Statement of Changes in Beneficial Ownership (4)
20 Décembre 2022 - 04:46PM
Edgar (US Regulatory)
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FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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| 1. Name
and Address of Reporting Person * COHEN DANIEL
G |
2. Issuer Name and Ticker or Trading
Symbol Cohen & Co Inc. [ COHN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director __X__
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Executive Chairman |
|
(Last)
(First)
(Middle)
C/O COHEN & CO INC.,, 2929 ARCH STREET, 17TH
FLOOR |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/20/2022
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(Street)
PHILADELPHIA, PA 19104-2870
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock, par value $0.01 per
share |
|
|
|
|
|
|
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24017 |
D |
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Common Stock, par value $0.01 per
share |
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|
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|
|
|
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80000 |
I |
By EBC 2013 Family Trust |
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Common Stock, par value $0.01 per
share |
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|
|
|
|
|
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78740 |
I |
By Cohen Bros. Financial,
LLC |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Cohen & Company, LLC Membership
Units |
(1) |
12/20/2022 |
|
A |
|
211000 |
|
(1) |
(1) |
Common Stock, par value $0.01 per
share |
21100 (1) |
$0.00 |
23476355 |
D (2) |
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| Explanation of
Responses: |
| (1) |
Mr. Cohen was awarded
211,000 restricted membership units ("Units") in Cohen &
Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co
Inc. (the "Company"), under the Company's 2020 Long-Term Incentive
Plan, as amended. The restrictions expire with respect to one-third
of the Units on each of January 31, 2024, January 31, 2025 and
January 31, 2026. Following the expiration of the restrictions on
the applicable Units, Mr. Cohen may cause the Operating LLC to
redeem such Units at any time thereafter for, at the Company's
option, (i) cash or (ii) one share of the Company's common stock
for every ten Units. |
| (2) |
5,252,002 membership units
in the Operating LLC are owned by Cohen Bros. Financial, LLC, a
Delaware limited liability company of which Mr. Cohen is the sole
member. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
COHEN DANIEL G
C/O COHEN & CO INC.,
2929 ARCH STREET, 17TH FLOOR
PHILADELPHIA, PA 19104-2870 |
X |
X |
Executive Chairman |
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Signatures
|
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/s/ Joseph W. Pooler, Jr., as
attorney-in-fact |
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12/20/2022 |
| **Signature
of Reporting Person |
Date |
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Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
| * |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
| ** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
|
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
Cohen & (AMEX:COHN)
Graphique Historique de l'Action
De Mar 2023 à Avr 2023
Cohen & (AMEX:COHN)
Graphique Historique de l'Action
De Avr 2022 à Avr 2023
