Retirement Agreements in the Capital Markets Industry

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First Amendment to the Moodys Corporation Retirement Account (effective January 1, 2021)
Retirement Agreements
Moody's Corp
Capital Markets
2022
Cboe Global Markets Supplemental Retirement Plan
Retirement Agreements
Cboe Global Markets
2024
Amendments to the Cboe Exchange, Inc. (f/k/a Chicago Board Options Exchange, Incorporated) Supplemental Retirement Plan
Retirement Agreements
Cboe Global Markets
Capital Markets
2023
Amendments to the Cboe Exchange, Inc. (f/k/a Chicago Board Options Exchange, Incorporated) Executive Retirement Plan
Retirement Agreements
Cboe Global Markets
Capital Markets
2023
Retirement Agreement with Anthony Civale
Retirement Agreements
Apollo Global Management LLC
Capital Markets
NY
2022
Retirement Agreement and General Release of Claims by and between Nasdaq, Inc. and Michael Ptasznik, dated October 21, 2020
Retirement Agreements
Nasdaq, Inc.
Capital Markets
NY
2021
Moodys Corporation Retirement Account
Retirement Agreements
Moody's Corp
Capital Markets
NY
2021
State Street's Executive Supplemental Retirement Plan, as amended and restated, and First, Second and Third Amendments thereto
Retirement Agreements
State Street Corp.
Capital Markets
2021
Seventh Amendment to Standard & Poors Employee Retirement Plan Supplement, effective generally as of January 1, 2021
Retirement Agreements
S&P Global, Inc.
Capital Markets
2021
Sixth Amendment to Registrants Employee Retirement Plan Supplement, effective generally as of January 1, 2020
Retirement Agreements
S&P Global, Inc.
Capital Markets
2021
Moodys Corporation Retirement Account, amended and restated as of January 1, 2018
Retirement Agreements
Moody's Corp
Capital Markets
NY
2020
Sixth Amendment to Standard & Poors Employee Retirement Plan Supplement, effective generally as of January 1, 2020
Retirement Agreements
S&P Global, Inc.
Capital Markets
2020
Fifth Amendment to Registrants Employee Retirement Plan Supplement, effective generally as of January 1, 2020
Retirement Agreements
S&P Global, Inc.
Capital Markets
2020
Retirement Agreement and General Release of Claims, between Nasdaq and Thomas A. Wittman, effective July 10, 2019
Retirement Agreements
Nasdaq, Inc.
Capital Markets
NY
2019
Amendment to the Retirement Plan for Employees of AllianceBernstein L.P., dated as of April 1, 2018
Retirement Agreements
ALLIANCEBERNSTEIN HOLDING L.P.
Capital Markets
2019
Form of RSU Non-Bonus Award Notice and Agreement - 2018 Retirement - Restrictive Covenants
Retirement Agreements
Raymond James Financial Inc.
Capital Markets
FL
2018
Form of RSU Non-Bonus Award Notice and Agreement - 2018 Retirement - Restrictive Covenants - Canadian Employees
Retirement Agreements
Raymond James Financial Inc.
Capital Markets
FL
2018
Form of RSU Non-Bonus Award Notice and Agreement - 2018 Retirement - Restrictive Covenants - Mr. Paul C. Reilly
Retirement Agreements
Raymond James Financial Inc.
Capital Markets
FL
2018
Ameriprise Financial Supplemental Retirement Plan, as amended and restated effective October 3, 2017
Retirement Agreements
Ameriprise Financial
Capital Markets
MN
2018
Amendment to the Retirement Plan for Employees of AllianceBernstein L.P., dated as of May 16, 2017 and effective as of January 1, 2008
Retirement Agreements
ALLIANCEBERNSTEIN HOLDING L.P.
Capital Markets
2018
RETIREMENT AGREEMENT
Retirement Agreements
Cboe Global Markets
Capital Markets
DE
2017
RETIREMENT AGREEMENT
Retirement Agreements
Cboe Global Markets
Capital Markets
DE
2017
GENERAL RELEASE AND RETIREMENT AGREEMENT
Retirement Agreements
Nasdaq, Inc.
Capital Markets
NY
2017
GENERAL RELEASE AND RETIREMENT AGREEMENT
Retirement Agreements
Nasdaq, Inc.
Capital Markets
NY
2016
AMENDMENT AND RESTATEMENT OF THE RETIREMENT PLAN FOR EMPLOYEES OF ALLIANCEBERNSTEIN L.P.
Retirement Agreements
ALLIANCEBERNSTEIN HOLDING L.P.
Capital Markets
NY
2016
Amendment Four to Retirement Plan For Employees of Capital Southwest Corporation and its Affiliates
Retirement Agreements
CAPITAL SOUTHWEST CORP
Capital Markets
2015
FIRST AMENDMENT TO THEMOODYS CORPORATION RETIREMENT ACCOUNT
Retirement Agreements
Moody's Corp
Capital Markets
2015
AMENDMENT TO THE BANK OF NEW YORK COMPANY, INC. SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN
Retirement Agreements
The Bank of New York Mellon Corp.
Capital Markets
2015
STATE STREET CORPORATION Executive Supplemental Retirement Plan (Amended and Restated January1, 2015) Table of Contents
Retirement Agreements
State Street Corp.
Capital Markets
MA
2015
Amendment Five to Standard & Poors Employee Retirement Plan Supplement
Retirement Agreements
S&P Global, Inc.
Capital Markets
2015
AMENDMENT TO SUPPLEMENTAL EXECUTIVE RETIREMENT AND EXCESS PLAN
Retirement Agreements
Morgan Stanley
Capital Markets
2014
THE MOODYS CORPORATION RETIREMENT ACCOUNT Amended andRestated as of December 18, 2013 INTRODUCTION
Retirement Agreements
Moody's Corp
Capital Markets
NY
2014
STATE STREET CORPORATION Executive Supplemental Retirement Plan (Amended and Restated January1, 2008) Table of Contents
Retirement Agreements
State Street Corp.
Capital Markets
MA
2014
Amendment Four to Standard & Poors Employee Retirement Plan Supplement
Retirement Agreements
S&P Global, Inc.
Capital Markets
2014
Amendment Four to The McGraw-Hill Companies, Inc. Employee Retirement Plan Supplement
Retirement Agreements
S&P Global, Inc.
Capital Markets
2014
Amendment one to Retirement Plan for employees of Capital Southwest Corporation and its affiliates as amended and restated effective April 1, 2011
Retirement Agreements
CAPITAL SOUTHWEST CORP
Capital Markets
2013
OCTOBER 8, 2009 MORGAN STANLEY UK LIMITED MORGAN STANLEY ALTERNATIVE RETIREMENT PLAN RULES CONTENTS
Retirement Agreements
Morgan Stanley
Capital Markets
2013
FIFTH AMENDMENT TO THE MOODYS CORPORATION RETIREMENT ACCOUNT
Retirement Agreements
Moody's Corp
Capital Markets
2013
FOURTH AMENDMENT TO THE MOODYS CORPORATION RETIREMENT ACCOUNT
Retirement Agreements
Moody's Corp
Capital Markets
2012
Amendment Three to The Standard & Poors Employee Retirement Plan Supplement
Retirement Agreements
S&P Global, Inc.
Capital Markets
2012