Capital Markets | Retention Agreements | Business Contracts

Re: Retention Letter Agreement (the Letter Agreement) (Legg Mason Inc, Filed With SEC on May 1, 2020)

BLACKROCK, INC. LEADERSHIP RETENTION CARRY PLAN (BlackRock, Filed With SEC on February 28, 2020)

Form of Percentage Points Award Agreement pursuant to the BlackRock, Inc. Leadership Retention Carry Plan (BlackRock, Filed With SEC on August 8, 2019)

BlackRock, Inc. Leadership Retention Carry Plan (BlackRock, Filed With SEC on August 8, 2019)

Form of Award Agreement for Grant of Retention RSUs to Mr. Paul C. Reilly (Raymond James Financial Inc., Filed With SEC on March 1, 2018)

Form of Amendment to Executive Retention Agreement (Barings BDC, Inc., Filed With SEC on February 28, 2018)

Form of Executive Retention Agreement (Barings BDC, Inc., Filed With SEC on November 17, 2017)

Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Mark Harris (Hercules Capital, Inc., Filed With SEC on October 26, 2017)

Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Scott Bluestein (Hercules Capital, Inc., Filed With SEC on October 26, 2017)

Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Manual Henriquez (Hercules Capital, Inc., Filed With SEC on October 26, 2017)

AMENDMENT TO RECOGNITION AND RETENTION PLAN (CME Group Inc., Filed With SEC on November 6, 2015)

[UNIT VESTING,] EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2015 (Virtu Financial, Inc., Filed With SEC on March 23, 2015)

UNIT VESTING, EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2015 (Virtu Financial, Inc., Filed With SEC on March 23, 2015)

[UNIT VESTING,] EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2015 (Virtu Financial, Inc., Filed With SEC on February 20, 2015)

UNIT VESTING, EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2015 (Virtu Financial, Inc., Filed With SEC on February 20, 2015)

Retention Agreement (CME Group Inc., Filed With SEC on October 3, 2014)

UNIT VESTING, EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2014 (Virtu Financial, Inc., Filed With SEC on March 27, 2014)

[UNIT VESTING,] (1) EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2014 (Virtu Financial, Inc., Filed With SEC on March 27, 2014)

RETENTION AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on September 27, 2013)

FIRSTAMENDMENT TO AGREEMENT RELATING TO RETENTION AND NONCOMPETITIONAND OTHER COVENANTS (Lazard Ltd, Filed With SEC on March 23, 2010)

MORGAN STANLEY 2007 EQUITY INCENTIVECOMPENSATION PLAN [FISCAL YEAR] DISCRETIONARY RETENTION (Morgan Stanley, Filed With SEC on May 7, 2009)

SECOND AMENDMENT TO AGREEMENT RELATING TO RETENTION AND (Lazard Ltd, Filed With SEC on March 2, 2009)

AMENDEDAND RESTATED AGREEMENTRELATING TO RETENTION AND NONCOMPETITIONAND OTHER COVENANTS (Lazard Ltd, Filed With SEC on May 9, 2008)

FORM OFFIRST AMENDMENT TO AGREEMENT RELATING TO RETENTION AND NONCOMPETITIONAND OTHER COVENANTS (Lazard Ltd, Filed With SEC on May 9, 2008)

MORGAN STANLEY [FISCAL YEAR] DISCRETIONARY RETENTION AWARDS CHIEF EXECUTIVE OFFICER AWARD CERTIFICATE TABLE OF CONTENTS FOR AWARDCERTIFICATE (Morgan Stanley, Filed With SEC on February 13, 2007)

MORGAN STANLEY [FISCAL YEAR] DISCRETIONARY RETENTION AWARDS MANAGEMENT COMMITTEE AWARD CERTIFICATE TABLE OF CONTENTS FOR AWARDCERTIFICATE (Morgan Stanley, Filed With SEC on February 13, 2007)

AMENDMENT TO THE FINANCIAL ADVISOR RETENTION PROGRAM (Legg Mason Inc, Filed With SEC on June 9, 2006)

AMENDMENT TO THE PROFESSIONAL BRANCH MANAGER RETENTION PROGRAM (Legg Mason Inc, Filed With SEC on June 9, 2006)

FINANCIAL ADVISOR RETENTION PROGRAM Under The Legg Mason, Inc. (Legg Mason Inc, Filed With SEC on June 3, 2005)

PRODUCING BRANCH MANAGER RETENTION PROGRAM Under The Legg Mason, Inc. (Legg Mason Inc, Filed With SEC on June 3, 2005)

PROFESSIONAL BRANCH MANAGER RETENTION PROGRAM Under The Legg Mason, Inc. (Legg Mason Inc, Filed With SEC on June 3, 2005)

AMENDMENT NO. 1 TO LEGG MASON WOOD WALKER, INCORPORATED FINANCIAL ADVISOR RETENTION PLAN (as amended and restated effective as of January 1, 2003) July 1, 2004 (Legg Mason Inc, Filed With SEC on August 6, 2004)

AMENDMENT NO. 1 TO LEGG MASON WOOD WALKER, INCORPORATED PRODUCING BRANCH MANAGER RETENTION PLAN (as amended and restated effective as of January 1, 2003) July 1, 2004 (Legg Mason Inc, Filed With SEC on August 6, 2004)

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