Transition Agreements in the Capital Markets Industry

43 Contracts & Agreements

Browse by Company

AFFILIATED MANAGERS GROUP, INC. (1 contract)
ALLIANCEBERNSTEIN HOLDING L.P. (1)
ALTIMAR ACQUISITION CORP. (1)
BGC Partners, Inc. (1)
Cboe Global Markets (1)
COWEN INC. (1)
Donnelley Financial Solutions, Inc. (2)
E*Trade (1)
Franklin Resources (1)
Great Elm Capital Group, Inc. (5)
HENNESSY ADVISORS INC (1)
HOULIHAN LOKEY, INC. (4)
Investment Technology Group, Inc. (1)
Legg Mason Inc (4)
Moody's Corp (8)
Nasdaq, Inc. (1)
Nebula Parent Corp. (1)
Northern Trust Corp. (1)
P10, Inc. (2)
Piper Jaffray Companies (1)
PJT Partners Inc. (1)
State Street Corp. (2)
TD AMERITRADE HOLDING CORP (1)

Recent Contracts

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... (HENNESSY ADVISORS INC, Filed With SEC on December 7, 2023)
Executive Transition Agreement, dated as of October 20, 2023, by and between P10 Intermediate Holdings, LLC and C. Clark Webb (P10, Inc., Filed With SEC on November 13, 2023)
Executive Transition Agreement, dated as of October 20, 2023, by and between P10 Intermediate Holdings, LLC and Robert Alpert (P10, Inc., Filed With SEC on November 13, 2023)
Houlihan Lokey, Inc. Executive Officer Transition Program (HOULIHAN LOKEY, INC., Filed With SEC on May 25, 2023)
Transition Services Agreement by and between the Company and John J. Flynn, dated October 6, 2022 (Nebula Parent Corp., Filed With SEC on October 6, 2022)
Houlihan Lokey, Inc. Executive Officer Transition Program (HOULIHAN LOKEY, INC., Filed With SEC on May 27, 2022)
Transition Agreement, dated as of May 3, 2022, by and between Northern Trust Corporation and Mr. Thomas (Northern Trust Corp., Filed With SEC on May 3, 2022)
LIBOR Transition Amendment, dated as of October 19, 2021 by and among Nasdaq, Inc. and Bank of America, N.A., as administrative agent (Nasdaq, Inc., Filed With SEC on February 23, 2022)
Amended and Restated Moodys Corporation Career Transition Plan (amended and restated as of November 8, 2021) (Moody's Corp, Filed With SEC on February 22, 2022)
Transition Services Agreement, dated as of May 19, 2021, by and between Blue Owl Capital Inc. and Neuberger Berman Group LLC (ALTIMAR ACQUISITION CORP., Filed With SEC on May 21, 2021)
Transition Services Agreement, dated December 31, 2020, by and between Piper Sandler & Co. and Brian R. Sterling (Piper Jaffray Companies, Filed With SEC on February 25, 2021)
Transition Agreement, dated July 22, 2019, between Tim Hockey and TD Ameritrade Holding Corporation (TD AMERITRADE HOLDING CORP, Filed With SEC on November 15, 2019)
Transition Agreement between the Company and Mark Almeida, dated October 21, 2019 (Moody's Corp, Filed With SEC on October 25, 2019)
Executive Transition Agreement, effective May 7, 2019, between the Registrant and Kenneth A. Lewis (Franklin Resources, Filed With SEC on July 30, 2019)
Form of Transition Agreement with Executives (Legg Mason Inc, Filed With SEC on May 24, 2019)
Transition Services Agreement, dated as of December 13, 2017, by and between BGC Partners, Inc. and Newmark Group, Inc (BGC Partners, Inc., Filed With SEC on December 19, 2017)
TRANSITION AGREEMENT (COWEN INC., Filed With SEC on December 1, 2017)
Cooperation in Transition of Duties (ALLIANCEBERNSTEIN HOLDING L.P., Filed With SEC on May 1, 2017)
MOODYS CORPORATION CAREER TRANSITION PLAN (Moody's Corp, Filed With SEC on February 24, 2017)
FOURTH AMENDMENT TO THE MOODYS CORPORATION CAREER TRANSITION PLAN (Moody's Corp, Filed With SEC on October 24, 2016)
TRANSITION SERVICES AGREEMENT by and between DONNELLEY FINANCIAL SOLUTIONS, INC. and LSCCOMMUNICATIONS, INC. Dated as of September 14, 2016 TABLE OF CONTENTS (Donnelley Financial Solutions, Inc., Filed With SEC on October 3, 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 (Donnelley Financial Solutions, Inc., Filed With SEC on October 3, 2016)
Transition agreement (State Street Corp., Filed With SEC on May 6, 2016)
TRANSITION SERVICES AGREEMENT BETWEEN BLACKSTONE HOLDINGS IL.P. AND PJT PARTNERSHOLDINGS LP DATED AS OF OCTOBER 1, 2015 TRANSITION SERVICES AGREEMENT (PJT Partners Inc., Filed With SEC on October 5, 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 (HOULIHAN LOKEY, INC., Filed With SEC on August 21, 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 (HOULIHAN LOKEY, INC., Filed With SEC on July 27, 2015)
THIRD AMENDMENT TO THE MOODYSCORPORATION CAREER TRANSITION PLAN (Moody's Corp, Filed With SEC on February 26, 2015)
SECOND AMENDMENT TO THE MOODYS CORPORATION CAREER TRANSITION PLAN (Moody's Corp, Filed With SEC on July 31, 2014)
FIRST AMENDMENT TO THE MOODYS CORPORATION CAREER TRANSITION PLAN (Moody's Corp, Filed With SEC on February 26, 2013)
TRANSITION AGREEMENT (Cboe Global Markets, Filed With SEC on December 12, 2012)
TRANSITION AND ADVISORY SERVICES AGREEMENT (AFFILIATED MANAGERS GROUP, INC., Filed With SEC on May 10, 2011)
TRANSITION AGREEMENT (E*Trade, Filed With SEC on February 22, 2011)
TRANSITION SERVICES AGREEMENT (Investment Technology Group, Inc., Filed With SEC on March 1, 2010)
Description of Transition Award to Ronald E. Logue (State Street Corp., Filed With SEC on February 22, 2010)
MOODYS CORPORATION CAREER TRANSITION PLAN (Moody's Corp, Filed With SEC on May 8, 2008)
CAPITAL MARKETS TRANSITION SERVICES AGREEMENT by and between (Legg Mason Inc, Filed With SEC on December 7, 2005)
PRIVATE CLIENT TRANSITION SERVICES AGREEMENT by and between (Legg Mason Inc, Filed With SEC on December 7, 2005)
TRANSITION SERVICES AGREEMENT by and between (Legg Mason Inc, Filed With SEC on December 7, 2005)
TRANSITION & RELEASE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on July 18, 2005)
EMPLOYMENT TRANSITION & RELEASE AGREEMENT (Great Elm Capital Group, Inc., Filed With SEC on February 9, 2005)