Legg Mason Inc Contracts & Agreements

117 Contracts & Agreements
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LeggMason, Inc. 5.625% Senior Notes Due 2044 Underwriting Agreement
Underwriting Agreements
Legg Mason Inc
Capital Markets
MD
2014
Form of Deferred Cash Unit Agreement for U.S. Executives
Legg Mason Inc
2020
Form of Deferred Cash Unit Agreement for non-U.S. Executives
Legg Mason Inc
Capital Markets
NY
2020
Re: Retention Letter Agreement (the Letter Agreement)
Retention Agreements
Legg Mason Inc
2020
Re: Retention Letter Agreement (the Letter Agreement)
Retention Agreements
Legg Mason Inc
2020
Re: Retention Letter Agreement (the Letter Agreement)
Retention Agreements
Legg Mason Inc
Capital Markets
2020
NON-COMPETITION AGREEMENT
Non-Competition Agreements
Legg Mason Inc
Capital Markets
MD
2020
Agreement and Plan of Merger, dated as of February 17, 2020, by and among Franklin Resources, Inc., Legg Mason, Inc. and Alpha Sub, Inc
Merger Agreements
Legg Mason Inc
Capital Markets
MD
2020
Form of Letter Agreement with Executives
Legg Mason Inc
Capital Markets
MD
2019
Form of Transition Agreement with Executives
Transition Agreements
Legg Mason Inc
Capital Markets
MD
2019
Form of Restricted Stock Unit Agreement under the Legg Mason, Inc. 2017 Equity Incentive Plan
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
NY
2018
Form of Restricted Stock Unit Agreement for Non-U.S. Resident Executive under the Legg Mason, Inc. 2017 Equity Incentive Plan
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
NY
2018
Form of Performance Share Unit Award Agreement
Bonus & Incentive Agreements
Legg Mason Inc
2018
Share Repurchase Agreement dated December 22, 2017 by and between Legg Mason, Inc. and Shanda Asset Management Investment Limited
Repurchase Agreements
Legg Mason Inc
Capital Markets
NY
2017
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2017
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2017
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN PERFORMANCE SHARE UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
MD
2017
[Signature Page to Legg Mason Third Amendment]
Legg Mason Inc
Capital Markets
NY
2017
FIRST AMENDMENT TO INVESTOR RIGHTS AND STANDSTILL AGREEMENT
Investor Rights Agreements
Legg Mason Inc
Capital Markets
NY
2017
LeggMason, Inc. 5.45% Junior Subordinated Notes due 2056 Underwriting Agreement
Underwriting Agreements
Legg Mason Inc
2016
LEGG MASON, INC., as Issuer and THE BANK OF NEW YORK MELLON, as Trustee SECONDSUPPLEMENTAL INDENTURE DATED AS OF AUGUST 8, 2016 TO INDENTURE DATED AS OF MARCH 14, 2016...
Indenture Agreements
Legg Mason Inc
2016
LEGG MASON, INC. 5.45% JUNIOR SUBORDINATED NOTE DUE 2056
Note Agreements
Legg Mason Inc
Capital Markets
2016
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
NY
2016
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
NY
2016
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN PERFORMANCE SHARE UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2016
Legg Mason, Inc. 4.750%Senior Notes due 2026 Underwriting Agreement
Underwriting Agreements
Legg Mason Inc
2016
LEGG MASON, INC., as Issuer and THE BANK OF NEW YORK MELLON, as Trustee FOURTHSUPPLEMENTAL INDENTURE Dated as of March 22, 2016 to INDENTURE Dated as of January 22, 2014...
Indenture Agreements
Legg Mason Inc
Capital Markets
NY
2016
LEGG MASON, INC. 4.750% Senior Note due 2026 CUSIP: 524901 AV7 / ISIN: US524901 AV77 / Common Code: 132280410 Dated: March 22, 2016
Note Agreements
Legg Mason Inc
2016
LEGG MASON, INC., as Issuer and THE BANK OF NEW YORK MELLON, as Trustee FIRSTSUPPLEMENTAL INDENTURE DATED AS OF MARCH 14, 2016 TO INDENTURE DATED AS OF MARCH 14, 2016 $250,000,000...
