Mergers & Acquisitions Contracts & Agreements in the Capital Markets Industry

199 Contracts & Agreements

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Joint Venture Agreements (6 contracts from 3 companies)
Merger Agreements (181 | 82)
Plan of Reorganization Agreements (12 | 8)

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ALTIMAR ACQUISITION CORP. (2 contracts)
Apollo Global Management LLC (1)
APOLLO INVESTMENT CORP (2)
ARES CAPITAL CORP (2)
Artisan Partners Asset Management Inc. (6)
Ashford Inc. (3)
B. Riley Financial, Inc. (7)
Barings BDC, Inc. (1)
BGC Partners, Inc. (5)
BlackRock Capital Investment Corp (2)
BlackRock TCP Capital Corp. (3)
Blucora, Inc. (3)
Charles Schwab Corporation (3)
CME Group Inc. (7)
Cohen & Co Inc. (7)
COWEN INC. (2)
Crescent Capital BDC, Inc. (4)
E*Trade (3)
Eaton Vance Corp (2)
ENDI Corp. (1)
ENTERPRISE DIVERSIFIED, INC. (3)
EQUUS TOTAL RETURN, INC. (2)
Focus Financial Partners Inc. (1)
Franklin Resources (1)
FS KKR Capital Corp (3)
GAIN Capital Holdings, Inc. (1)
GAMCO INVESTORS, INC. ET AL (1)
Garrison Capital Inc. (1)
GlassBridge Enterprises, Inc. (3)
Goldman Sachs (1)
Goldman Sachs BDC, Inc. (3)
Goldman Sachs Middle Market Lending Corp. (2)
GOLUB CAPITAL BDC, Inc. (2)
Great Elm Capital Group, Inc. (1)
Greenhill & Co., Inc. (1)
Greenpro Capital Corp. (2)
Harvest Capital Credit Corp (1)
Horizon Technology Finance Corp (1)
Intercontinental Exchange (4)
INTL FCStone Inc. (2)
Invesco Ltd. (3)
Investment Technology Group, Inc. (2)
KCAP Financial, Inc. (4)
KKR & Co. Inc. (4)
LADENBURG THALMANN FINANCIAL SERVICES INC. (3)
Lazard Ltd (3)
Legg Mason Inc (1)
Manning & Napier, Inc. (1)
Medley Capital Corp (2)
MEDLEY MANAGEMENT INC. (1)
Morgan Stanley (4)
Morningstar, Inc. (1)
MSCI Inc (1)
MVC CAPITAL, INC. (2)
Nasdaq, Inc. (4)
NATIONAL HOLDINGS CORP (6)
Nebula Parent Corp. (1)
New Mountain Finance Corp (3)
Oaktree Specialty Lending Corp (2)
Oaktree Strategic Income Corp (1)
Och-Ziff Capital Management Group LLC (6)
PennantPark Floating Rate Capital Ltd. (1)
Piper Jaffray Companies (1)
PJT Partners Inc. (1)
PRINCETON CAPITAL CORP (1)
PROSPECT CAPITAL CORP (1)
Pzena Investment Management, Inc. (1)
RAND CAPITAL CORP (1)
Raymond James Financial Inc. (1)
S&P Global, Inc. (2)
SIEBERT FINANCIAL CORP (1)
Solar Capital Ltd. (1)
Solar Senior Capital Ltd. (1)
StepStone Group Inc. (2)
Stifel Financial Corp (3)
TD AMERITRADE HOLDING CORP (4)
TPG Partners, LLC (1)
TPG Specialty Lending, Inc. (1)
ValueSetters Inc. (1)
Virtu Financial, Inc. (10)
Virtus Investment Partners, Inc. (1)
VPC Impact Acquisition Holdings (2)
Waddell & Reed Financial, Inc. (1)
WESTWOOD HOLDINGS GROUP INC (1)
Wright Investors Service Holdings, Inc. (2)

