PENSON WORLDWIDE INC Contracts & Agreements

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AMENDMENT OF EXECUTIVE EMPLOYMENT AGREEMENT
Employment Agreements
PENSON WORLDWIDE INC
2012
Form of Retention Letter Memorandum
Retention Agreements
PENSON WORLDWIDE INC
2012
Transition Services Agreement
Transition Agreements
PENSON WORLDWIDE INC
NY
2012
SEPARATION AGREEMENT
Separation Agreements
PENSON WORLDWIDE INC
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...
Services Agreements
PENSON WORLDWIDE INC
2012
LIMITED LIABILITY COMPANY AGREEMENT OF APEX CLEARING HOLDINGS LLC A Delaware Limited Liability Company Dated as of May 31, 2012
Limited Partnership Agreements
PENSON WORLDWIDE INC
DE
2012
TRANSITION SERVICES AGREEMENT
Transition Agreements
PENSON WORLDWIDE INC
IL
2012
INDEMNITY & SUPPORT AGREEMENT
PENSON WORLDWIDE INC
2012
TERMINATION AND MUTUAL RELEASE AGREEMENT
Termination Agreements
PENSON WORLDWIDE INC
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
Credit Agreements
PENSON WORLDWIDE INC
NC
2012
ASSET PURCHASE AGREEMENT BETWEEN PENSON FINANCIAL SERVICES, INC. AND KNIGHT EXECUTION & CLEARING SERVICES LLC MAY 28, 2012 TABLE OF CONTENTS
Purchase Agreements
PENSON WORLDWIDE INC
NC
2012
SEVERANCE AND GENERAL RELEASE OF ALL CLAIMS AGREEMENT
Severance Agreements
PENSON WORLDWIDE INC
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...
Purchase Agreements
PENSON WORLDWIDE INC
TX
2012
RESTRUCTURING SUPPORT AGREEMENT
PENSON WORLDWIDE INC
2012
Page 2
PENSON WORLDWIDE INC
2012
EXECUTIVE EMPLOYMENT AGREEMENT
Employment Agreements
PENSON WORLDWIDE INC
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...
Credit Agreements
PENSON WORLDWIDE INC
TX
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...
Exchange Agreements
PENSON WORLDWIDE INC
2012
AMENDED AND RESTATED SELLER NOTE
Note Agreements
PENSON WORLDWIDE INC
2012
Attachment A
PENSON WORLDWIDE INC
DE
2012
SHARE PURCHASE AGREEMENT BETWEEN PERSHING GROUP, LLC AND PENSON WORLDWIDE, INC. November 22, 2011
Share Agreements
PENSON WORLDWIDE INC
NY
2012
RESTRUCTURING SUPPORT AGREEMENT
PENSON WORLDWIDE INC
NY
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
Severance Agreements
PENSON WORLDWIDE INC
TX
2012
EX-101 INSTANCE DOCUMENT
PENSON WORLDWIDE INC
2011
interest rate fluctuations
PENSON WORLDWIDE INC
2011
interest rate fluctuations
PENSON WORLDWIDE INC
2011
Financial Statements
PENSON WORLDWIDE INC
2010
Financial Statements
PENSON WORLDWIDE INC
2010
Financial Statements
PENSON WORLDWIDE INC
2010
Financial Statements
PENSON WORLDWIDE INC
2010
Financial Statements
PENSON WORLDWIDE INC
2010
Financial Statements
PENSON WORLDWIDE INC
2010
Financial Statements
PENSON WORLDWIDE INC
TX
2010
Financial Statements
PENSON WORLDWIDE INC
2010
Financial Statements
PENSON WORLDWIDE INC
2010
[FACE OF NOTE]
Note Agreements
PENSON WORLDWIDE INC
2010
$200,000,000
PENSON WORLDWIDE INC
2010
Opus Trading Fund LLC Schonfeld Securities, LLC Schonfeld Group Holdings LLC
PENSON WORLDWIDE INC
2010
interest rate fluctuations
PENSON WORLDWIDE INC
2010
interest rate fluctuations
PENSON WORLDWIDE INC
2010
interest rate fluctuations
PENSON WORLDWIDE INC
2010
interest rate fluctuations
PENSON WORLDWIDE INC
2010
PENSON WORLDWIDE, INC. 2010 EXECUTIVE BONUS PLAN
Bonus & Incentive Agreements
PENSON WORLDWIDE INC
2010
Financial Statements
PENSON WORLDWIDE INC
2009
Financial Statements
PENSON WORLDWIDE INC
2009
Financial Statements
PENSON WORLDWIDE INC
TX
2009
PENSON WORLDWIDE, INC.
