Uncategorized Contracts & Agreements in the Capital Markets Industry

3,241 Contracts & Agreements

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AFFILIATED MANAGERS GROUP, INC. (16 contracts)
ALLIANCEBERNSTEIN HOLDING L.P. (55)
ALTIMAR ACQUISITION CORP. (12)
Ameriprise Financial (17)
Apollo Global Management LLC (64)
APOLLO INVESTMENT CORP (2)
ARES CAPITAL CORP (13)
Ares Management Corp (21)
Artisan Partners Asset Management Inc. (19)
Ascendant Digital Acquisition Corp. (14)
Ashford Inc. (18)
AssetMark Financial Holdings, Inc. (2)
Associated Capital Group, Inc. (2)
B. Riley Financial, Inc. (21)
Bain Capital Specialty Finance, Inc. (1)
Barings BDC, Inc. (8)
BC Partners Lending Corp (2)
BGC Partners, Inc. (62)
BlackRock (29)
BlackRock Capital Investment Corp (1)
BlackRock Direct Lending Corp. (1)
BlackRock TCP Capital Corp. (4)
BLACKSTAR ENTERPRISE GROUP, INC. (24)
Blackstone / GSO Secured Lending Fund (7)
Blackstone Group L.P. (44)
Blackstone Private Credit Fund (6)
Blackstone Private Equity Strategies Fund L.P. (1)
Blucora, Inc. (41)
Bridge Investment Group Holdings Inc. (5)
BrightSphere Investment Group Inc. (3)
Capital Financial Holdings, Inc (4)
CAPITAL SOUTHWEST CORP (12)
Capitala Finance Corp. (3)
Carlyle Group L.P. (21)
Cboe Global Markets (20)
CERES ABINGDON L.P. (10)
CERES ORION L.P. (20)
Ceres Tactical Commodity L.P. (11)
CERES TACTICAL CURRENCY L.P. (9)
CERES TACTICAL SYSTEMATIC L.P. (28)
Charles Schwab Corporation (11)
CHINAWE COM INC (3)
CION Investment Corp (19)
CM Finance Inc (26)
CME Group Inc. (70)
Cohen & Co Inc. (21)
COHEN & STEERS INC (5)
CONCIERGE TECHNOLOGIES INC (4)
ContextLogic Inc. (7)
COWEN INC. (18)
Crescent Capital BDC, Inc. (6)
DIAMOND HILL INVESTMENT GROUP INC (7)
Donnelley Financial Solutions, Inc. (8)
E*Trade (26)
Eaton Vance Corp (4)
ENDI Corp. (1)
ENTERPRISE DIVERSIFIED, INC. (9)
EQUUS TOTAL RETURN, INC. (6)
Evercore (24)
FactSet Research Systems Inc (3)
Federated Investors (18)
FIDUS INVESTMENT Corp (5)
FinTech Acquisition Corp. IV (10)
Focus Financial Partners Inc. (13)
Franklin Resources (15)
Freedom Holding Corp. (13)
FS KKR Capital Corp (21)
GAIN Capital Holdings, Inc. (92)
GAMCO INVESTORS, INC. ET AL (6)
Garrison Capital Inc. (2)
GCM Grosvenor Inc. (5)
GLADSTONE CAPITAL CORP (8)
GLADSTONE INVESTMENT CORPORATION (7)
GlassBridge Enterprises, Inc. (55)
Goldman Sachs (165)
Goldman Sachs BDC, Inc. (1)
Goldman Sachs Private Middle Market Credit II LLC (1)
Goldman Sachs Private Middle Market Credit LLC (1)
GOLUB CAPITAL BDC, Inc. (6)
Great Elm Capital Corp. (4)
Great Elm Capital Group, Inc. (61)
Greenhill & Co., Inc. (19)
Greenpro Capital Corp. (34)
GSV Capital Corp. (6)
Hamilton Lane INC (12)
Harvest Capital Credit Corp (1)
HENNESSY ADVISORS INC (14)
Hercules Capital, Inc. (7)
Heritage Global Inc. (34)
Horizon Technology Finance Corp (8)
HOULIHAN LOKEY, INC. (15)
Indo Global Exchange(s) Pte, Ltd. (2)
Interactive Brokers (9)
Intercontinental Exchange (4)
INTL FCStone Inc. (13)
Invesco Ltd. (31)
Investment Technology Group, Inc. (33)
