Capital Markets Contracts & Agreements
14,600 Contracts from 257 Capital Markets Companies
- AFFILIATED MANAGERS GROUP, INC. (124 contracts)
- ALLIANCEBERNSTEIN HOLDING L.P. (225)
- ALTIMAR ACQUISITION CORP. (80)
- Ameriprise Financial (96)
- Apollo Global Management LLC (236)
- APOLLO INVESTMENT CORP (30)
- ARES CAPITAL CORP (118)
- Ares Management Corp (110)
- Artisan Partners Asset Management Inc. (114)
- Ascendant Digital Acquisition Corp. (57)
- Ashford Inc. (108)
- AssetMark Financial Holdings, Inc. (30)
- Associated Capital Group, Inc. (7)
- B. Riley Financial, Inc. (199)
- Bain Capital Specialty Finance, Inc. (18)
- Barings BDC, Inc. (80)
- BC Partners Lending Corp (10)
- BGC Partners, Inc. (211)
- BlackRock (109)
- BlackRock Capital Investment Corp (29)
- BlackRock Direct Lending Corp. (1)
- BlackRock Private Credit Fund (5)
- BlackRock TCP Capital Corp. (26)
- BLACKSTAR ENTERPRISE GROUP, INC. (72)
- Blackstone / GSO Secured Lending Fund (44)
- Blackstone Group L.P. (238)
- Blackstone Private Credit Fund (67)
- Blackstone Private Equity Strategies Fund L.P. (9)
- Blucora, Inc. (280)
- Bridge Investment Group Holdings Inc. (32)
- BrightSphere Investment Group Inc. (29)
- Capital Financial Holdings, Inc (11)
- CAPITAL SOUTHWEST CORP (72)
- Capitala Finance Corp. (18)
- Carlyle Group L.P. (117)
- Cboe Global Markets (140)
- CERES ABINGDON L.P. (21)
- CERES ORION L.P. (52)
- Ceres Tactical Commodity L.P. (34)
- CERES TACTICAL CURRENCY L.P. (32)
- CERES TACTICAL SYSTEMATIC L.P. (92)
- Charles Schwab Corporation (266)
- CHINAWE COM INC (4)
- Chineseinvestors.com, Inc. (2)
- CION Investment Corp (67)
- CM Finance Inc (39)
- CME Group Inc. (198)
- Cohen & Co Inc. (202)
- COHEN & STEERS INC (19)
- Coinbase Global, Inc. (14)
- CONCIERGE TECHNOLOGIES INC (27)
- ContextLogic Inc. (27)
- COWEN INC. (71)
- CREDITRISKMONITOR COM INC (1)
- Crescent Capital BDC, Inc. (33)
- DIAMOND HILL INVESTMENT GROUP INC (34)
- Diginex Ltd (7)
- Donnelley Financial Solutions, Inc. (69)
- E*Trade (164)
- Eaton Vance Corp (41)
- ENDI Corp. (21)
- ENTERPRISE DIVERSIFIED, INC. (49)
- EQUUS TOTAL RETURN, INC. (31)
- Evercore (111)
- FactSet Research Systems Inc (42)
- Federated Investors (85)
- FIDUS INVESTMENT Corp (23)
- FinTech Acquisition Corp. IV (53)
- Firsthand Technology Value Fund, Inc. (1)
- Focus Financial Partners Inc. (48)
- Franklin Resources (147)
- Freedom Holding Corp. (70)
- FS KKR Capital Corp (109)
- GAIN Capital Holdings, Inc. (142)
- GAMCO INVESTORS, INC. ET AL (26)
- Garrison Capital Inc. (8)
- GCM Grosvenor Inc. (29)
- GLADSTONE CAPITAL CORP (63)
- GLADSTONE INVESTMENT CORPORATION (49)
- GlassBridge Enterprises, Inc. (225)
- Goldman Sachs (394)
- GOLDMAN SACHS ASSET BACKED SECURITIES CORP (9)
- Goldman Sachs BDC, Inc. (11)
- Goldman Sachs Middle Market Lending Corp. (7)
- Goldman Sachs Middle Market Lending Corp. II (5)
- Goldman Sachs Private Credit Corp. (2)
- Goldman Sachs Private Middle Market Credit II LLC (5)
- Goldman Sachs Private Middle Market Credit LLC (7)
- GOLUB CAPITAL BDC, Inc. (69)
- Great Elm Capital Corp. (28)
- Great Elm Capital Group, Inc. (160)
- Greenhill & Co., Inc. (72)
- Greenpro Capital Corp. (109)
- GSV Capital Corp. (30)
- Hamilton Lane INC (63)
- Harvest Capital Credit Corp (13)
- HENNESSY ADVISORS INC (61)
- Hercules Capital, Inc. (95)
- Heritage Global Inc. (191)
- Horizon Technology Finance Corp (61)
- HOULIHAN LOKEY, INC. (60)
- Indo Global Exchange(s) Pte, Ltd. (12)
