Filing Details

Accession Number:
0001104659-19-053028
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-10-04 06:01:15
Reporting Period:
2019-10-02
Accepted Time:
2019-10-04 06:01:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1270436 Cohen & Co Inc. COHN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1247745 G Daniel Cohen C/o Cohen & Co Inc.,
2929 Arch Street, 17Th Floor
Philadelphia PA 19104-2870
Chairman And Ce Europe Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share Acquisiton 2019-10-02 76,240 $0.00 76,240 No 4 P Indirect By Cohen Bros. Financial, LLC
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Cohen Bros. Financial, LLC
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, Par Value $0.01 Per Share Cohen & Company, LLC Membership Units Acquisiton 2019-10-02 268,445 $0.00 26,845 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,252,002 No 4 P Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share 64,113 Direct
Common Stock, Par Value $0.01 Per Share 80,000 Indirect By EBC 2013 Family Trust
Footnotes
  1. Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260.
  2. Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units.