Waddell & Reed Financial Inc Sample Contracts
ADDENDUM TO SERVICES AGREEMENTServices Agreement • March 19th, 1999 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Standard Contracts
Exhibit 10.21 ------------- ADMINISTRATIVE SERVICES AGREEMENT This Agreement is made, executed and entered into this 3rd day of March, 1998, by and between Torchmark Corporation, a Delaware corporation having its principal offices in Birmingham,...Administrative Services Agreement • May 15th, 1998 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Kansas
WITNESSETH:Investment Management Agreement • March 19th, 1999 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Exhibit 10.6 FUND PARTICIPATION AGREEMENT This Fund Participation Agreement ("Agreement"), dated as of the 1st day of December, 2000 is made by and between Nationwide Life Insurance Company and/or Nationwide Life and Annuity Insurance Company...Fund Participation Agreement • March 19th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Ohio
EXHIBIT 1.1 WADDELL & REED FINANCIAL, INC. (a Delaware corporation) 7.50% Notes due January 18, 2006 PURCHASE AGREEMENT Dated: January 12, 2001Purchase Agreement • February 5th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • New York
EXHIBIT 2.1 STOCK PURCHASE AGREEMENTStock Purchase Agreement • November 14th, 2002 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Delaware
AND CHASE MANHATTAN TRUST COMPANY NATIONAL ASSOCIATION AS TRUSTEE INDENTUREIndenture • February 5th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • New York
Exhibit 10.14 CREDIT AGREEMENTCredit Agreement • March 19th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • New York
RIGHTS AGREEMENTRights Agreement • August 13th, 1999 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Delaware
TERMS OF AWARDRestricted Stock Award Agreement • February 12th, 2003 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Kansas
Exhibit 10.27 CREDIT AGREEMENT dated as of October 14, 1999 among WADDELL & REED FINANCIAL, INC., The Lenders Party Hereto, and THE CHASE MANHATTAN BANK, as Administrative Agent. BANK OF AMERICA, NA, as Documentation Agent DEUTSCHE BANK AG, as...Credit Agreement • March 23rd, 2000 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • New York
RIGHTS AGREEMENT RIGHTS AGREEMENT, dated as of April 28, 1999 (the "Agreement"), between WADDELL & REED FINANCIAL, INC., a Delaware corporation (the "Company"), and FIRST CHICAGO TRUST COMPANY OF NEW YORK, a New York corporation (the "Rights Agent")....Rights Agreement • May 6th, 1999 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Delaware
Exhibit 10.22 SHAREHOLDER SERVICING AGREEMENT THIS AGREEMENT, made as of the ____ day of _____________, 2000, by and between ________________________________________ (the "Company"), and Waddell & Reed Services Company (the "Agent"), W I T N E S S E T...Shareholder Servicing Agreement • March 19th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Kansas
WITNESSETH:Investment Management Agreement • March 19th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
WITNESSETH:Accounting Services Agreement • March 19th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Exhibit 2.1 AGREEMENT AND PLAN OF MERGERMerger Agreement • March 19th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Delaware
July 8, 1999 Mr. Robert Hechler President Waddell & Reed, Inc. 6300 Lamar Shawnee Mission, KS 66202 Dear Bob: As you requested, this letter will set forth some details of the agreement that we reached over the telephone on Wednesday, July 7....Compensation Agreement • March 12th, 2002 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
As you requested, this letter will set forth some details of the agreement that we reached over the telephone on Wednesday, July 7.
