Security brokers, dealers & flotation companies Sample Contracts

Marketaxess Holdings IncRESTRICTED STOCK UNIT AGREEMENT PURSUANT TO THE MARKETAXESS HOLDINGS INC. 2020 EQUITY INCENTIVE PLAN (February 19th, 2021)

THIS RESTRICTED STOCK UNIT AGREEMENT (this “Agreement”), is made as of xxx (the “Grant Date”) by and between MarketAxess Holdings Inc. (the “Company”) and xxx (the “Participant”).

Marketaxess Holdings IncINCENTIVE STOCK OPTION AGREEMENT (February 19th, 2021)

AGREEMENT (“Agreement”), dated as of Award Date by and between MarketAxess Holdings Inc. (the “Company”) and xxx (the “Participant”).

Marketaxess Holdings IncRESTRICTED STOCK UNIT AGREEMENT PURSUANT TO THE MARKETAXESS HOLDINGS INC. 2020 EQUITY INCENTIVE PLAN (February 19th, 2021)

THIS RESTRICTED STOCK UNIT AGREEMENT (this “Agreement”), is made as of Award Date (the “Grant Date”) by and between MarketAxess Holdings Inc. (the “Company”) and xxx (the “Participant”).

Waddell & Reed Financial IncWADDELL & REED FINANCIAL, INC. RESTRICTED STOCK UNIT AWARD AGREEMENT (February 19th, 2021)

WADDELL & REED FINANCIAL, INC., a corporation organized and existing under the laws of the state of Delaware (or any successor corporation) (the "Company"), does hereby grant and give unto the "Awardee", an award of Restricted Stock Units (the "RSUs") upon the terms and conditions hereinafter set forth (the "Award").

Marketaxess Holdings IncPERFORMANCE STOCK UNIT AGREEMENT PURSUANT TO THE MARKETAXESS HOLDINGS INC. 2020 EQUITY INCENTIVE PLAN (February 19th, 2021)

THIS PERFORMANCE STOCK UNIT AGREEMENT (this “Agreement”), is made as of Award Date (the “Grant Date”) by and between MarketAxess Holdings Inc. (the “Company”) and xxx (the “Participant”).

Marketaxess Holdings IncRESTRICTED STOCK AWARD AGREEMENT PURSUANT TO THE (February 19th, 2021)

MarketAxess Holdings Inc., a Delaware corporation with its principal office at 55 Hudson Yards, 15th Floor, New York, NY 10001(the “Company”), and xxx (the “Participant”).

Marketaxess Holdings IncMarketAxess Europe limited 5 Aldermanbury Square, (February 19th, 2021)

Reference is made to that certain Severance Protection Agreement between you and MarketAxess Europe Limited, dated as of [__________] (the “Severance Agreement”). Capitalized terms that are used but not defined in this letter will have the meanings given to them in the Severance Agreement.

Marketaxess Holdings IncRESTRICTED STOCK UNIT AGREEMENT PURSUANT TO THE MARKETAXESS HOLDINGS INC. 2020 EQUITY INCENTIVE PLAN (February 19th, 2021)

THIS RESTRICTED STOCK UNIT AGREEMENT (this “Agreement”), is made as of Award Date (the “Grant Date”) by and between MarketAxess Holdings Inc. (the “Company”) and xxx (the “Participant”).

Waddell & Reed Financial IncWADDELL & REED FINANCIAL, INC. RESTRICTED STOCK UNIT AWARD AGREEMENT (February 19th, 2021)

WADDELL & REED FINANCIAL, INC., a corporation organized and existing under the laws of the state of Delaware (or any successor corporation) (the "Company"), does hereby grant and give unto the "Awardee", an award of Restricted Stock Units (the "RSUs") upon the terms and conditions hereinafter set forth (the "Award").

Marketaxess Holdings IncRESTRICTED STOCK AWARD AGREEMENT PURSUANT TO THE (February 19th, 2021)

WHEREAS, the Board of Directors of the Company (the “Board”) adopted, and the stockholders of the Company approved, the MarketAxess Holdings Inc. 2020 Equity Incentive Plan (as may be amended and/or restated from time to time) (the “Plan”);

Marketaxess Holdings IncMarketAxess Holdings Inc. 55 Hudson Yards Floor 15 (February 19th, 2021)

Reference is made to that certain Severance Protection Agreement between you and MarketAxess Holdings Inc., dated as of [__________] (the “Severance Agreement”). Capitalized terms that are used but not defined in this letter will have the meanings given to them in the Severance Agreement.

