PLEDGE AND SECURITY AGREEMENTPledge and Security Agreement • December 23rd, 2014 • Ricketts J Joe • Security brokers, dealers & flotation companies • New York
PLEDGE AND SECURITY AGREEMENT (this "Agreement"), dated as of the date of the Master Agreement referred to herein, among UBS AG (London Branch) (the "Options Office"), pledgor(s) named on the signature page of this agreement (the "Pledgor"), UBS AG (Stamford Branch), as Collateral Agent for the Secured Parties (as defined herein) (the "Collateral Agent"), and, (A) when an Amendment in the form attached as Attachment I shall have been executed, such lender as may execute an Amendment (the "Lender") or (B) if a registered broker-dealer or financial institution shall have executed this Agreement as a Securities Intermediary, as that term is defined in the UCC, such institution in its capacity as Securities Intermediary (the "Securities Intermediary"). The Options Office and the Pledgor have entered into a Master Agreement for Equity Options dated as of the date hereof (the "Master Agreement"), pursuant to which the Options Office and the Pledgor may enter into Options (as defined in the M
MASTER AGREEMENT FOR EQUITY OPTIONS UBS AGMaster Agreement for Equity Options • December 23rd, 2014 • Ricketts J Joe • Security brokers, dealers & flotation companies • New York
In connection with transactions between you (the "Counterparty") and UBS AG ("UBS") in over-the-counter derivatives ("Options"), we are pleased to offer you this Master Agreement for Equity Options (this "Master Agreement"), dated as of the date shown above. Unless otherwise stated in the confirmation of a transaction, UBS AG, London Branch (the "Transacting Branch") will be your counterparty for all Options. UBS Securities LLC (the "Agent"), will act as agent for both the Transacting Branch and for you in arranging and facilitating Option transactions. At the same time you execute this Master Agreement with us, you will enter into a Pledge and Security Agreement with us and others (the "Security Agreement") and a related Representation Letter Regarding Underlying Shares (the "Representation Letter"). This Master Agreement, all Confirmations hereunder, the Representation Letter and the Security Agreement shall form a single agreement between us (collectively referred to as this "Agreem
Parties to the Stockholders AgreementStockholders Agreement • February 14th, 2005 • Ricketts J Joe • Security brokers, dealers & flotation companies
MASTER AGREEMENT FOR EQUITY OPTIONS UBS AGMaster Agreement for Equity Options • October 10th, 2013 • Ricketts J Joe • Security brokers, dealers & flotation companies • New York
In connection with transactions between you (the “Counterparty”) and UBS AG (“UBS”) in over-the-counter derivatives (“Options"), we are pleased to offer you this Master Agreement for Equity Options (this “Master Agreement”), dated as of the date shown above. Unless otherwise stated in the confirmation of a transaction, UBS AG, London Branch (the “Transacting Branch”) will be your counterparty for all Options. UBS Securities LLC (the “Agent”), will act as agent for both the Transacting Branch and for you in arranging and facilitating Option transactions. At the same time you execute this Master Agreement with us, you will enter into a Pledge and Security Agreement with us and others (the “Security Agreement”) and a related Representation Letter Regarding Underlying Shares (the “Representation Letter”). This Master Agreement, all Confirmations hereunder, the Representation Letter and the Security Agreement shall form a single agreement between us (collectively referred to as this “Agreem
PLEDGE AND SECURITY AGREEMENT among as Pledgor, UBS AG (London Branch), as Options Office, UBS AG (Stamford Branch), as Collateral Agent, and the other parties named hereinPledge and Security Agreement • October 10th, 2013 • Ricketts J Joe • Security brokers, dealers & flotation companies • New York
PLEDGE AND SECURITY AGREEMENT (this “Agreement”), dated as of the date of the Master Agreement referred to herein, among UBS AG (London Branch) (the “Options Office”), pledgor(s) named on the signature page of this agreement (the “Pledgor”), UBS AG (Stamford Branch), as Collateral Agent for the Secured Parties (as defined herein) (the “Collateral Agent”), and, (A) when an Amendment in the form attached as Attachment I shall have been executed, such lender as may execute an Amendment (the “Lender”) or (B) if a registered broker-dealer or financial institution shall have executed this Agreement as a Securities Intermediary, as that term is defined in the UCC, such institution in its capacity as Securities Intermediary (the “Securities Intermediary”). The Options Office and the Pledgor have entered into a Master Agreement for Equity Options dated as of the date hereof (the “Master Agreement”), pursuant to which the Options Office and the Pledgor may enter into Options (as defined in the M
JOINT FILING AGREEMENTJoint Filing Agreement • March 10th, 2006 • Ricketts J Joe • Security brokers, dealers & flotation companies
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the undersigned agrees to the joint filing of a Statement on Schedule 13D (including amendments thereto) with respect to the shares of Common Stock, par value $0.01 per share, of TD Ameritrade Holding Corporation, a Delaware corporation, and further agrees that this Joint Filing Agreement be included as an exhibit to such filings provided that, as contemplated by Rule 13d-1(k)(l)(ii), no person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. This Joint Filing Agreement may be executed in any number of counterparts, all of which together shall constitute one and the same instrument.
LIMITED WAIVER TO STOCKHOLDERS AGREEMENTLimited Waiver to Stockholders Agreement • October 23rd, 2009 • Ricketts J Joe • Security brokers, dealers & flotation companies • Delaware
This LIMITED WAIVER TO STOCKHOLDERS AGREEMENT (this “Limited Waiver”) is made and entered into this 29th day of September 2009 by and among TD AMERITRADE Holding Corporation (the “Company”), the stockholders of the Company listed on the signature pages hereto under the heading “R Parties” (collectively, the “R Parties”), The Toronto-Dominion Bank, a Canadian chartered bank (“TD Bank”), and TD Discount Brokerage Holdings LLC, a Delaware limited liability company and a direct, wholly-owned subsidiary of TD Bank (collectively with TD Bank, “TD”). Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in the Stockholders Agreement (defined below).