EXHIBIT 10.15 SECOND AMENDMENT OF PRINCIPAL UNDERWRITING AGREEMENT This amendment ("Second Amendment") to the Principal Underwriting Agreement, dated May 1, 1990 ("Principal Underwriting Agreement") by and between United Investors Life Insurance...Principal Underwriting Agreement • March 19th, 1999 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Exhibit 10.29 CONSULTING AGREEMENT This Consulting Agreement (this "Agreement") is made to be effective as of January 1, 2002 (the "Effective Date") by and between Waddell & Reed, Inc., a Delaware corporation (the "Company"), and Robert L. Hechler...Consulting Agreement • March 12th, 2002 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Kansas
EXHIBIT 10.37 CUSTODIAN AGREEMENTCustodian Agreement • March 19th, 1999 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
CREDIT AGREEMENTCredit Agreement • March 12th, 2002 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • New York
PURCHASE AGREEMENTPurchase Agreement • April 14th, 2000 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • New York
Exhibit 4.4 FIRST AMENDMENT TO RIGHTS AGREEMENT THIS FIRST AMENDMENT TO RIGHTS AGREEMENT (this "Amendment"), dated to be effective as of February 14, 2001, is between WADDELL & REED FINANCIAL, INC., a Delaware corporation (the "Company"), and FIRST...Rights Agreement • March 19th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
WADDELL & REED FINANCIAL, INC. AND COMPUTERSHARE TRUST COMPANY, N.A., as Rights Agent RIGHTS AGREEMENT dated as of April 8, 2009Rights Agreement • April 10th, 2009 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Delaware
This Rights Agreement, dated as of April 8, 2009 (this “Agreement”), is between WADDELL & REED FINANCIAL, INC., a Delaware corporation (the “Company”), and COMPUTERSHARE TRUST COMPANY, N.A., a national banking association (the “Rights Agent”).
EXHIBIT 1Joint Filing Agreement • August 8th, 2002 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Waddell & Reed Financial, Inc., Waddell & Reed Financial Services, Inc., Waddell & Reed, Inc. and Waddell & Reed 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 ame
EXHIBIT 1.1 _______________ SHARES WADDELL & REED FINANCIAL, INC. SHARES OF CLASS A COMMON STOCK, $.01 PAR VALUE PER SHARE UNDERWRITING AGREEMENT February , 1998 January , 1998 Morgan Stanley & Co. Incorporated c/o Morgan Stanley & Co. Incorporated...Underwriting Agreement • January 30th, 1998 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • New York
JOINT FILING AGREEMENTJoint Filing Agreement • February 14th, 2018 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Waddell & Reed Financial, Inc., Waddell & Reed Financial Services, Inc., Waddell & Reed, Inc., Waddell & Reed Investment Management Company 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 f
Exhibit 4.1(b) WADDELL & REED FINANCIAL, INC $200,000,000 7.50 % Notes due January 18, 2006 First Supplemental Indenture Dated as of January 18, 2001 CHASE MANHATTAN TRUST COMPANY, NATIONAL ASSOCIATIONFirst Supplemental Indenture • February 5th, 2001 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • New York
Exhibit 10.3 ------------ INVESTMENT SERVICES AGREEMENTInvestment Services Agreement • May 15th, 1998 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Kansas
EXHIBIT 1Joint Filing Agreement • January 30th, 2004 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Waddell & Reed Financial, Inc., Waddell & Reed Financial Services, Inc., Waddell & Reed, Inc. and Waddell & Reed 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 ame
JOINT FILING AGREEMENTJoint Filing Agreement • August 10th, 2010 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Waddell & Reed Financial, Inc., Waddell & Reed Financial Services, Inc., Waddell & Reed, Inc., Waddell & Reed Investment Management Company 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 f
Exhibit 10.28 ADMINISTRATIVE AGREEMENT THIS ADMINISTRATIVE AGREEMENT ("Agreement") is entered into as of the 9TH day of MARCH, 2001, by and between, W & R Insurance Agency, Inc., a licensed insurance agency, on its own behalf and on behalf of its...Administrative Agreement • March 12th, 2002 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Pennsylvania
Exhibit 10.30 DECEMBER 14, 2001 Mr. _________________ WADDELL & REED FINANCIAL, INC. 6300 LAMAR AVENUE OVERLAND PARK, KANSAS 66202 RE: CHANGE IN CONTROL EMPLOYMENT AGREEMENT Dear Mr. _____________: Waddell & Reed Financial, Inc., a Delaware...Change in Control Employment Agreement • March 12th, 2002 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
INDEMNIFICATION AGREEMENTIndemnification Agreement • November 16th, 2009 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies • Delaware
THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made and entered into as of November 13, 2009, between Waddell & Reed Financial, Inc., a Delaware corporation (the “Company”), and (“Indemnitee”).
JOINT FILING AGREEMENTJoint Filing Agreement • October 9th, 2007 • Waddell & Reed Financial Inc • Security brokers, dealers & flotation companies
Waddell & Reed Financial, Inc., Waddell & Reed Financial Services, Inc., Waddell & Reed, Inc., Waddell & Reed Investment Management Company 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 f
