0001104659-22-122823.txt : 20221129
0001104659-22-122823.hdr.sgml : 20221129
20221129140041
ACCESSION NUMBER: 0001104659-22-122823
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221128
FILED AS OF DATE: 20221129
DATE AS OF CHANGE: 20221129
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DAWSON G STEVEN
CENTRAL INDEX KEY: 0001020944
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798]
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32026
FILM NUMBER: 221431209
MAIL ADDRESS:
STREET 1: CIRA CENTRE
STREET 2: 2929 ARCH STREET, 17TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104-2870
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cohen & Co Inc.
CENTRAL INDEX KEY: 0001270436
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 161685692
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: CIRA CENTRE, 2929 ARCH STREET
STREET 2: 17TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104-2870
BUSINESS PHONE: 215-701-9555
MAIL ADDRESS:
STREET 1: CIRA CENTRE, 2929 ARCH STREET
STREET 2: 17TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104-2870
FORMER COMPANY:
FORMER CONFORMED NAME: INSTITUTIONAL FINANCIAL MARKETS, INC.
DATE OF NAME CHANGE: 20110121
FORMER COMPANY:
FORMER CONFORMED NAME: COHEN & Co INC.
DATE OF NAME CHANGE: 20091216
FORMER COMPANY:
FORMER CONFORMED NAME: ALESCO FINANCIAL INC
DATE OF NAME CHANGE: 20061006
4
1
tm2231500-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-11-28
0
0001270436
Cohen & Co Inc.
COHN
0001020944
DAWSON G STEVEN
C/O COHEN & CO INC.,
2929 ARCH STREET, SUITE 1703
PHILADELPHIA
PA
19104-2870
1
0
0
0
Common Stock, par value $0.01 per share
2022-11-28
4
S
0
254
8.54
D
26716
I
By Regents Gate Associates LLC
The Reporting Person is the primary trustee and sole beneficiary of Corriente Private Trust and, through Corriente Private Trust, he has voting and investment control with respect to the securities held therein. Corriente Private Trust is one of the two members of Regents Gate Associates, LLC, the other member is the Reporting Person's spouse's trust. The Reporting Person disclaims any interest in the securities beyond his pecuniary interest.
/s/ Joseph W. Pooler, Jr., as attorney-in-fact
2022-11-29