Sales Agreements in the Capital Markets Industry

22 Contracts & Agreements
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Gladstone Investment Corporation $75,000,000 Common Stock Sales Agreement with Virtu Americas LLC (May 2024)
Sales Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2024
Sales Agreement among TriplePoint Venture Growth BDC Corp., TriplePoint Advisers LLC, TriplePoint Administrator LLC, and UBS Securities LLC (Sales Agent) dated May 2, 2024
Sales Agreements
TriplePoint Venture Growth BDC Corp.
Capital Markets
NY
2024
Sales Agreement between Gladstone Investment Corporation and B. Riley Securities, Inc. for Up to $50,000,000 of Common Stock
Sales Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2023
Real Estate Sale Agreement between Donnelley Financial, LLC and Aspirant Partners, LLC for 1500 N. Central Avenue, Phoenix, Arizona
Sales Agreements
Donnelley Financial Solutions, Inc.
Capital Markets
AZ
2022
Sales Agreement among TriplePoint Venture Growth BDC Corp., TriplePoint Advisers LLC, TriplePoint Administrator LLC, and UBS Securities LLC (Sales Agent) dated September 30, 2022
Sales Agreements
TriplePoint Venture Growth BDC Corp.
Capital Markets
NY
2022
Sales Agreement between Siebert Financial Corp. and JonesTrading Institutional Services LLC for At-the-Market Offering of Common Stock
Sales Agreements
SIEBERT FINANCIAL CORP
Capital Markets
NY
2022
Second Amended and Restated Sale and Servicing Agreement among Horizon Credit II LLC, Horizon Technology Finance Corporation, Horizon Technology Finance Management LLC, U.S. Bank...
Sales Agreements
Horizon Technology Finance Corp
Capital Markets
DE
2021
Sales Agreement for Up to $50,000,000 of 6.375% Series E Cumulative Term Preferred Stock between Gladstone Investment Corporation and Virtu Americas LLC
Sales Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2020
Sales Agreement for Up to $50 Million Series E Cumulative Term Preferred Stock between Gladstone Investment Corporation and Wedbush Securities Inc.
Sales Agreements
GLADSTONE INVESTMENT CORPORATION
Capital Markets
NY
2020
Sale and Servicing Agreement among Horizon Funding Trust 2019-1, Horizon Funding 2019-1 LLC, Horizon Technology Finance Corporation, and U.S. Bank National Association (August 13,...
Sales Agreements
Horizon Technology Finance Corp
Capital Markets
NY
2019
At Market Issuance Sales Agreement between B. Riley Financial, Inc. and B. Riley FBR, Inc. for Senior Notes
Sales Agreements
B. Riley Financial, Inc.
Capital Markets
NY
2018
At Market Issuance Sales Agreement between B. Riley Financial, Inc. and B. Riley FBR, Inc. for Senior Notes Due 2021, 2023, and 2027
Sales Agreements
B. Riley Financial, Inc.
Capital Markets
NJ
2018
Amended and Restated Sale and Servicing Agreement among Horizon Credit II LLC, Horizon Technology Finance Corporation, Horizon Technology Finance Management LLC, U.S. Bank...
Sales Agreements
Horizon Technology Finance Corp
Capital Markets
DE
2014
Sale and Servicing Agreement among Horizon Credit III LLC, Horizon Technology Finance Corporation, Horizon Technology Finance Management LLC, U.S. Bank National Association, and...
Sales Agreements
Horizon Technology Finance Corp
Capital Markets
DE
2012
Sales Lead Agreement between GAIN Capital Group, LLC and Trading Central
Sales Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2010
Sales Lead Agreement between GAIN Capital Group, LLC and Trading Central
Sales Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2009
Amendment No. 5 to Amended and Restated Selling Agreement among Morgan Stanley Charter Series Partnerships, Demeter Management Corporation, and Morgan Stanley & Co. Inc.
Sales Agreements
MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P.
Capital Markets
2008
Agreement for Sale of 7th Floor, Lansdowne House, London between Pillar Property Group Limited and Greenhill & Co. International LLP
Sales Agreements
Greenhill & Co., Inc.
Capital Markets
2006
Amendment No. 3 to Amended and Restated Selling Agreement among Morgan Stanley Spectrum Series L.P.s, Demeter Management Corporation, and Morgan Stanley DW Inc.
Sales Agreements
CERES TACTICAL CURRENCY L.P.
Capital Markets
2005
Amendment No. 3 to Amended and Restated Selling Agreement among Morgan Stanley Charter Series, Demeter Management Corporation, and Morgan Stanley DW Inc.
Sales Agreements
MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P.
Capital Markets
2005
Amendment No. 3 to Amended and Restated Selling Agreement among Morgan Stanley Spectrum Series Partnerships, Demeter Management Corporation, and Morgan Stanley DW Inc.
Sales Agreements
MORGAN STANLEY SMITH BARNEY SPECTRUM GLOBAL BALANCED LP
Capital Markets
2005
Second Amended and Restated Selling Agreement among Citigroup Diversified Futures Fund L.P., Citigroup Managed Futures LLC, and Citigroup Global Markets Inc.
Sales Agreements
CERES TACTICAL SYSTEMATIC L.P.
Capital Markets
2004