Jefferies Group LLC Contracts & Agreements

109 Contracts & Agreements
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Filed
Officers’ Certificate Establishing Terms of 2.625% Senior Notes due 2031 by Jefferies Group LLC and Jefferies Group Capital Finance Inc.
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2021
Jefferies Group LLC and Jefferies Group Capital Finance Inc. 2.625% Senior Note Due 2031 (Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2021
Description of Registered Securities of Jefferies Group LLC, Including LLC Interests and Senior Notes
Equity Distribution Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2021
Officers’ Certificate Establishing Terms of 2.75% Senior Notes due 2032 by Jefferies Group LLC and Jefferies Group Capital Finance Inc.
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2020
Jefferies Group LLC and Jefferies Group Capital Finance Inc. 2.75% Senior Note Due 2032 (Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2020
Description of Securities Registered Under Section 12 – Jefferies Group LLC
Equity Distribution Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2020
Jefferies Group LLC and Jefferies Group Capital Finance Inc. $1,000,000,000 4.150% Senior Notes Due 2030 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2018
Officers’ Certificate Establishing Terms of 4.150% Senior Notes due 2030 – Jefferies Group LLC and Jefferies Group Capital Finance Inc.
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2018
Jefferies Group LLC and Jefferies Group Capital Finance Inc. 4.150% Senior Note Due 2030 (Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2018
Officers’ Certificate Establishing Terms of 4.850% Senior Notes due 2027 – Jefferies Group LLC and Jefferies Group Capital Finance Inc.
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2017
Jefferies Group LLC and Jefferies Group Capital Finance Inc. 4.850% Senior Note Due 2027 (Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2017
Third Supplemental Indenture to Indenture Dated October 26, 2009 among Jefferies Group, Inc., Leucadia National Corporation, and The Bank of New York Mellon
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2013
Fourth Supplemental Indenture to Indenture Dated October 26, 2009 among Jefferies Group LLC, Leucadia National Corporation, and The Bank of New York Mellon
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2013
Third Supplemental Indenture to Indenture Dated March 12, 2002 by Jefferies Group LLC and The Bank of New York Mellon
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2013
Letter Agreement Regarding Exchange of Preferred Stock in Connection with Jefferies-Leucadia Merger
Exchange Agreements
Jefferies Group LLC
Diversified Financial Services
2013
Jefferies Group, Inc. 5.125% Senior Global Note Due 2023 (Form of Global Note)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2013
Jefferies Group, Inc. 6.50% Senior Global Note Due 2043 (Form of Global Note)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2013
Jefferies Group, Inc. Officers’ Certificate Establishing Terms of $600,000,000 5.125% Senior Notes Due 2023
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2013
Jefferies Group, Inc. Officers' Certificate Establishing Terms of $400,000,000 6.50% Senior Notes Due 2043
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2013
Second Supplemental Indenture to Indenture Dated October 26, 2009 between Jefferies Group, Inc. and The Bank of New York Mellon
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2012
Second Supplemental Indenture to Indenture Dated March 12, 2002 Between Jefferies Group, Inc. and The Bank of New York Mellon
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2012
Agreement and Plan of Merger Among Leucadia National Corporation, Limestone Merger Sub, LLC, Jefferies Group, Inc., JSP Holdings, Inc., and Jasper Merger Sub, Inc.
Merger Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2012
Agreement and Plan of Merger among Jefferies Group, Inc., JSP Holdings, Inc., and Jasper Merger Sub, Inc.
Merger Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2012
Voting Agreement among Jefferies Group, Inc., Leucadia National Corporation, and BEI Jeffvest, LLC (November 11, 2012)
Voting Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2012
Voting Agreement between Jefferies Group, Inc. and Ian M. Cumming (November 11, 2012)
Voting Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2012
Voting Agreement between Jefferies Group, Inc. and Joseph S. Steinberg (November 11, 2012)
Voting Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2012
Voting Agreement between Jefferies Group, Inc. and Richard B. Handler (November 11, 2012)
Voting Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2012
Voting Agreement between Jefferies Group, Inc. and Brian P. Friedman (November 11, 2012)
Voting Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2012
Jefferies Group, Inc. 6.875% Senior Global Note Due 2021 (Form of Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2012
Jefferies Group, Inc. Officers' Certificate Establishing Terms of $750,000,000 6.875% Senior Notes Due 2021
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2012
Summary of 2012 Executive Compensation Program for Jefferies Group, Inc. Executive Officers
Compensation Agreements
Jefferies Group LLC
Diversified Financial Services
2012
Employment Agreement Between Jefferies Group, Inc. and John Stacconi Dated October 11, 2011
Employment Agreements
Jefferies Group LLC
Diversified Financial Services
2012
Selling Agent Agreement between Jefferies Group, Inc. and Jefferies & Company, Inc. (August 5, 2011)
Underwriting Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2011
Form of Note Issued by Jefferies Group, Inc. under Indenture with The Bank of New York Mellon as Trustee
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2011
Jefferies Group, Inc. Officers' Certificate Establishing Terms of Notes Due Nine Months or More from Date of Issue
