Change of Control Agreements in the Capital Markets Industry

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MSCIINC. CHANGE IN CONTROL SEVERANCE PLAN
Change of Control Agreements
MSCI Inc
Capital Markets
NY
2015
MSCI Inc. Change in Control Severance Plan, adopted May 28, 2015 and amended and restated November 2, 2023
Change of Control Agreements
MSCI Inc
Capital Markets
NY
2024
Nasdaq Change in Control Severance Plan for Executive Vice Presidents and Senior Vice Presidents, effective November 26, 2013, as amended December 6, 2022
Change of Control Agreements
Nasdaq, Inc.
Capital Markets
NY
2023
First Amendment to the 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, including the form of Participation Agreement as Appendix A thereto
Change of Control Agreements
Blucora, Inc.
Capital Markets
TX
2021
Form of Change of Control Retention and Severance Agreement
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2020
Form of Executive Severance and Change in Control Agreement
Change of Control Agreements
ContextLogic Inc.
Capital Markets
CA
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
Moodys Corporation Change in Control Severance Plan (as amended December 18, 2017)
Change of Control Agreements
Moody's Corp
Capital Markets
DE
2018
Change of Control Agreement, dated as of December 13, 2017, by and between Newmark Group, Inc. and Howard W. Lutnick
Change of Control Agreements
BGC Partners, Inc.
Capital Markets
2017
CHANGE IN CONTROL AGREEMENT
Change of Control Agreements
Investment Technology Group, Inc.
Capital Markets
2017
DEFINITION OF CHANGE IN CONTROL
Change of Control Agreements
ALLIANCEBERNSTEIN HOLDING L.P.
Capital Markets
NY
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
CHANGE IN CONTROL AGREEMENT
Change of Control Agreements
RAND CAPITAL CORP
Capital Markets
NY
2017
CHANGE IN CONTROL AGREEMENT
Change of Control Agreements
RAND CAPITAL CORP
Capital Markets
NY
2017
MSCI INC. CHANGE IN CONTROL SEVERANCE PLAN
Change of Control Agreements
MSCI Inc
Capital Markets
NY
2017
AMENDED AND RESTATED SEVERANCE AND CHANGE OF CONTROL AGREEMENT
Change of Control Agreements
GlassBridge Enterprises, Inc.
Capital Markets
2014
The NASDAQ OMX Group, Inc. Change in Control Severance Plan For Executive Vice Presidents and Senior Vice Presidents Effective November 26, 2013
Change of Control Agreements
Nasdaq, Inc.
Capital Markets
NY
2013
UNWIRED PLANET, INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
FIRST AMENDMENT TO AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. AMENDED AND RESTATED CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
OPENWAVE SYSTEMS INC. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2012
Openwave systems inc. CHANGE OF CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2011
AMENDMENT TO CHANGE IN CONTROL AGREEMENT
Change of Control Agreements
Investment Technology Group, Inc.
Capital Markets
2010
CHANGE IN CONTROL AGREEMENT
Change of Control Agreements
Investment Technology Group, Inc.
Capital Markets
2010
SECOND AMENDMENT TO THE CHANGE IN CONTROL EMPLOYMENT AGREEMENT
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2010
AMENDMENT TO CHANGE IN CONTROL LETTER AGREEMENT
Change of Control Agreements
The Bank of New York Mellon Corp.
Capital Markets
2009
AMENDMENT TO CHANGE IN CONTROL LETTER AGREEMENT
Change of Control Agreements
The Bank of New York Mellon Corp.
Capital Markets
2009
FIRSTAMENDMENT TO THE CHANGE IN CONTROL EMPLOYMENTAGREEMENT
Change of Control Agreements
Waddell & Reed Financial, Inc.
Capital Markets
2009
OPENWAVE SYSTEMS INC. FORM OF CHANGE CONTROL SEVERANCE AGREEMENT
Change of Control Agreements
Great Elm Capital Group, Inc.
Capital Markets
CA
2008
AMENDMENT TO CHANGE IN CONTROL AGREEMENT
Change of Control Agreements
Investment Technology Group, Inc.
Capital Markets
2008
CHANGE IN CONTROL AGREEMENT
Change of Control Agreements
Investment Technology Group, Inc.
Capital Markets
2008