Item 1.01. Entry into a Material Definitive Agreement.
On
The Amendments were entered into in connection with The Charles Schwab
Corporation's ("Schwab") pending acquisition of the Company (the "Merger")
pursuant to that certain Agreement and Plan of Merger, dated as of
Additionally, the AMTD Amendment contemplates additional modifications that are conditioned on, among other things, the consummation of the Merger and the provision of a parent guarantee from Schwab. If such conditions are satisfied, certain financial covenant and reporting obligations will be modified as set forth in the AMTD Amendment.
The foregoing description of the Amendments is qualified in its entirety by reference to the full text of each Amendment, copies of which are attached hereto as Exhibit 10.1 and Exhibit 10.2, respectively, and incorporated by reference herein.
Item 2.03. Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance Sheet Arrangement of a Registrant.
The disclosure provided under Item 1.01 of this Current Report on Form 8-K is hereby incorporated by reference into this Item 2.03.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits. Exhibit No. Description 10.1 First Amendment, dated as ofAugust 3, 2020 , to Credit Agreement, datedApril 21, 2017 , amongTD Ameritrade Holding Corporation , the lenders party thereto andJPMorgan Chase Bank, N.A ., as administrative agent. 10.2 Second Amendment, dated as ofAugust 3, 2020 , to Credit Agreement, datedApril 21, 2017 , amongTD Ameritrade Clearing, Inc. , the lenders party thereto andJPMorgan Chase Bank, N.A ., as administrative agent. 104 Cover Page Interactive Data File (formatted as inline XBRL document).
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Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
TD AMERITRADE HOLDING CORPORATION Date: August 3, 2020 By: /s/ Jon C. Peterson Name: Jon C. Peterson Title: Interim Chief Financial Officer
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