Recent Contracts

Borrower Assumption Agreement, dated as of March 18, 2024, by BCIC Merger Sub, LLC and Citibank, N.A., as administrative agent (BlackRock TCP Capital Corp., Filed With SEC on March 18, 2024)
First Amendment to Tax Receivable Agreement (Merger) (Artisan Partners Asset Management Inc., Filed With SEC on February 22, 2024)
Agreement and Plan of Merger, by and among Golub Capital BDC, Inc., Golub Capital BDC 3, Inc., Park Avenue Subsidiary Inc., GC Advisors, LLC, and solely for purposes of Section... (GOLUB CAPITAL BDC, Inc., Filed With SEC on January 17, 2024)
Amendment No. 3 to Merger Agreement, dated January 12, 2024, by and among the Company, Enterprise Diversified, Inc., CrossingBridge Advisors LLC and Cohanzick Management LLC (ENDI Corp., Filed With SEC on January 12, 2024)
Amended and Restated Agreement and Plan of Merger among BlackRock Capital Investment Corporation, BlackRock TCP Capital Corp., Project Spurs Merger Sub, LLC and, for the limited... (BlackRock TCP Capital Corp., Filed With SEC on January 11, 2024)
Amended and Restated Agreement and Plan of Merger among BlackRock Capital Investment Corporation, BlackRock TCP Capital Corp., Project Spurs Merger Sub, LLC and, for the limited... (BlackRock Capital Investment Corp, Filed With SEC on January 11, 2024)
Merger Agreement, dated as of November 28, 2023, by and among KKR Magnolia Holdings LLC, Sweetbay Merger Sub LLC and The Global Atlantic Financial Group LLC (KKR & Co. Inc., Filed With SEC on November 29, 2023)
Agreement and Plan of Merger, dated as of July 23, 2023, by and among Rithm Capital Corp., Sculptor Capital Management, Inc., Sculptor Capital LP, Sculptor Capital Advisors LP,... (Och-Ziff Capital Management Group LLC, Filed With SEC on November 8, 2023)
Agreement and Plan of Merger, dated as of November 6, 2023, among MidCap Financial Investment Corporation, Apollo Tactical Income Fund Inc., AIF Merger Sub, Inc. and Apollo... (APOLLO INVESTMENT CORP, Filed With SEC on November 7, 2023)
Agreement and Plan of Merger, dated as of November 6, 2023, among MidCap Financial Investment Corporation, Apollo Senior Floating Rate Fund Inc., AFT Merger Sub, Inc. and Apollo... (APOLLO INVESTMENT CORP, Filed With SEC on November 7, 2023)
Amendment No. 1 to Agreement and Plan of Merger, dated as of October 12, 2023, by and among Rithm Capital Corp., Sculptor Capital Management, Inc., Sculptor Capital LP, Sculptor... (Och-Ziff Capital Management Group LLC, Filed With SEC on October 12, 2023)
AGREEMENT AND PLAN OF MERGER by and among ARETEC GROUP, INC., C2023 SUB CORP. and AVANTAX, INC. Dated as of September 9, 2023 (Blucora, Inc., Filed With SEC on September 11, 2023)
Agreement and Plan of Merger among BlackRock Capital Investment Corporation, BlackRock TCP Capital Corp., Project Spurs Merger Sub, LLC and, for the limited purposes set forth... (BlackRock TCP Capital Corp., Filed With SEC on September 6, 2023)
Agreement and Plan of Merger among BlackRock Capital Investment Corporation, BlackRock TCP Capital Corp., Project Spurs Merger Sub, LLC and, for the limited purposes set forth... (BlackRock Capital Investment Corp, Filed With SEC on September 6, 2023)
Agreement and Plan of Merger, dated as of July 23, 2023, by and among Rithm Capital Corp., Sculptor Capital Management, Inc., Sculptor Capital LP, Sculptor Capital Advisors LP,... (Och-Ziff Capital Management Group LLC, Filed With SEC on July 24, 2023)
Agreement and Plan of Merger, dated as of June 10, 2023, by and among Nasdaq, Inc., Argus Merger Sub 1, Inc., Argus Merger Sub 2, LLC, Adenza Holdings, Inc. and Adenza Parent, LP (Nasdaq, Inc., Filed With SEC on June 12, 2023)
Agreement and Plan of Merger, dated as of May 22, 2023, by and among Mizuho Americas LLC, Blanc Merger Sub, Inc. and Greenhill & Co., Inc (Greenhill & Co., Inc., Filed With SEC on May 22, 2023)
Amendment No. 1, dated as of March 7, 2023, to the Agreement and Plan of Merger, dated as of May 4, 2022, among Intercontinental Exchange, Inc., Sand Merger Sub Corporation and... (Intercontinental Exchange, Filed With SEC on March 7, 2023)
Corporate Conversion Agreement, dated as of November 15, 2022, by and among BGC Partners, Inc., BGC Group, Inc., BGC Holdings, L.P., BGC GP, LLC, BGC Partners II, Inc., BGC... (BGC Partners, Inc., Filed With SEC on November 16, 2022)
Reorganization Agreement By and Among Tigress Holdings, LLC, Rise Financial Services, LLC, and Siebert Financial Corp. dated October 18, 2022 (SIEBERT FINANCIAL CORP, Filed With SEC on October 21, 2022)
