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