Change of Control Agreements in the Capital Markets Industry
41 Contracts & Agreements
- ALLIANCEBERNSTEIN HOLDING L.P. (1 contract)
- Barings BDC, Inc. (1)
- BGC Partners, Inc. (1)
- Blucora, Inc. (2)
- ContextLogic Inc. (1)
- E*Trade (1)
- GlassBridge Enterprises, Inc. (1)
- Great Elm Capital Group, Inc. (12)
- Investment Technology Group, Inc. (5)
- Moody's Corp (1)
- MSCI Inc (3)
- Nasdaq, Inc. (2)
- Northern Trust Corp. (2)
- RAND CAPITAL CORP (2)
- Robinhood Markets, Inc. (1)
- The Bank of New York Mellon Corp. (2)
- Waddell & Reed Financial, Inc. (3)
- MSCI Inc. Change in Control Severance Plan, adopted May 28, 2015 and amended and restated November 2, 2023 (MSCI Inc, Filed With SEC on February 9, 2024)
- Nasdaq Change in Control Severance Plan for Executive Vice Presidents and Senior Vice Presidents, effective November 26, 2013, as amended December 6, 2022 (Nasdaq, Inc., Filed With SEC on February 23, 2023)
- First Amendment to the Blucora, Inc. Executive Change of Control Severance Plan (Blucora, Inc., Filed With SEC on May 4, 2022)
- Robinhood Markets, Inc. Change in Control and Severance Plan for Key Employees (Robinhood Markets, Inc., Filed With SEC on July 19, 2021)
- Blucora, Inc. Executive Change of Control Severance Plan, including the form of Participation Agreement as Appendix A thereto (Blucora, Inc., Filed With SEC on January 19, 2021)
- Form of Change of Control Retention and Severance Agreement (Waddell & Reed Financial, Inc., Filed With SEC on December 4, 2020)
- Form of Executive Severance and Change in Control Agreement (ContextLogic Inc., Filed With SEC on November 20, 2020)
- Form of Change of Control Provisions between the Company and Chad E. Turner (E*Trade, Filed With SEC on February 20, 2019)
- Triangle Capital Corporation Amended and Restated Change in Control Retention Policy (Barings BDC, Inc., Filed With SEC on February 28, 2018)
- Moodys Corporation Change in Control Severance Plan (as amended December 18, 2017) (Moody's Corp, Filed With SEC on February 27, 2018)
- Change of Control Agreement, dated as of December 13, 2017, by and between Newmark Group, Inc. and Howard W. Lutnick (BGC Partners, Inc., Filed With SEC on December 19, 2017)
- CHANGE IN CONTROL AGREEMENT (Investment Technology Group, Inc., Filed With SEC on May 8, 2017)
- DEFINITION OF CHANGE IN CONTROL (ALLIANCEBERNSTEIN HOLDING L.P., Filed With SEC on May 1, 2017)
- NORTHERN TRUST CORPORATION KEY OFFICER CHANGE IN CONTROL SEVERANCE PLAN (Northern Trust Corp., Filed With SEC on April 28, 2017)
- NORTHERN TRUST CORPORATION EXECUTIVE CHANGE IN CONTROL SEVERANCE PLAN (Northern Trust Corp., Filed With SEC on April 28, 2017)
- CHANGE IN CONTROL AGREEMENT (RAND CAPITAL CORP, Filed With SEC on March 3, 2017)
- CHANGE IN CONTROL AGREEMENT (RAND CAPITAL CORP, Filed With SEC on March 3, 2017)
- MSCI INC. CHANGE IN CONTROL SEVERANCE PLAN (MSCI Inc, Filed With SEC on February 24, 2017)
- MSCIINC. CHANGE IN CONTROL SEVERANCE PLAN (MSCI Inc, Filed With SEC on May 29, 2015)
- AMENDED AND RESTATED SEVERANCE AND CHANGE OF CONTROL AGREEMENT (GlassBridge Enterprises, Inc., Filed With SEC on November 25, 2014)
- The NASDAQ OMX Group, Inc. Change in Control Severance Plan For Executive Vice Presidents and Senior Vice Presidents Effective November 26, 2013 (Nasdaq, Inc., Filed With SEC on November 29, 2013)
- UNWIRED PLANET, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on November 8, 2012)
- FIRST AMENDMENT TO AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on August 3, 2012)
- OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on February 8, 2012)
- OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on February 8, 2012)
- OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on February 8, 2012)
- OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on February 8, 2012)
- OPENWAVE SYSTEMS INC. AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on January 19, 2012)
- OPENWAVE SYSTEMS INC. AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on January 19, 2012)
- OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on January 19, 2012)
- Openwave systems inc. CHANGE OF CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on May 6, 2011)
- AMENDMENT TO CHANGE IN CONTROL AGREEMENT (Investment Technology Group, Inc., Filed With SEC on May 10, 2010)
- CHANGE IN CONTROL AGREEMENT (Investment Technology Group, Inc., Filed With SEC on March 1, 2010)
- SECOND AMENDMENT TO THE CHANGE IN CONTROL EMPLOYMENT AGREEMENT (Waddell & Reed Financial, Inc., Filed With SEC on February 26, 2010)
- AMENDMENT TO CHANGE IN CONTROL LETTER AGREEMENT (The Bank of New York Mellon Corp., Filed With SEC on February 27, 2009)
- AMENDMENT TO CHANGE IN CONTROL LETTER AGREEMENT (The Bank of New York Mellon Corp., Filed With SEC on February 27, 2009)
- FIRSTAMENDMENT TO THE CHANGE IN CONTROL EMPLOYMENTAGREEMENT (Waddell & Reed Financial, Inc., Filed With SEC on February 27, 2009)
- OPENWAVE SYSTEMS INC. FORM OF CHANGE CONTROL SEVERANCE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on September 15, 2008)
- AMENDMENT TO CHANGE IN CONTROL AGREEMENT (Investment Technology Group, Inc., Filed With SEC on February 29, 2008)
- CHANGE IN CONTROL AGREEMENT (Investment Technology Group, Inc., Filed With SEC on February 29, 2008)