Marketaxess Holdings IncRESTRICTED STOCK AWARD AGREEMENT PURSUANT TO THE (February 19th, 2021)

MarketAxess Holdings Inc., a Delaware corporation with its principal office at 55 Hudson Yards, 15th Floor, New York, NY 10001(the “Company”), and xxx (the “Participant”).

Waddell & Reed Financial IncJOINT FILING AGREEMENT (February 12th, 2021)

Waddell & Reed Financial, Inc., and Ivy Investment Management Company (the “Filing Persons”), hereby agree to file jointly a Schedule 13G and any amendments thereto relating to the aggregate ownership by each of the Filing Persons of any voting equity security of a class which is registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, as required by Rule 13d-1 and Rule 13d-2 promulgated under the Securities Exchange Act of 1934. Each of the Filing Persons agrees that the information set forth in such Schedule 13G and any amendments thereto with respect to such Filing Person will be true, complete and correct as of the date of such Schedule 13G or such amendment, to the best of such Filing Person’s knowledge and belief, after reasonable inquiry. Each of the Filing Persons makes no representations as to the accuracy or adequacy of the information set forth in the Schedule 13G or any amendments thereto with respect to any other Filing Person. Each of the Fili

Waddell & Reed Financial IncJOINT FILING AGREEMENT (February 12th, 2021)

Waddell & Reed Financial, Inc., and Ivy Investment Management Company (the “Filing Persons”), hereby agree to file jointly a Schedule 13G and any amendments thereto relating to the aggregate ownership by each of the Filing Persons of any voting equity security of a class which is registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, as required by Rule 13d-1 and Rule 13d-2 promulgated under the Securities Exchange Act of 1934. Each of the Filing Persons agrees that the information set forth in such Schedule 13G and any amendments thereto with respect to such Filing Person will be true, complete and correct as of the date of such Schedule 13G or such amendment, to the best of such Filing Person’s knowledge and belief, after reasonable inquiry. Each of the Filing Persons makes no representations as to the accuracy or adequacy of the information set forth in the Schedule 13G or any amendments thereto with respect to any other Filing Person. Each of the Fili

Waddell & Reed Financial IncJOINT FILING AGREEMENT (February 12th, 2021)

Waddell & Reed Financial, Inc., and Ivy Investment Management Company (the “Filing Persons”), hereby agree to file jointly a Schedule 13G and any amendments thereto relating to the aggregate ownership by each of the Filing Persons of any voting equity security of a class which is registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, as required by Rule 13d-1 and Rule 13d-2 promulgated under the Securities Exchange Act of 1934. Each of the Filing Persons agrees that the information set forth in such Schedule 13G and any amendments thereto with respect to such Filing Person will be true, complete and correct as of the date of such Schedule 13G or such amendment, to the best of such Filing Person’s knowledge and belief, after reasonable inquiry. Each of the Filing Persons makes no representations as to the accuracy or adequacy of the information set forth in the Schedule 13G or any amendments thereto with respect to any other Filing Person. Each of the Fili

Waddell & Reed Financial IncJOINT FILING AGREEMENT (February 12th, 2021)

Waddell & Reed Financial, Inc., and Ivy Investment Management Company (the “Filing Persons”), hereby agree to file jointly a Schedule 13G and any amendments thereto relating to the aggregate ownership by each of the Filing Persons of any voting equity security of a class which is registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended, as required by Rule 13d-1 and Rule 13d-2 promulgated under the Securities Exchange Act of 1934. Each of the Filing Persons agrees that the information set forth in such Schedule 13G and any amendments thereto with respect to such Filing Person will be true, complete and correct as of the date of such Schedule 13G or such amendment, to the best of such Filing Person’s knowledge and belief, after reasonable inquiry. Each of the Filing Persons makes no representations as to the accuracy or adequacy of the information set forth in the Schedule 13G or any amendments thereto with respect to any other Filing Person. Each of the Fili

Wu TianhuaEXHIBIT A JOINT FILING AGREEMENT (February 10th, 2021)

In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the ordinary shares, par value of $0.00001 per share or American Depositary Shares, of UP Fintech Holding Limited, a Cayman Islands company, and that this Agreement may be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.

