Change of Control Agreements in the Capital Markets Industry

51 Contracts & Agreements
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Company
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Change in Control Severance Agreement between StepStone Group Inc., StepStone Group LP, and David Park
Change of Control Agreements
StepStone Group Inc.
Capital Markets
2025
Coinbase Global, Inc. Amended and Restated Change of Control and Severance Policy (Effective October 16, 2024)
Change of Control Agreements
Coinbase Global, Inc.
Capital Markets
CA
2025
MSCI Inc. Change in Control Severance Plan (Amended and Restated November 2, 2023)
Change of Control Agreements
MSCI Inc
Capital Markets
NY
2024
Nasdaq, Inc. Change in Control Severance Plan for Non-CEO Presidents, Executive Vice Presidents, and Senior Vice Presidents (as amended December 6, 2022)
Change of Control Agreements
Nasdaq, Inc.
Capital Markets
NY
2023
First Amendment to Blucora, Inc. Executive Change of Control Severance Plan
Change of Control Agreements
Blucora, Inc.
Capital Markets
2022
Robinhood Markets, Inc. Change in Control and Severance Plan for Key Employees
Change of Control Agreements
Robinhood Markets, Inc.
Capital Markets
CA
2021
Blucora, Inc. Executive Change of Control Severance Plan Effective January 17, 2021
Change of Control Agreements
Blucora, Inc.
Capital Markets
TX
2021
Change of Control Retention and Severance Agreement between Waddell & Reed Financial, Inc. and Executive
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Form of Change of Control Provisions between the Company and Chad E. Turner
Change of Control Agreements
E*Trade
Capital Markets
NY
2019
Triangle Capital Corporation Amended and Restated Change in Control Retention Policy
Change of Control Agreements
Barings BDC, Inc.
Capital Markets
NC
2018
Moody's Corporation Change in Control Severance Plan (Amended and Restated as of December 18, 2017)
Change of Control Agreements
Moody's Corp
Capital Markets
DE
2018
Newmark Group, Inc. Change in Control Agreement with Mr. Lutnick
Change of Control Agreements
BGC Partners, Inc.
Capital Markets
2017
Change in Control Agreement between [Employing Entity] and Executive
Change of Control Agreements
Investment Technology Group, Inc.
Capital Markets
2017
Northern Trust Corporation Key Officer Change in Control Severance Plan
Change of Control Agreements
Northern Trust Corp.
Capital Markets
IL
2017
Northern Trust Corporation Executive Change in Control Severance Plan
Change of Control Agreements
Northern Trust Corp.
Capital Markets
IL
2017
Rand Capital Corporation and Daniel P. Penberthy Change in Control Agreement (March 1, 2017)
Change of Control Agreements
RAND CAPITAL CORP
Capital Markets
NY
2017
Change in Control Agreement between Rand Capital Corporation and Allen F. Grum (March 1, 2017)
Change of Control Agreements
RAND CAPITAL CORP
Capital Markets
NY
2017
MSCI Inc. Change in Control Severance Plan (2015)
Change of Control Agreements
MSCI Inc
Capital Markets
NY
2017
MSCI Inc. Change in Control Severance Plan
Change of Control Agreements
MSCI Inc
Capital Markets
NY
2015
Amended and Restated Severance and Change of Control Agreement between Imation Corp. and Employee
Change of Control Agreements
GlassBridge Enterprises, Inc.
Capital Markets
2014
NASDAQ OMX Group Change in Control Severance Plan for Executive and Senior Vice Presidents (Effective November 26, 2013)
Change of Control Agreements
Nasdaq, Inc.
Capital Markets
NY
2013
Change of Control Severance Agreement between Unwired Planet, Inc. and Eric Vetter
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
First Amendment to Amended and Restated Change of Control Severance Agreement between Unwired Planet, Inc. and Anne Brennan
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
2012
Openwave Systems Inc. Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Amended and Restated Change of Control Severance Agreement between Openwave Systems Inc. and Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Amended and Restated Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Amended and Restated Change of Control Severance Agreement between Openwave Systems Inc. and Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave Systems Inc. Change of Control Severance Agreement with Employee
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Amended and Restated Change in Control Agreement between BGC Partners, Inc. and Stephen M. Merkel
Change of Control Agreements
BGC Partners, Inc.
Capital Markets
2011
Amended and Restated Change in Control Agreement between BGC Partners, Inc. and Howard W. Lutnick
Change of Control Agreements
BGC Partners, Inc.
Capital Markets
2011
Amendment to Change in Control Agreement between [Employing Entity] and Executive (April 20, 2010)
Change of Control Agreements
Investment Technology Group, Inc.
Capital Markets
2010
Change in Control Agreement between [Employing Entity] and Executive
Change of Control Agreements
Investment Technology Group, Inc.
Capital Markets
2010
Second Amendment to Change in Control Employment Agreement between Waddell & Reed Financial, Inc. and Henry J. Herrmann
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
Amendment to Change in Control Severance Letter Agreement between BNY Mellon and Thomas P. Gibbons
Change of Control Agreements
The Bank of New York Mellon Corp.
Capital Markets
2009
Amendment to Change in Control Severance Letter Agreement between BNY Mellon and Gerald L. Hassell
Change of Control Agreements
The Bank of New York Mellon Corp.
Capital Markets
2009
Amendment to Change in Control Agreement between BNY Mellon and Ronald P. O'Hanley
Change of Control Agreements
The Bank of New York Mellon Corp.
Capital Markets
2009
Amendment to Change in Control Agreement between BNY Mellon and Steven G. Elliott
Change of Control Agreements
The Bank of New York Mellon Corp.
Capital Markets
2009
First Amendment to Change in Control Employment Agreement between Waddell & Reed Financial, Inc. and Henry J. Herrmann
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2009