Agreement and Plan of Merger, dated as of October 3, 2022, by and among Crescent Capital BDC, Inc., Echelon Acquisition Sub, Inc., Echelon Acquisition Sub LLC, First Eagle... (Crescent Capital BDC, Inc., Filed With SEC on October 4, 2022)
Agreement and Plan of Merger among Oaktree Strategic Income II, Inc., Oaktree Specialty Lending Corporation, Project Superior Merger Sub, Inc. and Oaktree Fund Advisors LLC (for... (Oaktree Specialty Lending Corp, Filed With SEC on September 15, 2022)
Thirteenth Amendment to Second Amended and Restated Senior Secured Revolving Credit Agreement, dated as of May 19, 2022, among Sixth Street Specialty Lending, Inc. as Borrower,... (TPG Specialty Lending, Inc., Filed With SEC on August 2, 2022)
Agreement and Plan of Merger, dated as of August 1, 2022, by and among Cowen Inc., The Toronto-Dominion Bank and Crimson Holdings Acquisition Co (COWEN INC., Filed With SEC on August 2, 2022)
Agreement and Plan of Merger, dated as of July 26, 2022, by and among Pzena Investment Management, Inc., Pzena Investment Management, LLC and Panda Merger Sub, LLC (Pzena Investment Management, Inc., Filed With SEC on July 28, 2022)
The Second Amended Merger Agreement, dated July 13, 2022, by and among ENDI Corp., Enterprise Diversified, Inc., Zelda Merger Sub 1, Inc., Zelda Merger Sub 2, LLC, CrossingBridge... (ENTERPRISE DIVERSIFIED, INC., Filed With SEC on July 15, 2022)
The Amended Merger Agreement, dated June 3, 2022, by and among ENDI Corp., Enterprise Diversified, Inc., Zelda Merger Sub 1, Inc., Zelda Merger Sub 2, LLC, CrossingBridge... (ENTERPRISE DIVERSIFIED, INC., Filed With SEC on June 8, 2022)
Agreement and Plan of Merger, dated as of May 4, 2022, among Intercontinental Exchange, Inc., Sand Merger Sub Corporation and Black Knight, Inc (Intercontinental Exchange, Filed With SEC on May 6, 2022)
Merger Agreement, dated March 31, 2022, by and among, Callodine Midco, Inc., Callodine Merger Sub, Inc., Callodine Merger Sub, LLC, Manning & Napier, Inc., and Manning & Napier... (Manning & Napier, Inc., Filed With SEC on April 1, 2022)
Reorganization Agreement, dated as of December 31, 2021, among TPG Holdings I, L.P., TPG Holdings II, L.P., TPG Holdings III, L.P., TPG Group Advisors (Cayman), Inc., TPG Group... (TPG Partners, LLC, Filed With SEC on March 29, 2022)
Agreement and Plan of Merger, dated as of December 27, 2021, by and between Rand Capital Sub, Inc. and Rand Capital Sub LLC (RAND CAPITAL CORP, Filed With SEC on December 30, 2021)
First Amendment to the Agreement and Plan of Merger, dated as of December 23, 2021, by and among Blue Owl Capital Inc., Blue Owl Capital GP LLC, Blue Owl Capital Holdings LP, Blue... (ALTIMAR ACQUISITION CORP., Filed With SEC on December 30, 2021)
Merger Agreement, dated December 29, 2021, by and among ENDI Corp., Enterprise Diversified, Inc., Zelda Merger Sub 1, Inc., Zelda Merger Sub 2, LLC, CrossingBridge Advisors, LLC... (ENTERPRISE DIVERSIFIED, INC., Filed With SEC on December 29, 2021)
Agreement and Plan of Merger among SLR Investment Corp., SLR Senior Investment Corp., Solstice Merger Sub, Inc. and SLR Capital Partners, LLC (for the limited purposes set forth... (Solar Senior Capital Ltd., Filed With SEC on December 1, 2021)
Agreement and Plan of Merger among SLR Investment Corp., SLR Senior Investment Corp., Solstice Merger Sub, Inc. and SLR Capital Partners, LLC (for the limited purposes set forth... (Solar Capital Ltd., Filed With SEC on December 1, 2021)
Agreement and Plan of Merger, dated October 20, 2021, among Raymond James Financial, Inc., Macaroon One LLC, Macaroon Two LLC and TriState Capital Holdings, Inc (Raymond James Financial Inc., Filed With SEC on October 26, 2021)
Agreement and Plan of Merger, dated October 17, 2021, by and among Blue Owl Capital Inc., Blue Owl Capital GP LLC, Blue Owl Capital Holdings LP, Blue Owl Capital Carry LP, Flyer... (ALTIMAR ACQUISITION CORP., Filed With SEC on October 18, 2021)
Reorganization Agreement, dated as of October 8, 2021, by and among KKR & Co. Inc., KKR Group Holdings Corp., KKR Group Partnership L.P., KKR Holdings L.P., KKR Holdings GP... (KKR & Co. Inc., Filed With SEC on October 12, 2021)
Amendment to Agreement and Plan of Merger, dated September 29, 2021, by and among VPC Impact Acquisition Holdings, Pylon Merger Company LLC and Bakkt Holdings, LLC (VPC Impact Acquisition Holdings, Filed With SEC on September 30, 2021)
Agreement and Plan of Merger, by and among Barings BDC, Inc., Mercury Acquisition Sub, Inc., Sierra Income Corporation and Barings LLC, dated as of September 21, 2021 (Barings BDC, Inc., Filed With SEC on September 22, 2021)