CONVERGEX HOLDINGS LLC c/o GTCR LLC Chicago, Illinois 60654 June 2, 2017Equity Total Return Swap Confirmation • June 12th, 2017 • ConvergEx Holdings, LLC • Security brokers, dealers & flotation companies
This Confirmation forms a part of, and is subject to, an agreement in the form of the ISDA 2002 Master Agreement (the “Agreement”) as if Convergex and ABH had executed the Agreement on the date of this Confirmation (but without any Schedule except for the election of New York law as the governing law (without reference to its choice of law provisions other than Title 14 of Article 5 of the New York General Obligations Law). The Transaction shall be the sole Transaction under the Agreement.
ESCROW AGREEMENTEscrow Agreement • June 12th, 2017 • ConvergEx Holdings, LLC • Security brokers, dealers & flotation companies • Delaware
This Escrow Agreement, dated this 31st day of May, 2017 (the “Escrow Agreement”), is entered into by and among Cowen CV Acquisition LLC, a Delaware limited liability company (the “Purchaser”), ConvergEx Holdings, LLC, a Delaware limited liability company (the “Seller” and, together with the Purchaser, the “Parties”), and Wilmington Trust N.A., as escrow agent (“Escrow Agent”).
SCHEDULE 13D JOINT FILING AGREEMENTJoint Filing Agreement • June 12th, 2017 • ConvergEx Holdings, LLC • Security brokers, dealers & flotation companies
In accordance with the requirements of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and subject to the limitations set forth therein, the parties set forth below agree to jointly file the Schedule 13D to which this joint filing agreement is attached, and have duly executed this joint filing agreement as of the date set forth below.