Janus Henderson Group plc (13)
KCAP Financial, Inc. (20)
KKR & Co. Inc. (39)
Kyto Technology & Life Science, Inc. (1)
LADENBURG THALMANN FINANCIAL SERVICES INC. (21)
Lazard Ltd (64)
Legg Mason Inc (30)
LPL Financial Holdings Inc. (35)
Main Street Capital CORP (18)
Manning & Napier, Inc. (34)
MarketAxess Holdings Inc (11)
Medley Capital Corp (5)
MEDLEY MANAGEMENT INC. (8)
Moelis & Co (9)
MONROE CAPITAL Corp (4)
Moody's Corp (18)
Morgan Stanley (108)
Morgan Stanley Bank of America Merrill Lynch Trust 2013-C7 (1)
Morgan Stanley Bank of America Merrill Lynch Trust 2014-C14 (2)
Morgan Stanley Bank of America Merrill Lynch Trust 2014-C15 (1)
Morgan Stanley Direct Lending Fund (3)
MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P. (5)
MORGAN STANLEY SMITH BARNEY CHARTER CAMPBELL LP (4)
MORGAN STANLEY SMITH BARNEY CHARTER WNT L.P. (4)
MORGAN STANLEY SMITH BARNEY SPECTRUM GLOBAL BALANCED LP (4)
MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (8)
MORGAN STANLEY SMITH BARNEY SPECTRUM STRATEGIC LP (4)
MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP (6)
Morningstar, Inc. (6)
MSCI Inc (133)
MVC CAPITAL, INC. (14)
Nasdaq, Inc. (36)
NATIONAL HOLDINGS CORP (17)
Nebula Parent Corp. (5)
New Mountain Finance Corp (19)
NewHold Investment Corp. II (10)
Newtek Business Services Corp. (3)
Northern Trust Corp. (96)
Oaktree Specialty Lending Corp (12)
Oaktree Strategic Income Corp (2)
Och-Ziff Capital Management Group LLC (96)
OFS Capital Corp (9)
OPPENHEIMER HOLDINGS INC (5)
Owl Rock Capital Corp (7)
Oxford Square Capital Corp. (13)
P10, Inc. (7)
PennantPark Floating Rate Capital Ltd. (4)
PENNANTPARK INVESTMENT CORP (4)
Piper Jaffray Companies (26)
PJT Partners Inc. (12)
PRINCETON CAPITAL CORP (5)
PROSPECT CAPITAL CORP (18)
Pzena Investment Management, Inc. (11)
QUOTEMEDIA INC (1)
RAND CAPITAL CORP (6)
Raymond James Financial Inc. (17)
Robinhood Markets, Inc. (11)
Runway Growth Credit Fund Inc. (5)
S&P Global, Inc. (53)
SAFEGUARD SCIENTIFICS INC (33)
SEI Investments Corp (35)
SIEBERT FINANCIAL CORP (14)
Silvercrest Asset Management Group Inc. (3)
Solar Capital Ltd. (4)
Solar Senior Capital Ltd. (3)
State Street Corp. (25)
Stellus Capital Investment Corp (8)
StepStone Group Inc. (5)
Stifel Financial Corp (16)
T. Rowe Price Group (23)
Tango Holdings, Inc. (3)
TCG BDC, INC. (11)
TD AMERITRADE HOLDING CORP (52)
The Bank of New York Mellon Corp. (29)
TPG Partners, LLC (5)
TPG Specialty Lending, Inc. (9)
Tradeweb Markets Inc. (18)
Trinity Capital Inc. (4)
TriplePoint Venture Growth BDC Corp. (5)
U S GLOBAL INVESTORS INC (5)
VALUE LINE INC (2)
ValueSetters Inc. (2)
VetaNova Inc. (15)
Victory Capital Holdings, Inc. (3)
Virtu Financial, Inc. (4)
Virtus Investment Partners, Inc. (14)
VPC Impact Acquisition Holdings (12)
Waddell & Reed Financial, Inc. (26)
WESTWOOD HOLDINGS GROUP INC (3)
WhiteHorse Finance, Inc. (1)
WisdomTree Investments, Inc. (6)
Wright Investors Service Holdings, Inc. (18)

Recent Contracts