- Interactive Brokers (30)
- Intercontinental Exchange (72)
- INTL FCStone Inc. (109)
- Invesco Ltd. (137)
- Investment Technology Group, Inc. (143)
- Janus Henderson Group plc (48)
- KCAP Financial, Inc. (59)
- KKR & Co. Inc. (172)
- Kyto Technology & Life Science, Inc. (6)
- LADENBURG THALMANN FINANCIAL SERVICES INC. (102)
- Lazard Ltd (198)
- Legg Mason Inc (117)
- LPL Financial Holdings Inc. (108)
- Main Street Capital CORP (64)
- Manning & Napier, Inc. (99)
- MarketAxess Holdings Inc (123)
- Medley Capital Corp (53)
- MEDLEY MANAGEMENT INC. (42)
- Moelis & Co (72)
- MONROE CAPITAL Corp (18)
- Moody's Corp (147)
- Morgan Stanley (266)
- MORGAN STANLEY ABS CAPITAL I INC CDC MOR CAP TR 2004-HE2 (3)
- Morgan Stanley ABS Capital I Inc. Trust 2006-HE7 (1)
- Morgan Stanley ABS Capital I Inc. Trust 2006-NC3 (1)
- Morgan Stanley ABS Capital I Inc. Trust 2006-NC4 (2)
- Morgan Stanley ABS Capital I Inc. Trust 2006-NC5 (1)
- Morgan Stanley ABS Capital I Inc. Trust 2006-WMC2 (3)
- Morgan Stanley Bank of America Merrill Lynch Trust 2012-C5 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2012-C6 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2013-C10 (2)
- Morgan Stanley Bank of America Merrill Lynch Trust 2013-C11 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2013-C12 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2013-C13 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2013-C7 (1)
- MORGAN STANLEY BANK OF AMERICA MERRILL LYNCH TRUST 2013-C8 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2013-C9 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2014-C14 (2)
- Morgan Stanley Bank of America Merrill Lynch Trust 2014-C15 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2014-C16 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2014-C17 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2014-C18 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2014-C19 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2015-C20 (2)
- Morgan Stanley Bank of America Merrill Lynch Trust 2015-C21 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2015-C22 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2015-C23 (2)
- Morgan Stanley Bank of America Merrill Lynch Trust 2015-C24 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2015-C25 (2)
- Morgan Stanley Bank of America Merrill Lynch Trust 2015-C26 (2)
- Morgan Stanley Bank of America Merrill Lynch Trust 2015-C27 (1)
- Morgan Stanley Bank of America Merrill Lynch Trust 2016-C28 (3)
- Morgan Stanley Bank of America Merrill Lynch Trust 2016-C29 (2)
- Morgan Stanley Bank of America Merrill Lynch Trust 2016-C30 (3)
- Morgan Stanley Bank of America Merrill Lynch Trust 2016-C32 (3)
- Morgan Stanley Bank of America Merrill Lynch Trust 2017-C33 (3)
- Morgan Stanley Bank of America Merrill Lynch Trust 2017-C34 (1)
- Morgan Stanley Capital I Trust 2011-C3 (1)
- Morgan Stanley Capital I Trust 2012-C4 (1)
- Morgan Stanley Capital I Trust 2015-MS1 (1)
- Morgan Stanley Capital I Trust 2015-UBS8 (1)
- Morgan Stanley Capital I Trust 2016-BNK2 (2)
- Morgan Stanley Capital I Trust 2016-UBS11 (2)
- Morgan Stanley Capital I Trust 2016-UBS12 (1)
- Morgan Stanley Capital I Trust 2016-UBS9 (1)
- Morgan Stanley Capital I Trust 2017-H1 (1)
- Morgan Stanley Capital I Trust 2017-HR2 (1)
- Morgan Stanley Capital I Trust 2018-H3 (1)
- Morgan Stanley Capital I Trust 2018-H4 (1)
- Morgan Stanley Capital I Trust 2018-L1 (1)