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2011
Jefferies Group, Inc. Underwriting Agreement for Sale of 20,618,557 Shares of Common Stock (April 8, 2011)
Underwriting Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2011
Jefferies Group, Inc. 5.125% Senior Note Due 2018 (Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2011
Jefferies Group, Inc. Officers’ Certificate Establishing Terms of $800 Million 5.125% Senior Notes Due 2018
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2011
2011 Executive Compensation Program Summary for Jefferies Group, Inc. Officers
Compensation Agreements
Jefferies Group LLC
Diversified Financial Services
2011
Jefferies Group, Inc. 3.875% Senior Note Due 2015 (Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2010
Jefferies Group, Inc. Officers’ Certificate Establishing Terms of $500,000,000 3.875% Senior Notes Due 2015
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2010
Jefferies SBI USA Fund L.P. Subscription Agreement with Limited Partner
Subscription Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2010
Jefferies Capital Partners V L.P. Subscription Agreement with Limited Partner
Subscription Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2010
Jefferies Group, Inc. 6.875% Senior Note Due 2021 (Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2010
Jefferies Group, Inc. Officers’ Certificate Establishing Terms of $550,000,000 6.875% Senior Notes Due 2021
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2010
Jefferies Group, Inc. $150,000,000 6.875% Senior Notes Due 2021 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2010
Registration Rights Agreement between Jefferies Group, Inc. and Leucadia National Corporation (April 13, 2010)
Registration Rights Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2010
Jefferies Group, Inc. 6.875% Senior Note Due 2021 (Global Security)
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2010
Jefferies Group, Inc. Officers’ Certificate Establishing Terms of $400,000,000 6.875% Senior Notes Due 2021
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
2010
Jefferies Group, Inc. $400,000,000 6.875% Senior Notes Due 2021 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2010
2010 Executive Compensation Program Summary for Jefferies Group, Inc. Executive Officers
Compensation Agreements
Jefferies Group LLC
Diversified Financial Services
2010
First Supplemental Indenture to Indenture for 3.875% Convertible Senior Debentures due 2029 between Jefferies Group, Inc. and The Bank of New York Mellon
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2009
Jefferies Group, Inc. $300,000,000 3.875% Convertible Senior Debentures Due 2029 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2009
Jefferies Group, Inc. $300,000,000 8.50% Senior Notes Due 2019 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2009
Jefferies Group, Inc. $400,000,000 8.5% Senior Notes Due 2019 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2009
Jefferies Group, Inc. 2003 Incentive Compensation Plan Amended and Restated Restricted Stock Agreement with Employee
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2009
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Units Agreement (as Amended and Restated)
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2009
Jefferies Group, Inc. Deferred Compensation Plan (Amended and Restated as of January 1, 2009)
Compensation Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2009
Jefferies Group, Inc. 1999 Directors’ Stock Compensation Plan (Amended and Restated January 1, 2009)
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2009
Credit Agreement between JCP Fund V Bridge Partners LLC and Jefferies Group, Inc. dated August 11, 2008
Credit Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2008
Stock Purchase Agreement between Ian M. Cumming and Jefferies Group, Inc. dated June 4, 2008
Stock Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2008
Stock Purchase Agreement between STH Company, Inc.-A and Jefferies Group, Inc. dated June 4, 2008
Stock Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2008
Stock Purchase Agreement between The Joseph S. and Diane H. Steinberg 1992 Charitable Trust and Jefferies Group, Inc. dated June 4, 2008
Stock Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2008
Investment Agreement between Leucadia National Corporation and Jefferies Group, Inc. dated April 20, 2008
Investment Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2008
Standstill and Board Representation Agreement between Leucadia National Corporation and Jefferies Group, Inc. (April 20, 2008)
Waiver Agreements
Jefferies Group LLC
Diversified Financial Services
2008
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Agreement with Employee
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2008
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Units Agreement
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2008
Employment Agreement between Peregrine C. Broadbent and Jefferies Group, Inc. for Executive Vice President and CFO Position
Employment Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2008
Jefferies Group, Inc. Retirement and Release Agreement with Joseph A. Schenk (June 1, 2007)
Separation Agreements
Jefferies Group LLC
Diversified Financial Services
2007
Retirement and Separation Agreement and Release between Jefferies & Company, Inc. and Maxine Syrjamaki
Retirement Agreements
Jefferies Group LLC
Diversified Financial Services
CA
2007
Consulting Agreement between Jefferies & Company, Inc. and Maxine Syrjamaki
Consulting Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2007
Employment Agreement between Jefferies & Company, Inc. and Charles J. Hendrickson (Managing Director and Treasurer)
Employment Agreements
Jefferies Group LLC
Diversified Financial Services
2007
Jefferies Group, Inc. Senior Notes and Debentures Purchase Agreement with Underwriters (June 4, 2007)
