PENSON WORLDWIDE INC Contracts & Agreements

AMENDMENT OF EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on August 14, 2012)

Form of Retention Letter Memorandum (Filed With SEC on August 14, 2012)

Transition Services Agreement (Filed With SEC on August 14, 2012)

SEPARATION AGREEMENT (Filed With SEC on August 14, 2012)

ASSIGNMENT AND ASSUMPTION AGREEMENT by and among PENSON FINANCIAL SERVICES, INC., APEX CLEARING HOLDINGS LLC and APEX CLEARING SOLUTIONS LLC Dated as of May 31, 2012 TABLE OF... (Filed With SEC on June 7, 2012)

LIMITED LIABILITY COMPANY AGREEMENT OF APEX CLEARING HOLDINGS LLC A Delaware Limited Liability Company Dated as of May 31, 2012 (Filed With SEC on June 7, 2012)

TRANSITION SERVICES AGREEMENT (Filed With SEC on June 7, 2012)

INDEMNITY & SUPPORT AGREEMENT (Filed With SEC on June 7, 2012)

TERMINATION AND MUTUAL RELEASE AGREEMENT (Filed With SEC on June 7, 2012)

CREDIT AGREEMENT dated as of June 5, 2012 between APEXCLEARING CORPORATION, as the Borrower and PENSON FINANCIAL SERVICES, INC., as the Lender TABLE OF CONTENTS (Filed With SEC on June 7, 2012)

ASSET PURCHASE AGREEMENT BETWEEN PENSON FINANCIAL SERVICES, INC. AND KNIGHT EXECUTION & CLEARING SERVICES LLC MAY 28, 2012 TABLE OF CONTENTS (Filed With SEC on June 6, 2012)

SEVERANCE AND GENERAL RELEASE OF ALL CLAIMS AGREEMENT (Filed With SEC on May 15, 2012)

ASSET PURCHASE AGREEMENT AMONG PNK (SA), LLC, SAI HOLDINGS, INC., SAMCO CAPITAL MARKETS, INC., AND (Solely for the purpose of Section 2.3) PENSON WORLDWIDE, INC. DATED ASOF April... (Filed With SEC on April 26, 2012)

RESTRUCTURING SUPPORT AGREEMENT (Filed With SEC on March 21, 2012)

Page 2 (Filed With SEC on March 15, 2012)

EXECUTIVE EMPLOYMENT AGREEMENT (Filed With SEC on March 15, 2012)

NOTE: PORTIONS OF THIS AGREEMENT ARE THE SUBJECT OF A CONFIDENTIALTREATMENT REQUEST BY THE REGISTRANT TO THE SECURITIES AND EXCHANGE COMMISSION. SUCH PORTIONS HAVE BEEN REDACTED... (Filed With SEC on March 15, 2012)

AMENDED AND RESTATED SELLER NOTE (Filed With SEC on March 15, 2012)

Attachment A (Filed With SEC on March 15, 2012)

SHARE PURCHASE AGREEMENT BETWEEN PERSHING GROUP, LLC AND PENSON WORLDWIDE, INC. November 22, 2011 (Filed With SEC on March 15, 2012)

RESTRUCTURING SUPPORT AGREEMENT (Filed With SEC on March 14, 2012)

2012 PENSON SEVERANCE PAY PLAN AND SUMMARY PLAN DESCRIPTION Effective as of January 16, 2012 2012 PENSON SEVERANCE PAY PLAN AND SUMMARY PLAN DESCRIPTION (Filed With SEC on February 3, 2012)

EX-101 INSTANCE DOCUMENT (Filed With SEC on November 9, 2011)

interest rate fluctuations (Filed With SEC on March 4, 2011)

Financial Statements (Filed With SEC on November 9, 2010)

Financial Statements (Filed With SEC on August 6, 2010)

[FACE OF NOTE] (Filed With SEC on May 7, 2010)

$200,000,000 (Filed With SEC on April 30, 2010)

Opus Trading Fund LLC Schonfeld Securities, LLC Schonfeld Group Holdings LLC (Filed With SEC on April 28, 2010)

interest rate fluctuations (Filed With SEC on March 5, 2010)

PENSON WORLDWIDE, INC. 2010 EXECUTIVE BONUS PLAN (Filed With SEC on February 22, 2010)

Financial Statements (Filed With SEC on November 6, 2009)

Financial Statements (Filed With SEC on August 4, 2009)

PENSON WORLDWIDE, INC. (Filed With SEC on June 5, 2009)

[FORM OF FACE OF NOTE] (Filed With SEC on June 5, 2009)