- Morgan Stanley Capital I Trust 2019-H6 (1)
- Morgan Stanley Capital I Trust 2019-H7 (1)
- Morgan Stanley Capital I Trust 2019-L2 (1)
- Morgan Stanley Capital I Trust 2019-L3 (1)
- Morgan Stanley Capital I Trust 2020-HR8 (1)
- Morgan Stanley Capital I Trust 2020-L4 (1)
- Morgan Stanley Capital I Trust 2021-L5 (1)
- Morgan Stanley Capital I Trust 2021-L6 (2)
- Morgan Stanley Capital I Trust 2021-L7 (1)
- Morgan Stanley Capital I Trust 2022-L8 (1)
- Morgan Stanley Direct Lending Fund (18)
- Morgan Stanley Finance LLC (1)
- Morgan Stanley Mortgage Loan Trust 2007-4SL (1)
- MORGAN STANLEY SMITH BARNEY CHARTER ASPECT L.P. (11)
- MORGAN STANLEY SMITH BARNEY CHARTER CAMPBELL LP (11)
- MORGAN STANLEY SMITH BARNEY CHARTER WNT L.P. (11)
- MORGAN STANLEY SMITH BARNEY SPECTRUM GLOBAL BALANCED LP (5)
- MORGAN STANLEY SMITH BARNEY SPECTRUM SELECT LP (18)
- MORGAN STANLEY SMITH BARNEY SPECTRUM STRATEGIC LP (19)
- MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP (18)
- Morgan Stanley Structured Trust I 2007-1 (2)
- Morningstar, Inc. (64)
- MSCI Inc (428)
- MVC CAPITAL, INC. (53)
- Nasdaq, Inc. (235)
- NATIONAL HOLDINGS CORP (95)
- Nebula Parent Corp. (34)
- New Mountain Finance Corp (63)
- NewHold Investment Corp. II (44)
- Newtek Business Services Corp. (65)
- Northern Trust Corp. (300)
- Oaktree Specialty Lending Corp (83)
- Oaktree Strategic Income Corp (39)
- Och-Ziff Capital Management Group LLC (207)
- OFS Capital Corp (45)
- OPPENHEIMER HOLDINGS INC (10)
- Owl Rock Capital Corp (56)
- Oxford Square Capital Corp. (39)
- P10, Inc. (34)
- PennantPark Floating Rate Capital Ltd. (31)
- PENNANTPARK INVESTMENT CORP (20)
- Piper Jaffray Companies (172)
- PJT Partners Inc. (48)
- PRINCETON CAPITAL CORP (17)
- PROSPECT CAPITAL CORP (60)
- Pzena Investment Management, Inc. (70)
- QUOTEMEDIA INC (8)
- RAND CAPITAL CORP (19)
- Raymond James Financial Inc. (134)
- Robinhood Markets, Inc. (45)
- Runway Growth Credit Fund Inc. (34)
- S&P Global, Inc. (174)
- SAFEGUARD SCIENTIFICS INC (158)
- SEI Investments Corp (58)
- SIEBERT FINANCIAL CORP (35)
- Silvercrest Asset Management Group Inc. (39)
- Solar Capital Ltd. (35)
- Solar Senior Capital Ltd. (19)
- State Street Corp. (204)
- Stellus Capital Investment Corp (26)
- StepStone Group Inc. (31)
- Stifel Financial Corp (61)
- T. Rowe Price Group (56)
- Tango Holdings, Inc. (31)
- TCG BDC, INC. (25)
- TD AMERITRADE HOLDING CORP (186)
- The Bank of New York Mellon Corp. (140)
- TPG Partners, LLC (57)
- TPG Specialty Lending, Inc. (51)
- Tradeweb Markets Inc. (50)
- Trinity Capital Inc. (22)
- TriplePoint Venture Growth BDC Corp. (19)
- U S GLOBAL INVESTORS INC (21)
- VALUE LINE INC (5)
- ValueSetters Inc. (56)
- VetaNova Inc. (17)
- Victory Capital Holdings, Inc. (19)
- Virtu Financial, Inc. (127)
- Virtus Investment Partners, Inc. (57)
- VPC Impact Acquisition Holdings (75)
- Waddell & Reed Financial, Inc. (166)
- WESTWOOD HOLDINGS GROUP INC (45)
- WhiteHorse Finance, Inc. (36)
- WisdomTree Investments, Inc. (53)
- Wright Investors Service Holdings, Inc. (49)
- Business Finance (5,883 contracts from 243 companies)
- Business Formation (383 | 44)
- Business Operations (1,045 | 164)
- Human Resources (3,384 | 124)
- Intellectual Property (202 | 26)
- Mergers & Acquisitions (199 | 85)
- Real Estate (156 | 48)
- Uncategorized (3,348 | 192)
- Form of 4.993% Senior Note due 2027 (State Street Corp., Filed With SEC on March 18, 2024)