Indenture Agreements
Legg Mason Inc
Capital Markets
NY
2016
LEGG MASON, INC. 6.375% JUNIOR SUBORDINATED NOTE DUE 2056
Note Agreements
Legg Mason Inc
Capital Markets
2016
Legg Mason, Inc. 6.375%Junior Subordinated Notes due 2056 Underwriting Agreement
Underwriting Agreements
Legg Mason Inc
Capital Markets
MD
2016
LEGG MASON, INC. 1996 Equity Incentive Plan NON-QUALIFIED STOCK OPTION AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2015
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2015
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
NY
2015
DIRECTORS SERVICE AGREEMENT LEGG MASON & CO (UK) LIMITED ISSUED April 1, 2015 FOR Ursula Schliessler
Services Agreements
Legg Mason Inc
Capital Markets
2015
LEGG MASON, INC. DEFERRED COMPENSATION FUND PLAN AMENDED AND RESTATED EFFECTIVE SEPTEMBER 1, 2014 TABLE OF CONTENTS
Compensation Agreements
Legg Mason Inc
Capital Markets
2014
Legg Mason, Inc. 5.625%Senior Notes Due 2044 2.700% Senior Notes Due 2019 3.950% Senior Notes Due 2024 Underwriting Agreement June 23, 2014
Underwriting Agreements
Legg Mason Inc
2014
LEGG MASON, INC., asIssuer and THE BANK OF NEW YORK MELLON, as Trustee SECONDSUPPLEMENTAL INDENTURE Dated as of June 26, 2014 to INDENTURE Dated as of January 22, 2014...
Indenture Agreements
Legg Mason Inc
Capital Markets
NY
2014
LEGG MASON, INC., asIssuer and THE BANK OF NEW YORK MELLON, as Trustee THIRDSUPPLEMENTAL INDENTURE Dated as of June 26, 2014 to INDENTURE Dated as of January 22, 2014 $250,000,000...
Indenture Agreements
Legg Mason Inc
Capital Markets
NY
2014
LEGG MASON, INC. 2.700% Senior Note due 2019 CUSIP: 524901AS4 / ISIN: US524901AS49 / COMMON CODE: 108283858
Note Agreements
Legg Mason Inc
Capital Markets
NY
2014
LEGG MASON, INC. 3.950% Senior Note due 2024 CUSIP: 524901AT2 / ISIN: US524901AT22 / COMMON CODE: 108283998
Note Agreements
Legg Mason Inc
2014
LEGG MASON, INC. 5.625% Senior Note due 2044 CUSIP: 524901AR6 / ISIN: US524901AR65 / COMMON CODE: 097681333
Note Agreements
Legg Mason Inc
2014
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2014
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2014
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN PERFORMANCE SHARE UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2014
EXPLANATION OF INCENTIVE COMPENSATION AWARDS
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
2014
EXHIBIT 10.3LEGG MASON, INC.DEFERRED COMPENSATION FUND PLAN
Compensation Agreements
Legg Mason Inc
Capital Markets
2014
LEGG MASON, INC., asIssuer and THE BANK OF NEW YORK MELLON, as Trustee FIRSTSUPPLEMENTAL INDENTURE Dated as of January 22, 2014 to INDENTURE Dated as of January 22, 2014...
Indenture Agreements
Legg Mason Inc
2014
LEGG MASON, INC. 5.625% Senior Note due 2044 CUSIP: 524901AR6 / ISIN: US524901AR65 / COMMON CODE: 097681333 Dated: January 22, 2014
Note Agreements
Legg Mason Inc
2014
DIRECTORS SERVICE AGREEMENT LEGG MASON & CO (UK) LIMITED ISSUED April 1, 2013 FOR Terence Johnson
Services Agreements
Legg Mason Inc
2013
SEPARATION AGREEMENT
Separation Agreements
Legg Mason Inc
Capital Markets
MD
2012
TABLE OF CONTENTS
Legg Mason Inc
2012
5-YEAR REVOLVING CREDIT AGREEMENT dated as of October 14, 2005, as amended and restated by the Amendment Agreement dated as of February 11, 2010, among LEGG MASON, INC., as...
Credit Agreements
Legg Mason Inc
Capital Markets
MD
2011
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN PERFORMANCE UNIT AWARD AGREEMENT Grant Summary Participant: __________Grant Date: _____________Award: ___________ Performance...
