Transition Agreements in the Capital Markets Industry

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Resignation and Transition Agreement, dated
Transition Agreements
WESTWOOD HOLDINGS GROUP INC
Capital Markets
NY
2024
Amendment to Executive Transition Agreement, dated as of May 9, 2024, by and between P10 Intermediate Holdings, LLC and Robert Alpert
Transition Agreements
P10, Inc.
Capital Markets
TX
2024
Amended and Restated Moodys Corporation Career Transition Plan (amended and restated as of March 1, 2024)
Transition Agreements
Moody's Corp
Capital Markets
2024
Amended and Restated Investment Advisory Agreement, dated as of February 28, 2022, between the registrant and Hennessy Funds Trust (on behalf of the Hennessy Energy Transition...
Transition Agreements
HENNESSY ADVISORS INC
Capital Markets
2023
Executive Transition Agreement, dated as of October 20, 2023, by and between P10 Intermediate Holdings, LLC and C. Clark Webb
Transition Agreements
P10, Inc.
Capital Markets
TX
2023
Executive Transition Agreement, dated as of October 20, 2023, by and between P10 Intermediate Holdings, LLC and Robert Alpert
Transition Agreements
P10, Inc.
Capital Markets
TX
2023
Houlihan Lokey, Inc. Executive Officer Transition Program
Transition Agreements
HOULIHAN LOKEY, INC.
Capital Markets
2023
Transition Services Agreement by and between the Company and John J. Flynn, dated October 6, 2022
Transition Agreements
Nebula Parent Corp.
Capital Markets
TX
2022
Houlihan Lokey, Inc. Executive Officer Transition Program
Transition Agreements
HOULIHAN LOKEY, INC.
Capital Markets
2022
Transition Agreement, dated as of May 3, 2022, by and between Northern Trust Corporation and Mr. Thomas
Transition Agreements
Northern Trust Corp.
Capital Markets
2022
LIBOR Transition Amendment, dated as of October 19, 2021 by and among Nasdaq, Inc. and Bank of America, N.A., as administrative agent
Transition Agreements
Nasdaq, Inc.
Capital Markets
2022
Amended and Restated Moodys Corporation Career Transition Plan (amended and restated as of November 8, 2021)
Transition Agreements
Moody's Corp
Capital Markets
2022
Transition Services Agreement, dated as of May 19, 2021, by and between Blue Owl Capital Inc. and Neuberger Berman Group LLC
Transition Agreements
ALTIMAR ACQUISITION CORP.
Capital Markets
2021
Transition Services Agreement, dated December 31, 2020, by and between Piper Sandler & Co. and Brian R. Sterling
Transition Agreements
Piper Jaffray Companies
Capital Markets
NY
2021
Transition Agreement, dated July 22, 2019, between Tim Hockey and TD Ameritrade Holding Corporation
Transition Agreements
TD AMERITRADE HOLDING CORP
Capital Markets
2019
Transition Agreement between the Company and Mark Almeida, dated October 21, 2019
Transition Agreements
Moody's Corp
Capital Markets
NY
2019
Executive Transition Agreement, effective May 7, 2019, between the Registrant and Kenneth A. Lewis
Transition Agreements
Franklin Resources
Capital Markets
CA
2019
Form of Transition Agreement with Executives
Transition Agreements
Legg Mason Inc
Capital Markets
MD
2019
Transition Services Agreement, dated as of December 13, 2017, by and between BGC Partners, Inc. and Newmark Group, Inc
Transition Agreements
BGC Partners, Inc.
Capital Markets
2017
TRANSITION AGREEMENT
Transition Agreements
COWEN INC.
Capital Markets
NY
2017
Cooperation in Transition of Duties
Transition Agreements
ALLIANCEBERNSTEIN HOLDING L.P.
Capital Markets
2017
MOODYS CORPORATION CAREER TRANSITION PLAN
Transition Agreements
Moody's Corp
Capital Markets
2017
FOURTH AMENDMENT TO THE MOODYS CORPORATION CAREER TRANSITION PLAN
Transition Agreements
Moody's Corp
Capital Markets
2016
TRANSITION SERVICES AGREEMENT by and between DONNELLEY FINANCIAL SOLUTIONS, INC. and LSCCOMMUNICATIONS, INC. Dated as of September 14, 2016 TABLE OF CONTENTS
Transition Agreements
Donnelley Financial Solutions, Inc.
Capital Markets
DE
2016
TRANSITION SERVICES AGREEMENT by and between R. R.DONNELLEY & SONS COMPANY and DONNELLEY FINANCIAL SOLUTIONS, INC. Dated as of September 14, 2016 TABLE OF CONTENTS
Transition Agreements
Donnelley Financial Solutions, Inc.
Capital Markets
DE
2016
Transition agreement
Transition Agreements
State Street Corp.
Capital Markets
2016
TRANSITION SERVICES AGREEMENT BETWEEN BLACKSTONE HOLDINGS IL.P. AND PJT PARTNERSHOLDINGS LP DATED AS OF OCTOBER 1, 2015 TRANSITION SERVICES AGREEMENT
Transition Agreements
PJT Partners Inc.
Capital Markets
DE
2015
TRANSITION SERVICES AGREEMENT by and between ORIX USA, LP a Delaware limited partnership and HOULIHAN LOKEY, INC. a Delaware corporation Dated as of August 18, 2015
Transition Agreements
HOULIHAN LOKEY, INC.
Capital Markets
NY
2015
TRANSITION SERVICES AGREEMENT by and between ORIX USA, LP a Delaware limited partnership and HOULIHAN LOKEY, INC. a Delaware corporation Dated as of [ ], 2015
Transition Agreements
HOULIHAN LOKEY, INC.
Capital Markets
NY
2015
THIRD AMENDMENT TO THE MOODYSCORPORATION CAREER TRANSITION PLAN
Transition Agreements
Moody's Corp
Capital Markets
2015
SECOND AMENDMENT TO THE MOODYS CORPORATION CAREER TRANSITION PLAN
Transition Agreements
Moody's Corp
Capital Markets
2014
FIRST AMENDMENT TO THE MOODYS CORPORATION CAREER TRANSITION PLAN
Transition Agreements
Moody's Corp
Capital Markets
2013
TRANSITION AGREEMENT
Transition Agreements
Cboe Global Markets
Capital Markets
IL
2012
TRANSITION AND ADVISORY SERVICES AGREEMENT
Transition Agreements
AFFILIATED MANAGERS GROUP, INC.
Capital Markets
2011
TRANSITION AGREEMENT
Transition Agreements
E*Trade
Capital Markets
2011
TRANSITION SERVICES AGREEMENT
Transition Agreements
Investment Technology Group, Inc.
Capital Markets
NY
2010
Description of Transition Award to Ronald E. Logue
Transition Agreements
State Street Corp.
Capital Markets
2010
MOODYS CORPORATION CAREER TRANSITION PLAN
Transition Agreements
Moody's Corp
Capital Markets
2008
CAPITAL MARKETS TRANSITION SERVICES AGREEMENT by and between
Transition Agreements
Legg Mason Inc
Capital Markets
MD
2005
PRIVATE CLIENT TRANSITION SERVICES AGREEMENT by and between
Transition Agreements
Legg Mason Inc
Capital Markets
MD
2005