- Underwriting Agreement, dated March 13, 2024, by and among State Street Corporation and Morgan Stanley & Co. LLC, Blaylock Van, LLC, Scotia Capital (USA) Inc. and UBS Securities... (State Street Corp., Filed With SEC on March 18, 2024)
- Indenture, dated as of March 18, 2024, between Coinbase Global, Inc. and U.S. Bank Trust Company, National Association, as trustee (Coinbase Global, Inc., Filed With SEC on March 18, 2024)
- Borrower Assumption Agreement, dated as of March 18, 2024, by BCIC Merger Sub, LLC and Citibank, N.A., as administrative agent (BlackRock TCP Capital Corp., Filed With SEC on March 18, 2024)
- Amendment No. 3, dated as of March 18, 2024, to Stockholder Rights Agreement, dated as of March 17, 2023, as amended, between WisdomTree, Inc. and Continental Stock Transfer &... (WisdomTree Investments, Inc., Filed With SEC on March 18, 2024)
- Form of Capped Call Transaction Confirmation (Coinbase Global, Inc., Filed With SEC on March 18, 2024)
- Amended and Restated Warehousing Agreement, dated as of November 3, 2023, by and among Blackstone Holdings Finance Co. L.L.C., Blackstone Private Investment Advisors L.L.C.,... (Blackstone Private Equity Strategies Fund L.P., Filed With SEC on March 15, 2024)
- Third Amended and Restated Advisory Agreement, dated as of March 12, 2024, by and between Ashford Hospitality Trust, Inc., Ashford Hospitality Limited Partnership, Ashford TRS... (Ashford Inc., Filed With SEC on March 15, 2024)
- Description of Securities (Blackstone Private Equity Strategies Fund L.P., Filed With SEC on March 15, 2024)
- Description of Securities (Blackstone Private Credit Fund, Filed With SEC on March 15, 2024)
- HERITAGE GLOBAL INC. Compensation Recoupment Policy (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Form of Restricted Stock Grant for Restricted Stock Granted Under 2022 Heritage Global Inc. Equity Incentive Plan (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Form of Option Grant for Options to Non-employees Granted Under 2022 Heritage Global Inc. Equity Incentive Plan (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Form of Option Grant for Options to Employees Granted Under 2022 Heritage Global Inc. Equity Incentive Plan (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Pledge and Security Agreement, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (filed as Exhibit 10.5 to the Companys Quarterly... (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Business Loan Agreement, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (filed as Exhibit 10.4 to the Companys Quarterly Report... (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Promissory Note, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (filed as Exhibit 10.3 to the Companys Quarterly Report on Form... (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Loan Modification Agreement and Reaffirmation of Loan, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (filed as Exhibit 10.2 to... (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Amended and Restated Promissory Note, by and between Heritage Global Inc. and C3bank, National Association, effective as of May 26, 2023 (filed as Exhibit 10.1 to the Companys... (Heritage Global Inc., Filed With SEC on March 14, 2024)
- Amendment No. 9, dated as of January 22, 2021, and Amendment No. 10, dated as of March 25, 2021, to the Subcustodial and Services Agreement by and between Fidelity Brokerage... (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2024)