Cohen & Co Inc.AMENDMENT NO. 3 TO EMPLOYMENT AGREEMENT (February 5th, 2021)

This Amendment No. 3 to EMPLOYMENT AGREEMENT (this “Amendment”) is executed as of February 3, 2021 (the “Effective Date”), by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and Joseph W. Pooler, Jr. (“Executive”).

BlackRock Inc.STOCK PURCHASE AGREEMENT (February 3rd, 2021)

This Stock Purchase Agreement (the “Agreement”), dated as of January 29, 2021, is by and between Tennenbaum Capital Partners LLC, on behalf of Tennenbaum Opportunities Fund VI, LLC (the “Seller”) and Euroseas Ltd. (the “Company” and together with the Seller, each individually a “Party” and collectively the “Parties”).

BlackRock Inc.STOCK PURCHASE AGREEMENT (February 3rd, 2021)

This Stock Purchase Agreement (the “Agreement”), dated as of January 29, 2021, is by and between Tennenbaum Capital Partners LLC, on behalf of Tennenbaum Opportunities Fund VI, LLC (the “Seller”) and Eurodry Ltd. (the “Company” and together with the Seller, each individually a “Party” and collectively the “Parties”).

Stifel Financial CorpSTIFEL FINANCIAL CORP. RESTRICTED CASH AWARD AGREEMENT (February 2nd, 2021)

Stifel Financial Corp., a Delaware corporation including its past, present or future affiliates, subsidiaries, predecessors and successors (collectively, “Stifel” or the “Corporation”), in exercising its discretion with respect to your eligibility for incentive and retention compensation for performance calendar year 2020 (the “2020 Cash Award”) shall advance the 2020 Cash Award which will be earned and vest over time, with any advanced but unearned and unvested amount subject to repayment under the terms and conditions described herein (the “Agreement”).

Navient CorpNAVIENT CORPORATION, as Company, and THE BANK OF NEW YORK MELLON, as Trustee TWELFTH SUPPLEMENTAL INDENTURE Dated as of February 2, 2021 to INDENTURE Dated as of July 18, 2014 4.875% Senior Notes due 2028 (February 2nd, 2021)

TWELFTH SUPPLEMENTAL INDENTURE, dated as of February 2, 2021 (this “Supplemental Indenture”), between Navient Corporation, a Delaware corporation (the “Company”), and The Bank of New York Mellon, a New York banking corporation, as trustee (the “Trustee”).

Navient CorpNAVIENT CORPORATION Underwriting Agreement (February 2nd, 2021)

Navient Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to the several Underwriters listed in Schedule 1 hereto (the “Underwriters”), for whom you are collectively acting as the representatives (the “Representatives”), $500,000,000 principal amount of its 4.875% Senior Notes due 2028 (the “Securities”). The Securities will be issued pursuant to an Indenture, dated as of July 18, 2014 (the “Base Indenture”), between the Company and The Bank of New York Mellon, as trustee (the “Trustee”), as amended by a Twelfth Supplemental Indenture to be dated as of February 2, 2021 (the “Twelfth Supplemental Indenture” and together with the Base Indenture, the “Indenture”).

Morgan StanleyNew York Northern California Washington DC São Paulo London Paris Madrid Hong Kong Beijing Tokyo (January 19th, 2021)
Morgan StanleyWe have acted as counsel to Eaton Vance Corp., a Maryland corporation (“Eaton Vance”) in connection with the Agreement and Plan of Merger dated as of October 7, 2020 (the “Agreement”) among Eaton Vance, Morgan Stanley, a Delaware corporation (“Morgan ... (January 19th, 2021)

This opinion is being delivered to you in connection with the filing of a registration statement of Morgan Stanley on Form S-4 with the Securities and Exchange Commission (as amended and supplemented through the date hereof, the “Registration Statement”), which includes the joint information statement/prospectus relating to the Agreement (as amended and supplemented through the date hereof, the “Joint Information Statement/Prospectus”). Except as otherwise provided, capitalized terms not defined herein have the meanings set forth in the Agreement.

Lion Group Holding LTDStrategic Cooperation Agreement (January 8th, 2021)

This Strategic Cooperation Agreement (“this Agreement”) is signed by the following parties in the Hong Kong Special Administrative Region of China on 6 January 2021.

