waddell & Reed Financial, Inc. Class A Common Stock Registered Under Section 12 of the Exchange Act
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Investment Management Agreement between Ivy Funds and Ivy Investment Management Company (IICO)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Investment Management Agreement between Ivy Variable Insurance Portfolios and Ivy Investment Management Company (2016)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Investment Management Agreement between Ivy Variable Insurance Portfolios and Ivy Investment Management Company (2016)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement with Employee
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2019
First Amendment to Amended and Restated Investment Management Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Investment Management Company
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2018
Amended and Restated Investment Management Agreement between Waddell & Reed Advisors Funds and Waddell & Reed Investment Management Company (May 15, 2017)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2018
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Directors
Stock Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2018
Second Amendment to Rights Agreement between Waddell & Reed Financial, Inc. and Computershare Trust Company, N.A.
Modification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
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
Investment Management Agreement between InvestEd Portfolios and Ivy Investment Management Company (IICO)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2017
Investment Management Agreement between Ivy Variable Insurance Portfolios and Ivy Investment Management Company (2016)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Investment Management Agreement between Ivy Variable Insurance Portfolios and Ivy Investment Management Company (2016)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
Investment Management Agreement between Ivy NextShares and Ivy Investment Management Company (IICO)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2016
First Amendment to Rights Agreement between Waddell & Reed Financial, Inc. and Computershare Trust Company, N.A.
Modification Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2016
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
First Amended and Restated Investment Management Agreement among Ivy Global Investors Fund, Lemanik Asset Management S.A., and Ivy Investment Management Company
Investment 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
Underwriting Agreement between Ivy Funds Variable Insurance Portfolios and Waddell & Reed, Inc. (April 15, 2009)
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Underwriting Agreement between Waddell & Reed Advisors Funds and Waddell & Reed, Inc. dated January 30, 2009
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
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 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 Waddell & Reed Advisors Funds and Waddell & Reed Investment Management Company (WRIMCO)
Investment Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
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
Waddell & Reed Financial, Inc. 1998 Stock Incentive Plan (As Amended and Restated)
Warrant Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
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
Waddell & Reed Financial, Inc. Non-Qualified Stock Option Grant Agreement
Warrant 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
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
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
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2007
Second Supplemental Indenture for 5.60% Notes due 2011 between Waddell & Reed Financial, Inc. and J.P. Morgan Trust Company
Indenture Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2006
Underwriting Agreement for $200,000,000 5.60% Notes due 2011 between Waddell & Reed Financial, Inc. and Underwriters
Underwriting Agreements
Waddell & Reed Financial, Inc.
Capital Markets
NY
2006
Waddell & Reed Financial, Inc. Restricted Stock Award Agreement for Non-Employee Directors
Equity Distribution Agreements
Waddell & Reed Financial, Inc.
Capital Markets
DE
2005