KBW, INC. Contracts & Agreements

68 Contracts & Agreements
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Terms Agreement Amending Change in Control Agreement Among Stifel Financial Corp., KBW, Inc., and Robert Giambrone
Change of Control Agreements
KBW, INC.
2012
Terms Agreement Amending Change in Control Provisions for Mitchell Kleinman in Connection with Stifel Financial Corp. and KBW, Inc. Merger
Change of Control Agreements
KBW, INC.
2012
KBW, Inc. and Thomas B. Michaud Restricted Stock Agreement
Compensation Agreements
KBW, INC.
NY
2012
KBW, Inc. and Thomas B. Michaud Restricted Stock Agreement (Retention RSA, CEO)
Retention Agreements
KBW, INC.
NY
2012
KBW, Inc. Restricted Stock Agreement with Employee (February 29, 2012)
Bonus & Incentive Agreements
KBW, INC.
NY
2012
Notice of Non-Extension of Employment Agreement between KBW, Inc. and John G. Duffy
Employment Agreements
KBW, INC.
2012
Notice of Non-Extension of Employment Agreement between KBW, Inc. and Andrew M. Senchak
Separation Agreements
KBW, INC.
2012
Employment Agreement between KBW, Inc. and Robert Giambrone dated January 25, 2012
Employment Agreements
KBW, INC.
2012
Employment Agreement between KBW, Inc. and Mitchell B. Kleinman dated January 25, 2012
Employment Agreements
KBW, INC.
2012
KBW, Inc. Performance Equity Award Agreement with Employee under 2009 Incentive Compensation Plan
Bonus & Incentive Agreements
KBW, INC.
2011
Amendment to Amended and Restated Change of Control Agreement between KBW, Inc. and Robert Giambrone
Change of Control Agreements
KBW, INC.
2011
Amendment to Change of Control Agreement between KBW, Inc. and Mitchell B. Kleinman
Change of Control Agreements
KBW, INC.
2011
KBW, Inc. Restricted Stock Agreement with Employee Dated February 4, 2011
Bonus & Incentive Agreements
KBW, INC.
NY
2011
Notice of Non-Extension of Change of Control Agreement between KBW, Inc. and Robert Giambrone
Change of Control Agreements
KBW, INC.
2010
Notice of Non-Extension of Change of Control Agreement between KBW, Inc. and Mitchell B. Kleinman
Change of Control Agreements
KBW, INC.
2010
KBW, Inc. 2009 Long-Term Incentive Compensation Program under Incentive Compensation Plan
Bonus & Incentive Agreements
KBW, INC.
2010
KBW, Inc. Long-Term Incentive Program Award Letter Agreement (2010)
Bonus & Incentive Agreements
KBW, INC.
2010
KBW, Inc. Restricted Stock Agreement with Employee Dated February 5, 2010
Bonus & Incentive Agreements
KBW, INC.
NY
2010
Employment Agreement between KBW, Inc. and John G. Duffy (2010)
Employment Agreements
KBW, INC.
2010
Employment Agreement between KBW, Inc. and Thomas B. Michaud dated February 1, 2010
Employment Agreements
KBW, INC.
2010
Employment Agreement between KBW, Inc. and Andrew M. Senchak (2010)
Employment Agreements
KBW, INC.
2010
KBW, Inc. Restricted Stock Agreement with Employee Dated February 5, 2010
Compensation Agreements
KBW, INC.
NY
2010
Employment Agreement between KBW, Inc. and John G. Duffy (Chairman and CEO)
Employment Agreements
KBW, INC.
2010
Employment Agreement between KBW, Inc. and Thomas B. Michaud (2010)
Employment Agreements
KBW, INC.
2010
Employment Agreement between KBW, Inc. and Andrew M. Senchak (2010)
Employment Agreements
KBW, INC.
2010
Amendment to Employment Agreement between KBW, Inc. and John G. Duffy (November 4, 2009)
Employment Agreements
KBW, INC.
2009
Amendment to Employment Agreement between KBW, Inc. and Thomas B. Michaud (November 4, 2009)
Employment Agreements
KBW, INC.
2009
Amendment to Employment Agreement between KBW, Inc. and Andrew M. Senchak (November 4, 2009)
Employment Agreements
KBW, INC.
2009
KBW, Inc. 2009 Incentive Compensation Plan
Bonus & Incentive Agreements
KBW, INC.
NY
2009
Amended and Restated Employment Agreement between KBW, Inc. and John G. Duffy
Employment Agreements
KBW, INC.
2009
Amended and Restated Employment Agreement between KBW, Inc. and Thomas B. Michaud
Employment Agreements
KBW, INC.
2009
Amended and Restated Employment Agreement between KBW, Inc. and Andrew M. Senchak
Employment Agreements
KBW, INC.
2009
Amended and Restated Change of Control Agreement between KBW, Inc. and Robert Giambrone
Change of Control Agreements
KBW, INC.
NY
2009
Amended and Restated Change of Control Agreement between KBW, Inc. and Mitchell B. Kleinman
Change of Control Agreements
KBW, INC.
NY
2009
KBW, Inc. 2008 Employee Stock Purchase Plan
Bonus & Incentive Agreements
KBW, INC.