Seventh Amendment to Investor Agreement, dated October 13, 2023, between Morgan Stanley and Mitsubishi UFJ Financial Group, Inc (Morgan Stanley, Filed With SEC on November 3, 2023)
Stockholders Agreement, dated as of November 1, 2023, by and among Nasdaq, Inc., Adenza Parent, LP and Thoma Bravo, L.P (Nasdaq, Inc., Filed With SEC on November 3, 2023)
Amended and Restated Tax Receivable Agreement, dated November (TPG Partners, LLC, Filed With SEC on November 2, 2023)
Amendment No. 2 to the Transaction Agreement, dated (TPG Partners, LLC, Filed With SEC on November 2, 2023)
Letter Agreement, dated October 30, 2023, by and between the Company and Amber Mason (Ascendant Digital Acquisition Corp., Filed With SEC on November 1, 2023)
Third Amendment to Real Estate Sale Agreement, dated as of September 21, 2023, between Donnelley Financial, LLC and Aspirant Partners, LLC (Donnelley Financial Solutions, Inc., Filed With SEC on November 1, 2023)
Letter Agreement, dated October 20, 2023, by and between the Company and F. Porter Stansberry (Ascendant Digital Acquisition Corp., Filed With SEC on October 23, 2023)
Letter Agreement, dated October 16, 2023, by and between the Company and Marco Ferri (Ascendant Digital Acquisition Corp., Filed With SEC on October 19, 2023)
Description of Securities (CM Finance Inc, Filed With SEC on September 21, 2023)
First Amendment to Rights Agreement, dated as of September 15, 2023, by and between P10, Inc. and Equiniti Trust Company, LLC (f/k/a American Stock Transfer & Trust Company, LLC) (P10, Inc., Filed With SEC on September 19, 2023)
Offer Letter, dated September 18, 2023, between Cboe Global Markets, Inc. and Fredric J. Tomczyk (Cboe Global Markets, Filed With SEC on September 19, 2023)
Letter Agreement, dated September 18, 2023, between Cboe Global Markets, Inc. and Edward T. Tilly (Cboe Global Markets, Filed With SEC on September 19, 2023)
Letter Agreement, dated August 8, 2023, by and between Piper Sandler Companies and Katherine P. Clune (Piper Jaffray Companies, Filed With SEC on September 12, 2023)
Agreement, dated as of September 8, 2023, by and between MarketWise, Inc., F. Porter Stansberry and Stokes Holding (Ascendant Digital Acquisition Corp., Filed With SEC on September 8, 2023)
Description of Securities (PROSPECT CAPITAL CORP, Filed With SEC on September 8, 2023)
Eighth Amendment, dated as of September 6, 2023, by and among BlackRock Capital Investment Corporation, the Subsidiary Guarantors party thereto, the Lenders party thereto and... (BlackRock Capital Investment Corp, Filed With SEC on September 6, 2023)
Amendment No. 1 to Controlled Company Agreement, dated as of May 16, 2023 (P10, Inc., Filed With SEC on August 14, 2023)
Amendment Agreement by and between Bakkt Holdings, Inc., Apex Fintech Solutions Inc. and PEAK6 Investments LLC (VPC Impact Acquisition Holdings, Filed With SEC on August 10, 2023)
Principals Agreement, dated as of August 7, 2023, by and among Blue Owl Capital Inc. and each of Douglas Ostrover, Marc Lipschultz, Craig Packer, Alan Kirshenbaum, Marc Zahr,... (ALTIMAR ACQUISITION CORP., Filed With SEC on August 8, 2023)