PENSON WORLDWIDE INC
NY
2009
[FORM OF FACE OF NOTE]
Note Agreements
PENSON WORLDWIDE INC
2009
$50,000,000
PENSON WORLDWIDE INC
NY
2009
Financial Statements
PENSON WORLDWIDE INC
TX
2009
interest rate fluctuations
PENSON WORLDWIDE INC
2009
interest rate fluctuations
PENSON WORLDWIDE INC
2009
interest rate fluctuations
PENSON WORLDWIDE INC
2009
interest rate fluctuations
PENSON WORLDWIDE INC
2009
interest rate fluctuations
PENSON WORLDWIDE INC
2009
(In thousands
PENSON WORLDWIDE INC
2008
THIRD AMENDMENT TO CREDIT AGREEMENT
Credit Agreements
PENSON WORLDWIDE INC
2008
First Amendment to Executive Employment Agreement - Philip A. Pendergraft
Employment Agreements
PENSON WORLDWIDE INC
2008
First Amendment to Executive Employment Agreement - Daniel P. Son
Employment Agreements
PENSON WORLDWIDE INC
2008
SEVENTH AMENDMENT TO CREDIT AGREEMENT
Credit Agreements
PENSON WORLDWIDE INC
2008
PENSON WORLDWIDE, INC. 2008 RESTRICTED STOCK BONUS INCENTIVE PLAN
Bonus & Incentive Agreements
PENSON WORLDWIDE INC
2008
Sixth Amendment to Credit Agreement
Credit Agreements
PENSON WORLDWIDE INC
2008
Fifth Amendment to the Credit Agreement
Credit Agreements
PENSON WORLDWIDE INC
2007
Schedule E to the Remote Processing Agreement
PENSON WORLDWIDE INC
2007
Opus Trading Fund LLC Quantitative Trading Strategies LLC Schonfeld Securities LLC Schonfeld Group Holdings LLC
PENSON WORLDWIDE INC
2007
Fourth Amendment to Credit Agreement
Credit Agreements
PENSON WORLDWIDE INC
2007
THIRD AMENDMENT TO CREDIT AGREEMENT
Credit Agreements
PENSON WORLDWIDE INC
2007
Second Amendment to the Credit Agreement
Credit Agreements
PENSON WORLDWIDE INC
2007
Letter Agreement Amending the Purchase Agreement
Purchase Agreements
PENSON WORLDWIDE INC
2007
ASSET PURCHASE AGREEMENT
Purchase Agreements
PENSON WORLDWIDE INC
2006
REGISTRATION RIGHTS AGREEMENT by and between PENSON WORLDWIDE, INC. and SCHONFELD SECURITIES, LLC dated as of November 20, 2006
Registration Rights Agreements
PENSON WORLDWIDE INC
2006
PENSON WORLDWIDE, INC. STOCKHOLDERS AGREEMENT
PENSON WORLDWIDE INC
2006
UNCONDITIONAL GUARANTY AGREEMENT
Guaranty Agreements
PENSON WORLDWIDE INC
2006
UNCONDITIONAL GUARANTY AGREEMENT
Guaranty Agreements
PENSON WORLDWIDE INC
2006
TERMINATION / COMPENSATION PAYMENT AGREEMENT
Compensation Agreements
PENSON WORLDWIDE INC
2006
PURCHASE AGREEMENT
Purchase Agreements
PENSON WORLDWIDE INC
2006
FIRST AMENDMENT TO CREDIT AGREEMENT
Credit Agreements
PENSON WORLDWIDE INC
2006
Credit Agreement
Credit Agreements
PENSON WORLDWIDE INC
2006
Amendment to the Remote Processing Agreement
PENSON WORLDWIDE INC
2006
Form of Underwriting Agreement
Underwriting Agreements
PENSON WORLDWIDE INC
2006
Eighth Amendment to Lease
Lease Agreements
PENSON WORLDWIDE INC
2006
Guaranty Bank Consent to SAMCO Reorganization Agreement
Plan of Reorganization Agreements
PENSON WORLDWIDE INC
2006
Form of SAMCO Reorganization Agreement
Plan of Reorganization Agreements
PENSON WORLDWIDE INC
2006
Form of Transition Services Agreement
Transition Agreements
PENSON WORLDWIDE INC
2006
Executive Employment Agreement - Philip A. Pendergraft
Employment Agreements
PENSON WORLDWIDE INC
2006
Executive Employment Agreement - Daniel P. Son
Employment Agreements
PENSON WORLDWIDE INC
2006
Eighth Amendment to 1700 Pacific Avenue Office Lease
Lease Agreements
PENSON WORLDWIDE INC
2006
Sixteenth Amendment to Amended and Restated Agreement dated April 21, 2006
PENSON WORLDWIDE INC
2006
Specimen Certificate for Shares of Common Stock
Stock Agreements
PENSON WORLDWIDE INC
2006
Amended and Restated 2000 Stock Incentive Plan
Bonus & Incentive Agreements
PENSON WORLDWIDE INC
2006
2005 Employee Stock Purchase Plan
Stock Agreements
PENSON WORLDWIDE INC
2006
Form of SAMCO Reogranization Agreement
PENSON WORLDWIDE INC
2006
Form of Transition Services Agreement
Transition Agreements
PENSON WORLDWIDE INC
2006
Asset Purchase Agreement
Purchase Agreements
PENSON WORLDWIDE INC
2006
Amendment to Amended and Restated Loan Agreement
Loan Agreements
PENSON WORLDWIDE INC
2006
Promissory Note
Note Agreements
PENSON WORLDWIDE INC
2006
Employment Letter Agreement - Kevin W. McAleer
Employment Agreements
PENSON WORLDWIDE INC
2006
Amended & Restated Investors' Rights Agreement
Investor Rights Agreements
PENSON WORLDWIDE INC
2005
Fourteenth Amendment to Amended & Restated Loan Agreement
Loan Agreements
PENSON WORLDWIDE INC
2005
Thirteenth Amendment to Amended/Restated Loan Agreement
Loan Agreements
PENSON WORLDWIDE INC
2005
Remote Processing Agreement
PENSON WORLDWIDE INC
2006