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
MD
2011
LEGG MASON, INC. 1996 Equity Incentive Plan NON-QUALIFIED STOCK OPTION AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2011
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2011
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT
Bonus & Incentive Agreements
Legg Mason Inc
2011
LEGG MASON, INC. 1996 EquityIncentive Plan NON-QUALIFIEDSTOCK OPTION AGREEMENT
Legg Mason Inc
2010
LEGGMASON, INC. 1996 EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
Legg Mason Inc
2010
LEGGMASON, INC. 1996 EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
MD
2010
[Signature pages follow]
Legg Mason Inc
Capital Markets
NY
2010
5-YEAR REVOLVING CREDIT AGREEMENT dated as of October 14, 2005, as amended and restated by the Amendment Agreement dated as of February 11, 2010, among LEGG MASON, INC., as...
Credit Agreements
Legg Mason Inc
Capital Markets
MD
2010
Legg Mason, Inc. DEALER MANAGER AGREEMENT
Legg Mason Inc
Capital Markets
MD
2009
LEGGMASON & CO., LLC DEFERREDCOMPENSATION/PHANTOM STOCK PLAN (2009Amending Restatement)
Stock Agreements
Legg Mason Inc
Capital Markets
2009
LEGGMASON, INC. 1996 EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
Legg Mason Inc
2009
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN (As Amended July 27, 1999, July 20, 2004, March 28, 2006, July 19, 2007 and October 27, 2008)
Bonus & Incentive Agreements
Legg Mason Inc
Capital Markets
MD
2008
LEGG MASON, INC. NON-EMPLOYEE DIRECTOR EQUITY PLAN (As Amended and Restated Effective July 19, 2007 and October 27, 2008)
Legg Mason Inc
2008
MASTER AMENDMENT NO. 1 TO CREDIT SUPPORT AGREEMENTS
Credit Agreements
Legg Mason Inc
2008
LETTER AGREEMENT
Legg Mason Inc
Capital Markets
2008
LETTER AGREEMENT
Legg Mason Inc
2008
CAPITAL SUPPORT AGREEMENT
Legg Mason Inc
2008
LETTER AGREEMENT
Legg Mason Inc
2008
LETTER AGREEMENT
Legg Mason Inc
2008
LETTER AGREEMENT
Legg Mason Inc
Capital Markets
2008
ISDA International Swap Dealers Association. loc. MASTER AGREEMENT dated as of December 28, 2007 BARCLAYS BANK PLC (Party A) and LEGG MASON, INC. (Party B)
Legg Mason Inc
2008
ISDA International Swaps and Derivatives Association, Inc. CREDIT SUPPORT ANNEX to the Schedule to the ISDA MASTER AGREEMENT dated as of December 28, 2007 between
Credit Agreements
Legg Mason Inc
Capital Markets
2008
Total Return Swap Transactions
Legg Mason Inc
2008
LEGG MASON, INC. and THE BANK OF NEW YORK as Trustee INDENTURE Dated as of January 31, 2008 2.50% Senior Convertible Notes due 2015 TABLE OF CONTENTS
Indenture Agreements
Legg Mason Inc
Capital Markets
NY
2008
NOTE PURCHASE AGREEMENT among LEGG MASON, INC. THE PURCHASERS NAMED HEREIN and for limited purposes KOHLBERG KRAVIS ROBERTS & CO. L.P. January 14, 2008 TABLE OF CONTENTS
Note Agreements
Legg Mason Inc
2008
DESCRIPTION OF THE NOTES
Note Agreements
Legg Mason Inc
2008
Standstill Agreement
Legg Mason Inc
2008
JPMorgan Chase Bank, National Association Organized under the laws of the United States as a National Banking Association Main Office 1111 Polaris Parkway, Columbus, Ohio, 43271...
Legg Mason Inc
2008
JPMorgan Chase Bank, National Association. Organised under the laws of the United States as a National Banking Association. Main Office 1111 Polaris Parkway, Columbus, Ohio 43271....