First Amendment to Custody Agreement between Runway Growth Finance Corp. and US Bank National Association (Runway Growth Credit Fund Inc., Filed With SEC on August 8, 2023)
Agreement dated February 9, 2015 between Freedom Finance Joint Stock Company and Evgeniy Ler (Freedom Holding Corp., Filed With SEC on August 4, 2023)
Agreement with Member of the Board of Directors dated July 24, 202 (Freedom Holding Corp., Filed With SEC on August 4, 2023)
Agreement with Member of the Board of Directors dated July 24, 2020 Freedom Finance Global PLC and Askar Tashtitov (Freedom Holding Corp., Filed With SEC on August 4, 2023)
Response to Notice of Increase Request, dated July 26, 2023, by and among the Registrant and Sumitomo Mitsui Banking Corporation (Main Street Capital CORP, Filed With SEC on August 4, 2023)
Deed of Amendment, dated July 12, 2023, to the Amended and Restated Deed of Adherence, between Sean A. Windeatt and BGC Services (Holdings) LLP (BGC Partners, Inc., Filed With SEC on July 13, 2023)
ARTISAN PARTNERS ASSET MANAGEMENT INC. 2023 NON-EMPLOYEE DIRECTOR PLAN Table of Contents (Artisan Partners Asset Management Inc., Filed With SEC on June 1, 2023)
ARTISAN PARTNERS ASSET MANAGEMENT INC. 2023 OMNIBUS INCENTIVE COMPENSATION PLAN Table of Contents (Artisan Partners Asset Management Inc., Filed With SEC on June 1, 2023)
Equity Commitment Letter, dated as of May 10, 2023, by and between B. Riley Financial, Inc., Freedom VCM, Inc. and Freedom VCM Holdings, LLC (B. Riley Financial, Inc., Filed With SEC on May 11, 2023)
Description of Securities (GLADSTONE INVESTMENT CORPORATION, Filed With SEC on May 10, 2023)
Form of Apollo Carry Award (Tango Holdings, Inc., Filed With SEC on May 9, 2023)
CUSTODY AGREEMENT dated as of November 2, 2022 by and between Stellus Capital SBIC LP (Company) and FROST BANK, a Texas state bank (Custodian) (Stellus Capital Investment Corp, Filed With SEC on May 9, 2023)
Commitment Increase Agreement dated April 21, 2023 among Carlyle Secured Lending, Inc., as borrower, the Lenders party thereto, and JPMorgan Chase Bank, N.A., as administrative... (TCG BDC, INC., Filed With SEC on May 9, 2023)
Form of Apollo Carry Award (Apollo Global Management LLC, Filed With SEC on May 9, 2023)
Fourth Amended and Restated Tax Receivable Agreement, dated May 1, 2023 (Ares Management Corp, Filed With SEC on May 8, 2023)
Subsidiary Issuer of Guaranteed Securities (The Bank of New York Mellon Corp., Filed With SEC on May 5, 2023)
Letter Agreement between Gregory McGreevy and Invesco Ltd., dated February 14, 2023 (Invesco Ltd., Filed With SEC on May 3, 2023)
Letter Agreement between Martin Flanagan and Invesco Ltd., dated February 28, 2023 (Invesco Ltd., Filed With SEC on May 3, 2023)
Stockholders Agreement (SIEBERT FINANCIAL CORP, Filed With SEC on May 3, 2023)
Support and Restrictive Covenant Agreement (SIEBERT FINANCIAL CORP, Filed With SEC on May 3, 2023)
Support and Restrictive Covenant Agreement (SIEBERT FINANCIAL CORP, Filed With SEC on May 3, 2023)