- Second Amendment, dated September 5, 2017, to the Master Services Agreement (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2024)
- First Amendment to Beta Services Agreement, dated July 20, 2022, by and between Beta Plus Technologies, Inc. and AssetMark Financial Holdings, Inc (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2024)
- Description of Capital Stock (AssetMark Financial Holdings, Inc., Filed With SEC on March 14, 2024)
- Amendment No. 2 to Second Amended and Restated Employment Agreement, dated November 28, 2023, by and between SuRo Capital Corp. and Allison Green (GSV Capital Corp., Filed With SEC on March 14, 2024)
- Amendment No. 1 to Second Amended and Restated Employment Agreement, dated November 28, 2023, by and between SuRo Capital Corp. and Mark D. Klein (GSV Capital Corp., Filed With SEC on March 14, 2024)
- First Supplemental Indenture, dated March 14, 2024, among BlackRock Funding, Inc., BlackRock, Inc. and The Bank of New York Mellon, as trustee (BlackRock, Filed With SEC on March 14, 2024)
- Indenture, dated March 14, 2024, among BlackRock Funding, Inc., BlackRock, Inc. and The Bank of New York Mellon, as trustee (BlackRock, Filed With SEC on March 14, 2024)
- First Amendment to Master Note Purchase Agreement, dated as of March 13, 2024, among BlackRock Capital Investment Corporation and the Noteholders party thereto (BlackRock Capital Investment Corp, Filed With SEC on March 14, 2024)
- Description of Securities (P10, Inc., Filed With SEC on March 13, 2024)
- Description of Portman Ridge Finance Corporation's Registered Securities (KCAP Financial, Inc., Filed With SEC on March 13, 2024)
- Tenth Supplemental Indenture, dated as of March 12, 2024, between Lazard Group LLC and The Bank of New York Mellon, as trustee (Lazard Ltd, Filed With SEC on March 12, 2024)
- Underwriting Agreement, dated March 6, 2024, among Lazard Group LLC and Citigroup Global Markets Inc., as representative of the several underwriters listed on Schedule I thereto (Lazard Ltd, Filed With SEC on March 12, 2024)
- Second Amendment, dated as of March 8, 2024, to the Credit Agreement, dated as of November 30, 2018, as amended as of August 6, 2018 and as assumed by BGC Group, Inc. as of... (BGC Partners, Inc., Filed With SEC on March 12, 2024)
- Third Supplemental Indenture, dated as of March 11, 2024, relating to the 6.375% Notes due 2027, by and between the Company and Computershare Trust Company, National Association... (Goldman Sachs BDC, Inc., Filed With SEC on March 11, 2024)
- Underwriting Agreement, dated March 6, 2024, by and among Goldman Sachs BDC, Inc., Goldman Sachs Asset Management, L.P. and BofA Securities, Inc., as representative of the several... (Goldman Sachs BDC, Inc., Filed With SEC on March 11, 2024)
- Description of Securities (MONROE CAPITAL Corp, Filed With SEC on March 11, 2024)
- Form of Restricted Cash Award Agreement (Stifel Financial Corp, Filed With SEC on March 8, 2024)
- Underwriting Agreement, dated March 4, 2024, among the Company, HLA, Morgan Stanley & Co. LLC and the selling stockholder referenced therein (Hamilton Lane INC, Filed With SEC on March 7, 2024)
- CME Group Inc. Fourth Amendment and Restated Omnibus Stock Plan (As amended and restated effective March 1, 2024) (CME Group Inc., Filed With SEC on March 7, 2024)
- Bridge Investment Group Holdings Inc (Bridge Investment Group Holdings Inc., Filed With SEC on March 7, 2024)