Legg Mason Inc
2008
LEGG MASON WOOD WALKER, INCORPORATED DEFERRED COMPENSATION/PHANTOM STOCK PLAN (November, 2000 Amending Restatement, as Amended July, 2001) TABLE OF CONTENTS
Stock Agreements
Legg Mason Inc
Capital Markets
2006
LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN
Bonus & Incentive Agreements
Legg Mason Inc
2006
AMENDMENT TO THE FINANCIAL ADVISOR RETENTION PROGRAM
Retention Agreements
Legg Mason Inc
2006
AMENDMENT TO THE PROFESSIONAL BRANCH MANAGER RETENTION PROGRAM
Retention Agreements
Legg Mason Inc
2006
KEY EMPLOYEE PHANTOM STOCK AGREEMENT
Stock Agreements
Legg Mason Inc
Capital Markets
MD
2006
AMENDMENT TO THE LEGG MASON WOOD WALKER, INCORPORATED
Legg Mason Inc
2006
AMENDMENT TO THE LEGG MASON WOOD WALKER, INCORPORATED
Legg Mason Inc
Capital Markets
2006
Execution Counterpart PPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPPP $130,000,000 REVOLVING CREDIT AGREEMENT Dated as of December 1, 2005 Among CAM NORTH AMERICA, LLC as Borrower...
Credit Agreements
Legg Mason Inc
2006
TERM NOTE
Note Agreements
Legg Mason Inc
2006
AMENDMENT AGREEMENT
Legg Mason Inc
Capital Markets
NY
2005
REGISTRATION AND INVESTOR RIGHTS AGREEMENT by andbetween Citigroup Inc.
Registration Rights Agreements
Legg Mason Inc
2005
TRANSITION SERVICES AGREEMENT by and between
Transition Agreements
Legg Mason Inc
2005
PRIVATE CLIENT TRANSITION SERVICES AGREEMENT by and between
Transition Agreements
Legg Mason Inc
Capital Markets
MD
2005
CAPITAL MARKETS TRANSITION SERVICES AGREEMENT by and between
Transition Agreements
Legg Mason Inc
Capital Markets
MD
2005
LEGG MASON, INC. NON-EMPLOYEE DIRECTOR EQUITY PLAN NON-QUALIFIED STOCK OPTION AGREEMENT
Stock Agreements
Legg Mason Inc
2005
LEGG MASON, INC. 1996 Equity Incentive Plan Non-Qualified Stock Option
Bonus & Incentive Agreements
Legg Mason Inc
2005
AMENDED AND RESTATED GLOBAL DISTRIBUTION AGREEMENT
Distribution Agreements
Legg Mason Inc
2005
$700,000,000
Legg Mason Inc
2005
$500,000,000
Legg Mason Inc
2005
LEGG MASON, INC.
Legg Mason Inc
2005
TRANSACTION AGREEMENT
Legg Mason Inc
Capital Markets
NY
2005
PURCHASE AGREEMENT
Purchase Agreements
Legg Mason Inc
Capital Markets
MD
2005
GLOBAL DISTRIBUTION AGREEMENT
Distribution Agreements
Legg Mason Inc
Capital Markets
NY
2005
LEGG MASON, INC.
Legg Mason Inc
2005
FINANCIAL ADVISOR RETENTION PROGRAM Under The Legg Mason, Inc.
Retention Agreements
Legg Mason Inc
2005
PRODUCING BRANCH MANAGER RETENTION PROGRAM Under The Legg Mason, Inc.
Retention Agreements
Legg Mason Inc
2005
PROFESSIONAL BRANCH MANAGER RETENTION PROGRAM Under The Legg Mason, Inc.
Retention Agreements
Legg Mason Inc
2005
KEY EMPLOYEE PHANTOM STOCK AGREEMENT
Stock Agreements
Legg Mason Inc
2005
FINANCIAL ADVISOR RETENTION PROGRAM Under The Legg Mason, Inc. 1996 Equity Incentive Plan, As Amended
Bonus & Incentive Agreements
Legg Mason Inc
2004
AMENDMENT NO. 1 TO LEGG MASON WOOD WALKER, INCORPORATED FINANCIAL ADVISOR RETENTION PLAN (as amended and restated effective as of January 1, 2003) July 1, 2004
Retention Agreements
Legg Mason Inc
2004
AMENDMENT NO. 1 TO LEGG MASON WOOD WALKER, INCORPORATED PRIVATE CLIENT GROUP DEFERRED COMPENSATION PLAN (December, 1999 Amending Restatement) July 1, 2004
Compensation Agreements
Legg Mason Inc
2004
AMENDMENT NO. 1 TO LEGG MASON WOOD WALKER, INCORPORATED PRODUCING BRANCH MANAGER RETENTION PLAN (as amended and restated effective as of January 1, 2003) July 1, 2004
Retention Agreements
Legg Mason Inc
2004
LEGG MASON, INC.
Legg Mason Inc
2004
LEGG MASON, INC.
Legg Mason Inc
Capital Markets
MD
2004