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2007
2007 Compensation Arrangements for CFO, General Counsel, and Controller of Jefferies Group, Inc.
Compensation Agreements
Jefferies Group LLC
Diversified Financial Services
2007
Master Agreement for the Formation of a Limited Liability Company among Jefferies Group, Jefferies & Company, and Leucadia National
Limited Liability Company Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2007
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Agreement with Employee
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2007
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Units Agreement
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2007
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Units Agreement with Richard B. Handler
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2006
Jefferies Group, Inc. Restricted Stock Units Agreement with Brian P. Friedman (2003 Incentive Compensation Plan)
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2006
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Units Agreement with Employee
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2006
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Agreement with Employee
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2006
Amendment No. 1 to Jefferies Group, Inc. Deferred Compensation Plan (as Amended and Restated January 1, 2003)
Modification Agreements
Jefferies Group LLC
Diversified Financial Services
2006
Amended and Restated Deferred Compensation Agreement between Jefferies & Company, Inc. and Richard B. Handler (2005)
Compensation Agreements
Jefferies Group LLC
Diversified Financial Services
2006
Jefferies Group, Inc. $125,000,000 3.25% Series A Cumulative Convertible Preferred Stock Purchase Agreement
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2006
Registration Rights Agreement between Jefferies Group, Inc. and Massachusetts Mutual Life Insurance Company and C.M. Life Insurance Company (February 17, 2006)
Registration Rights Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2006
Jefferies Group, Inc. Officers’ Certificate Establishing Terms of 6.250% Senior Debentures Due 2036
Debenture Agreements
Jefferies Group LLC
Diversified Financial Services
2006
Jefferies Group, Inc. $500,000,000 Senior Debentures Due 2036 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2006
Summary of Non-Employee Director Compensation under Jefferies Group, Inc. 1999 Directors' Stock Compensation Plan
Compensation Agreements
Jefferies Group LLC
Diversified Financial Services
2005
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Units Agreement with Employee
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2005
Jefferies Babson Finance LLC Limited Liability Company Agreement (October 7, 2004)
Limited Liability Company Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2004
Jefferies Group, Inc. 2003 Incentive Compensation Plan Restricted Stock Agreement with Employee
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2004
Jefferies Group, Inc. Non-Qualified Stock Option Agreement with Employee under 2003 Incentive Compensation Plan
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2004
Jefferies Group, Inc. 5.50% Senior Note Due 2016 Global Security Certificate
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2004
Jefferies Group, Inc. 1999 Incentive Compensation Plan (Amended and Restated as of October 22, 2002)
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2003
Jefferies Group, Inc. Stock Option Gain and Stock Award Deferral Program Agreement (Effective January 21, 2003)
Bonus & Incentive Agreements
Jefferies Group LLC
Diversified Financial Services
2003
Indenture Agreement between Jefferies Group, Inc. and The Bank of New York, dated March 12, 2002
Indenture Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2003
Jefferies Group, Inc. 7.75% Senior Note Due 2012 Global Security Certificate
Note Agreements
Jefferies Group LLC
Diversified Financial Services
2003
Employment Agreement between Jefferies Group, Inc. and Lloyd H. Feller (Executive Vice President, General Counsel, and Secretary)
Employment Agreements
Jefferies Group LLC
Diversified Financial Services
2003
Consulting and Chairman Emeritus Agreement between Jefferies Group, Inc. and Frank E. Baxter (2002-2004)
Consulting Agreements
Jefferies Group LLC
Diversified Financial Services
2002
Jefferies Group, Inc. Deferred Compensation Plan Agreement (Effective January 1, 2001)
Compensation Agreements
Jefferies Group LLC
Diversified Financial Services
DE
2001
Purchase Agreement for $1,000,000,000 2.625% Senior Notes due 2031 between Jefferies Group LLC, Jefferies Group Capital Finance Inc., and Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2021
Purchase Agreement for $500,000,000 2.75% Senior Notes due 2032 between Jefferies Group LLC, Jefferies Group Capital Finance Inc., and Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2020
Purchase Agreement for $750,000,000 4.850% Senior Notes due 2027 between Jefferies Group LLC, Jefferies Group Capital Finance Inc., and Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2017
Jefferies Group, Inc. $600,000,000 5.125% Senior Notes Due 2023 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2013
Jefferies Group, Inc. $400,000,000 6.50% Senior Notes Due 2043 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2013
Jefferies Group, Inc. $200,000,000 6.875% Senior Notes Due 2021 Purchase Agreement with Jefferies & Company, Inc.
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2012
Jefferies Group, Inc. $800,000,000 5.125% Senior Notes Due 2018 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2011
Stock and Asset Purchase Agreement between Prudential Financial, Inc. and Jefferies Group, Inc. dated April 6, 2011
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NJ
2011
Jefferies Group, Inc. $500,000,000 3.875% Senior Notes Due 2015 Purchase Agreement with Underwriters
Purchase Agreements
Jefferies Group LLC
Diversified Financial Services
NY
2010