NY
2008
Change in Control Agreement between KBW, Inc. and Robert Giambrone (2008)
Change of Control Agreements
KBW, INC.
NY
2008
Change in Control Agreement between KBW, Inc. and Mitchell B. Kleinman
Change of Control Agreements
KBW, INC.
NY
2008
Employment Agreement between KBW, Inc. and John G. Duffy (Chairman and CEO)
Employment Agreements
KBW, INC.
2006
Employment Agreement between KBW, Inc. and Thomas B. Michaud (November 1, 2006)
Employment Agreements
KBW, INC.
2006
Employment Agreement between KBW, Inc. and Andrew M. Senchak (November 1, 2006)
Employment Agreements
KBW, INC.
2006
KBW, Inc. 2006 Equity Incentive Plan
Bonus & Incentive Agreements
KBW, INC.
DE
2006
KBW, Inc. Annual Incentive Plan
Bonus & Incentive Agreements
KBW, INC.
NY
2006
Employment Agreement between KBW, Inc. and Executive (Form Agreement, 2006)
Employment Agreements
KBW, INC.
2006
Fully Disclosed Clearing Agreement between Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation and Keefe, Bruyette & Woods, Inc.
Services Agreements
KBW, INC.
NY
2006
Fully Disclosed Clearing Agreement between Fortis Securities LLC and Keefe, Bruyette & Woods, Inc.
Services Agreements
KBW, INC.
NY
2006
Agreement and Plan of Merger between SFKBW Two, LLC and KBW, Inc. (February 15, 2013)
Merger Agreements
KBW, INC.
DE
2013
Waiver Agreement between John G. Duffy, Stifel Financial Corp., and KBW, Inc. regarding Merger
Waiver Agreements
KBW, INC.
NY
2012
KBW, Inc. Restricted Stock Agreement with Employee under 2009 Incentive Compensation Plan
Equity Distribution Agreements
KBW, INC.
NY
2012
Agreement and Plan of Merger between Stifel Financial Corp. and KBW, Inc. dated November 5, 2012
Merger Agreements
KBW, INC.
DE
2012
Waiver Agreement between Thomas B. Michaud, KBW, Inc., and Stifel Financial Corp. (November 5, 2012)
Waiver Agreements
KBW, INC.
NY
2012
Waiver Agreement between Andrew M. Senchak, Stifel Financial Corp., and KBW, Inc. regarding Merger
Waiver Agreements
KBW, INC.
NY
2012
KBW, Inc. Restricted Stock Agreement with Employee (2012)
Equity Distribution Agreements
KBW, INC.
NY
2012
KBW, Inc. Restricted Stock Agreement with Employee (February 7, 2011)
Equity Distribution Agreements
KBW, INC.
NY
2011
KBW, Inc. Restricted Stock Agreement with Employee (February 8, 2010)
Equity Distribution Agreements
KBW, INC.
NY
2010
KBW, Inc. Restricted Stock Award Agreement with Employee (February 9, 2009)
Stock Agreements
KBW, INC.
NY
2009
KBW, Inc. Restricted Stock Award Agreement with Employee (2008)
Stock Agreements
KBW, INC.
NY
2008
Sublease Agreement between National Financial Partners Corp. and Keefe, Bruyette & Woods, Inc. for 11th Floor at 787 Seventh Avenue, New York
Lease Agreements
KBW, INC.
NY
2007
KBW, Inc. Restricted Stock Award Agreement with Employee (November 8, 2006)
Equity Distribution Agreements
KBW, INC.
NY
2007
KBW, Inc. Restricted Stock Award Agreement with Employee (March 1, 2007)
Stock Agreements
KBW, INC.
NY
2007
KBW, Inc. Second Amended and Restated Stockholders’ Agreement
Shareholders Agreements
KBW, INC.
DE
2006
KBW, Inc. Common Stock Purchase Agreement with Underwriters (Keefe, Bruyette & Woods, Inc. and Merrill Lynch)
Purchase Agreements
KBW, INC.
DC
2006
KBW, Inc. Annual Incentive Plan Agreement
Bonus & Incentive Agreements
KBW, INC.
NY
2006
KBW, Inc. Common Stock Certificate Specimen
Stock Agreements
KBW, INC.
2006
Second Amended and Restated Stockholders’ Agreement by and among KBW, Inc. and Certain Stockholders
Shareholders Agreements
KBW, INC.
DE
2006
KBW, Inc. 2006 Equity Incentive Plan
Equity Distribution Agreements
KBW, INC.
DE
2006
Lease Agreement between The Equitable Life Assurance Society of the United States and Keefe, Bruyette & Woods, Inc. for 787 Seventh Avenue, New York
Lease Agreements
KBW, INC.
NY
2006
First Amendment to Lease Agreement between The Equitable Life Assurance Society, ELAS Securities Acquisition Corp., and Keefe, Bruyette & Woods, Inc.
Lease Agreements
KBW, INC.
NY
2006
Second Amendment to Lease Agreement between The Equitable Life Assurance Society, ELAS Securities Acquisition Corp., and Keefe, Bruyette & Woods, Inc.
Lease Agreements
KBW, INC.
NY
2006