$50,000,000 (Filed With SEC on May 29, 2009)

Financial Statements (Filed With SEC on May 8, 2009)

interest rate fluctuations (Filed With SEC on March 16, 2009)

(In thousands (Filed With SEC on November 10, 2008)

THIRD AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on September 18, 2008)

First Amendment to Executive Employment Agreement - Philip A. Pendergraft (Filed With SEC on August 7, 2008)

First Amendment to Executive Employment Agreement - Daniel P. Son (Filed With SEC on August 7, 2008)

SEVENTH AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on July 25, 2008)

PENSON WORLDWIDE, INC. 2008 RESTRICTED STOCK BONUS INCENTIVE PLAN (Filed With SEC on June 25, 2008)

Sixth Amendment to Credit Agreement (Filed With SEC on March 14, 2008)

Fifth Amendment to the Credit Agreement (Filed With SEC on November 13, 2007)

Schedule E to the Remote Processing Agreement (Filed With SEC on November 13, 2007)

Opus Trading Fund LLC Quantitative Trading Strategies LLC Schonfeld Securities LLC Schonfeld Group Holdings LLC (Filed With SEC on October 12, 2007)

Fourth Amendment to Credit Agreement (Filed With SEC on August 14, 2007)

THIRD AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on May 11, 2007)

Second Amendment to the Credit Agreement (Filed With SEC on February 16, 2007)

Letter Agreement Amending the Purchase Agreement (Filed With SEC on February 16, 2007)

ASSET PURCHASE AGREEMENT (Filed With SEC on November 21, 2006)

REGISTRATION RIGHTS AGREEMENT by and between PENSON WORLDWIDE, INC. and SCHONFELD SECURITIES, LLC dated as of November 20, 2006 (Filed With SEC on November 21, 2006)

PENSON WORLDWIDE, INC. STOCKHOLDERS AGREEMENT (Filed With SEC on November 21, 2006)

UNCONDITIONAL GUARANTY AGREEMENT (Filed With SEC on November 21, 2006)

TERMINATION / COMPENSATION PAYMENT AGREEMENT (Filed With SEC on November 21, 2006)

PURCHASE AGREEMENT (Filed With SEC on November 7, 2006)

FIRST AMENDMENT TO CREDIT AGREEMENT (Filed With SEC on October 3, 2006)

Credit Agreement (Filed With SEC on August 11, 2006)

Amendment to the Remote Processing Agreement (Filed With SEC on July 31, 2006)

Form of Underwriting Agreement (Filed With SEC on May 9, 2006)

Eighth Amendment to Lease (Filed With SEC on May 9, 2006)

Guaranty Bank Consent to SAMCO Reorganization Agreement (Filed With SEC on May 9, 2006)

Form of SAMCO Reorganization Agreement (Filed With SEC on May 1, 2006)

Form of Transition Services Agreement (Filed With SEC on May 1, 2006)

Executive Employment Agreement - Philip A. Pendergraft (Filed With SEC on May 1, 2006)

Executive Employment Agreement - Daniel P. Son (Filed With SEC on May 1, 2006)

Eighth Amendment to 1700 Pacific Avenue Office Lease (Filed With SEC on May 1, 2006)

Sixteenth Amendment to Amended and Restated Agreement dated April 21, 2006 (Filed With SEC on May 1, 2006)

Specimen Certificate for Shares of Common Stock (Filed With SEC on April 24, 2006)

Amended and Restated 2000 Stock Incentive Plan (Filed With SEC on April 24, 2006)

2005 Employee Stock Purchase Plan (Filed With SEC on April 24, 2006)

Form of SAMCO Reogranization Agreement (Filed With SEC on April 24, 2006)

Form of Transition Services Agreement (Filed With SEC on April 24, 2006)

Asset Purchase Agreement (Filed With SEC on March 21, 2006)

Remote Processing Agreement (Filed With SEC on March 21, 2006)

Amendment to Amended and Restated Loan Agreement (Filed With SEC on March 21, 2006)

Promissory Note (Filed With SEC on March 21, 2006)

Employment Letter Agreement - Kevin W. McAleer (Filed With SEC on March 21, 2006)

Amended & Restated Investors' Rights Agreement (Filed With SEC on October 19, 2005)

Fourteenth Amendment to Amended & Restated Loan Agreement (Filed With SEC on October 19, 2005)

Thirteenth Amendment to Amended/Restated Loan Agreement (Filed With SEC on September 23, 2005)

Category

Industry

Companies

Contracts

PENSON WORLDWIDE INC Contracts & Agreements