0001104659-24-010046.txt : 20240202
0001104659-24-010046.hdr.sgml : 20240202
20240202161644
ACCESSION NUMBER: 0001104659-24-010046
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240201
FILED AS OF DATE: 20240202
DATE AS OF CHANGE: 20240202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: COHEN DANIEL G
CENTRAL INDEX KEY: 0001247745
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32026
FILM NUMBER: 24591648
MAIL ADDRESS:
STREET 1: 712 FIFTH AVENUE, 8TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cohen & Co Inc.
CENTRAL INDEX KEY: 0001270436
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
ORGANIZATION NAME: 02 Finance
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
tm244928-2_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-02-01
0
0001270436
Cohen & Co Inc.
COHN
0001247745
COHEN DANIEL G
C/O COHEN & CO INC.,
2929 ARCH STREET, SUITE 1703
PHILADELPHIA
PA
19104-2870
1
1
1
0
Executive Chairman
0
Cohen & Company, LLC Membership Units
2024-02-01
4
M
0
443474
0.711
D
Common Stock, par value $0.01 per share
44347
22764501
D
Mr. Cohen redeemed 443,474 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $315,310, or $0.711 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2024, of 940,669 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.
/s/ Joseph W. Pooler, Jr., as attorney-in-fact
2024-02-02