Hilltop Securities Holdings LLC Contracts & Agreements

37 Contracts & Agreements
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Filed
Transition Agreement and Release between Richard H. Litton and SWS Group, Inc.
Transition Agreements
Hilltop Securities Holdings LLC
TX
2014
SWS Group, Inc. 2012 Restricted Stock Plan (as Amended August 20, 2014)
Bonus & Incentive Agreements
Hilltop Securities Holdings LLC
TX
2014
SWS Group, Inc. 2012 Restricted Stock Award Agreement for Employees (August 2014)
Bonus & Incentive Agreements
Hilltop Securities Holdings LLC
TX
2014
SWS Group, Inc. 2003 Restricted Stock Plan Agreement for Employees
Stock Agreements
Hilltop Securities Holdings LLC
TX
2012
$100,000,000 Credit Agreement among SWS Group, Inc., Subsidiaries, Lenders, and Hilltop Holdings Inc. (Administrative Agent) dated July 29, 2011
Credit Agreements
Hilltop Securities Holdings LLC
DE
2011
$100,000,000 Credit Agreement among SWS Group, Inc., Subsidiaries, Lenders, and Administrative Agent (2011)
Credit Agreements
Hilltop Securities Holdings LLC
DE
2011
Executive Employment Agreement between Timothy J. Hamick and Southwest Securities, Inc.
Employment Agreements
Hilltop Securities Holdings LLC
TX
2007
SWS Group, Inc. Executive Cash Bonus Plan Description
Bonus & Incentive Agreements
Hilltop Securities Holdings LLC
2005
Cash Bonus Compensation Agreement for Named Executive Officers
Bonus & Incentive Agreements
Hilltop Securities Holdings LLC
2005
SWS Group, Inc. Director Compensation Arrangement Description
Compensation Agreements
Hilltop Securities Holdings LLC
2005
SWS Group, Inc. 2005 Deferred Compensation Plan Participation Agreement
Retirement Agreements
Hilltop Securities Holdings LLC
TX
2004
2005 Deferred Compensation Plan Election Form for SWS Group, Inc.
Compensation Agreements
Hilltop Securities Holdings LLC
2004
SWS Group, Inc. Executive Cash Bonus Program Description
Bonus & Incentive Agreements
Hilltop Securities Holdings LLC
2004
SWS Group, Inc. Restricted Stock Agreement for Non-Employee Directors under 2003 Restricted Stock Plan
Compensation Agreements
Hilltop Securities Holdings LLC
TX
2004
SWS Group, Inc. 2003 Restricted Stock Agreement for Employees
Compensation Agreements
Hilltop Securities Holdings LLC
TX
2004
Separation and Restrictive Covenants Agreement between SWS Group, Inc. and David Glatstein
Separation Agreements
Hilltop Securities Holdings LLC
TX
2002
Agreement and Plan of Merger among SWS Group, Inc., Hilltop Holdings Inc., and Peruna LLC dated March 31, 2014
Merger Agreements
Hilltop Securities Holdings LLC
TX
2014
Waiver and Consent Letter Regarding Merger Agreement among SWS Group, Inc., Oak Hill Capital Partners, and Affiliates
Waiver Agreements
Hilltop Securities Holdings LLC
2014
Warrant Agreement to Purchase up to 8,695,652 Shares of Common Stock – SWS Group, Inc. and Hilltop Holdings Inc.
Warrant Agreements
Hilltop Securities Holdings LLC
NY
2011
SWS Group, Inc. Warrant Agreement to Purchase 8,419,148 Shares of Common Stock (July 29, 2011)
Warrant Agreements
Hilltop Securities Holdings LLC
NY
2011
Warrant Agreement to Purchase 276,504 Shares of Common Stock by SWS Group, Inc. (July 29, 2011)
Warrant Agreements
Hilltop Securities Holdings LLC
NY
2011
Investor Rights Agreement among SWS Group, Inc., Hilltop Holdings Inc., and Oak Hill Capital Entities (July 29, 2011)
Investor Rights Agreements
Hilltop Securities Holdings LLC
DE
2011
Warrant Agreement to Purchase Common or Series A Preferred Stock – SWS Group, Inc.
Warrant Agreements
Hilltop Securities Holdings LLC
NY
2011
Investor Rights Agreement among SWS Group, Inc., Hilltop Holdings Inc., and Oak Hill Capital Entities
Investor Rights Agreements
Hilltop Securities Holdings LLC
DE
2011
Funding Agreement among SWS Group, Inc., Hilltop Holdings Inc., and Oak Hill Capital Partners III, L.P.
Funding Agreements
Hilltop Securities Holdings LLC
DE
2011
Order to Cease and Desist between Office of Thrift Supervision and Southwest Securities, FSB (February 4, 2011)
Settlement Agreements
Hilltop Securities Holdings LLC
2011
Stipulation and Consent to Issuance of Order to Cease and Desist between Southwest Securities, FSB and Office of Thrift Supervision
Settlement Agreements
Hilltop Securities Holdings LLC
2011
SWS Group, Inc. Common Stock Purchase Agreement with Merrill Lynch and Underwriters (December 3, 2009)
Purchase Agreements
Hilltop Securities Holdings LLC
NY
2009
Asset Purchase Agreement among Regional Acceptance Corporation, FSB Financial, Ltd., Southwest Securities, FSB, FSBF, LLC, and Steven Burke (February 16, 2006)
Purchase Agreements
Hilltop Securities Holdings LLC
SD
2006
Settlement and Reformation Agreement between Iowa Attorney General and FSB Financial, Ltd. (September 12, 2005)
Settlement Agreements
Hilltop Securities Holdings LLC
IA
2005
Agreement for Reformation of Retail Installment Contracts between Attorney General of South Dakota and FSB Financial, Ltd. (September 14, 2005)
Settlement Agreements
Hilltop Securities Holdings LLC
SD
2005
$75,000,000 Loan and Security Agreement between Wells Fargo Financial Preferred Capital, Inc. and FSB Financial, Ltd. dated June 8, 2005
Loan Agreements
Hilltop Securities Holdings LLC
IA
2005
SWS Group, Inc. Amended Restricted Stock Agreement for Non-Employee Directors
Equity Distribution Agreements
Hilltop Securities Holdings LLC
TX
2005
SWS Group, Inc. Amended Restricted Stock Agreement for Employees under 2003 Restricted Stock Plan
Equity Distribution Agreements
Hilltop Securities Holdings LLC
TX
2005
Southwest Securities Group, Inc. Nonqualified Stock Option Agreement for Non-Employee Directors
Warrant Agreements
Hilltop Securities Holdings LLC
TX
2004
Southwest Securities Group, Inc. Nonqualified Stock Option Agreement for Key Employees
Warrant Agreements
Hilltop Securities Holdings LLC
TX
2004
SWS Group, Inc. Non-Qualified Stock Option Agreement for Employees
Stock Agreements
Hilltop Securities Holdings LLC
TX
2004