Retention Agreements in the Capital Markets Industry

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RETENTION AGREEMENT
Retention Agreements
Great Elm Capital Group, Inc.
Capital Markets
TX
2013
Re: Retention Letter Agreement (the Letter Agreement)
Retention Agreements
Legg Mason Inc
Capital Markets
2020
Re: Retention Letter Agreement (the Letter Agreement)
Retention Agreements
Legg Mason Inc
Capital Markets
MD
2020
Re: Retention Letter Agreement (the Letter Agreement)
Retention Agreements
Legg Mason Inc
Capital Markets
MD
2020
BLACKROCK, INC. LEADERSHIP RETENTION CARRY PLAN
Retention Agreements
BlackRock
Capital Markets
NY
2020
Form of Percentage Points Award Agreement pursuant to the BlackRock, Inc. Leadership Retention Carry Plan
Retention Agreements
BlackRock
Capital Markets
NY
2019
BlackRock, Inc. Leadership Retention Carry Plan
Retention Agreements
BlackRock
Capital Markets
NY
2019
Form of Award Agreement for Grant of Retention RSUs to Mr. Paul C. Reilly
Retention Agreements
Raymond James Financial Inc.
Capital Markets
FL
2018
Form of Amendment to Executive Retention Agreement
Retention Agreements
Barings BDC, Inc.
Capital Markets
2018
Form of Executive Retention Agreement
Retention Agreements
Barings BDC, Inc.
Capital Markets
2017
Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Scott Bluestein
Retention Agreements
Hercules Capital, Inc.
Capital Markets
MA
2017
Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Mark Harris
Retention Agreements
Hercules Capital, Inc.
Capital Markets
CA
2017
Retention Agreement, dated as of October 26, 2017, by and between Hercules Capital, Inc. and Manual Henriquez
Retention Agreements
Hercules Capital, Inc.
Capital Markets
CA
2017
AMENDMENT TO RECOGNITION AND RETENTION PLAN
Retention Agreements
CME Group Inc.
Capital Markets
2015
UNIT VESTING, EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2015
Retention Agreements
Virtu Financial, Inc.
Capital Markets
DE
2015
[UNIT VESTING,] EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2015
Retention Agreements
Virtu Financial, Inc.
Capital Markets
DE
2015
UNIT VESTING, EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2015
Retention Agreements
Virtu Financial, Inc.
Capital Markets
DE
2015
[UNIT VESTING,] EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2015
Retention Agreements
Virtu Financial, Inc.
Capital Markets
DE
2015
Retention Agreement
Retention Agreements
CME Group Inc.
Capital Markets
IL
2014
UNIT VESTING, EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2014
Retention Agreements
Virtu Financial, Inc.
Capital Markets
DE
2014
[UNIT VESTING,] (1) EQUITY RETENTION AND RESTRICTIVE COVENANT AGREEMENT , 2014
Retention Agreements
Virtu Financial, Inc.
Capital Markets
DE
2014
FIRSTAMENDMENT TO AGREEMENT RELATING TO RETENTION AND NONCOMPETITIONAND OTHER COVENANTS
Retention Agreements
Lazard Ltd
Capital Markets
2010
FIRSTAMENDMENT TO AGREEMENT RELATING TO RETENTION AND NONCOMPETITIONAND OTHER COVENANTS
Retention Agreements
Lazard Ltd
Capital Markets
2010
MORGAN STANLEY 2007 EQUITY INCENTIVECOMPENSATION PLAN [FISCAL YEAR] DISCRETIONARY RETENTION
Retention Agreements
Morgan Stanley
Capital Markets
NY
2009
SECOND AMENDMENT TO AGREEMENT RELATING TO RETENTION AND
Retention Agreements
Lazard Ltd
Capital Markets
NY
2009
FORM OFFIRST AMENDMENT TO AGREEMENT RELATING TO RETENTION AND NONCOMPETITIONAND OTHER COVENANTS
Retention Agreements
Lazard Ltd
2008
AMENDEDAND RESTATED AGREEMENTRELATING TO RETENTION AND NONCOMPETITIONAND OTHER COVENANTS
Retention Agreements
Lazard Ltd
2008
MORGAN STANLEY [FISCAL YEAR] DISCRETIONARY RETENTION AWARDS MANAGEMENT COMMITTEE AWARD CERTIFICATE TABLE OF CONTENTS FOR AWARDCERTIFICATE
Retention Agreements
Morgan Stanley
2007
MORGAN STANLEY [FISCAL YEAR] DISCRETIONARY RETENTION AWARDS CHIEF EXECUTIVE OFFICER AWARD CERTIFICATE TABLE OF CONTENTS FOR AWARDCERTIFICATE
Retention Agreements
Morgan Stanley
2007
AMENDMENT TO THE PROFESSIONAL BRANCH MANAGER RETENTION PROGRAM
Retention Agreements
Legg Mason Inc
2006
AMENDMENT TO THE FINANCIAL ADVISOR RETENTION PROGRAM
Retention Agreements
Legg Mason Inc
2006
PROFESSIONAL BRANCH MANAGER RETENTION PROGRAM Under The Legg Mason, Inc.
Retention Agreements
Legg Mason Inc
2005
PRODUCING BRANCH MANAGER RETENTION PROGRAM Under The Legg Mason, Inc.
Retention Agreements
Legg Mason Inc
2005
FINANCIAL ADVISOR RETENTION PROGRAM Under The Legg Mason, Inc.
Retention Agreements
Legg Mason Inc
2005
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
Retention Agreements
Legg Mason Inc
2004
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
Retention Agreements
Legg Mason Inc
2004