Jefferies Group LLCBACKSTOP COMMITMENT AGREEMENT (January 7th, 2021)

This proposed Agreement is an offer, and does not constitute a legally binding or enforceable agreement of any type or nature on the Parties until duly authorized, countersigned and delivered by the Company to the Backstop Parties and upon entry of an order of the Bankruptcy Court approving the Transaction. This offer will automatically expire with no further force or effect if the Backstop Parties are not the winning bidder or the alternate bidder (as defined in the Bidding Procedures Order) at the Auction.

Lion Group Holding LTDASSET ACQUISITION AGREEMENT (December 29th, 2020)

THIS ASSET ACQUISITION AGREEMENT (the “Agreement”), made as of 25 December, 2020 (the “Effective Date”), by and among Hangzhou Lanlian Technology Co., Ltd. 杭州蓝链科技有限公司 (the “Seller”), and Lion Group Holding Ltd. or any entity designated by Lion Group Holding Ltd. (“the “Buyer”). Seller and Buyer, individually are referred to herein as a “Party,” and collectively as the “Parties”.

Jefferies Group LLCJOINT FILING AGREEMENT (December 21st, 2020)

The undersigned and each other person executing this Agreement are responsible for the timely filing of such Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of the undersigned or any other person executing this Agreement is responsible for the completeness or accuracy of the information statement concerning any other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.

Lion Group Holding LTDSHARE SUBSCRIPTION AGREEMENT dated December 19, 2020 by and between LION GROUP HOLDING LTD and YUN TIAN INVESTMENT LIMITED (December 21st, 2020)

This SHARE SUBSCRIPTION AGREEMENT (the “Agreement”), dated December 19, 2020, between LION GROUP HOLDING LTD, a Cayman Islands exempted company (the “Company”), and YUN TIAN INVESTMENT LIMITED, a company established and existing under the laws of Hong Kong (the “Subscriber”). The Company and the Subscriber are each referred to herein individually as a “Party” and collectively as the “Parties”.

Lion Group Holding LTDSECURITIES PURCHASE AGREEMENT (December 16th, 2020)

This Securities Purchase Agreement (this “Agreement”) is dated as of December 11, 2020, between Lion Group Holding Ltd., a Cayman Islands exempted company (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”).

Lion Group Holding LTDSECURITY AGREEMENT (December 16th, 2020)

This SECURITY AGREEMENT, dated as of December 14, 2020 (this “Agreement”), is among Lion Group Holding Ltd., a Cayman Islands exempted company (the “Company”), Lion Wealth Limited, Lion Foreign Exchange Limited and Lion Wealth Management Limited (such subsidiaries, the “Guarantors” and together with the Company, the “Debtors”) and the holders of the Company’s 9% Senior Secured Convertible Debentures due 30 months following their issuance, in the original aggregate principal amount of $1,600,000 (collectively, the “Debentures”) signatory hereto, their endorsees, transferees and assigns (collectively, the “Secured Parties”).

Lion Group Holding LTDREGISTRATION RIGHTS AGREEMENT (December 16th, 2020)

This Registration Rights Agreement (this “Agreement”) is made and entered into as of December 11, 2020, between Lion Group Holding Ltd., a Cayman Islands exempted company (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”).

Lion Group Holding LTDSUBSIDIARY GUARANTEE (December 16th, 2020)

SUBSIDIARY GUARANTEE, dated as of December 14, 2020 (this “Guarantee”), made by each of the signatories hereto (together with any other entity that may become a party hereto as provided herein, the “Guarantors”), in favor of the purchasers signatory (together with their permitted assigns, the “Purchasers”) to that certain Securities Purchase Agreement, dated as of the date hereof, between Lion Group Holding Ltd. (the “Company”) and the Purchasers.

Schwab Charles CorpTHE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 0.900% Senior Notes due 2026 1.650% Senior Notes due 2031 Fifteenth Supplemental Indenture Dated as of December 11, 2020 to Senior Indenture dated ... (December 11th, 2020)

FIFTEENTH SUPPLEMENTAL INDENTURE, dated as of December 11, 2020 (“Supplemental Indenture”), to the Indenture dated as of June 5, 2009 (as amended, modified or supplemented from time to time in accordance therewith, other than with respect to a particular series of debt securities, the “Base Indenture” and, as amended, modified and supplemented by this Supplemental Indenture, the “Indenture”), by and among THE CHARLES SCHWAB CORPORATION (the “Company”), and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as trustee (the “Trustee”).