0001104659-23-128242.txt : 20231221 0001104659-23-128242.hdr.sgml : 20231221 20231221162505 ACCESSION NUMBER: 0001104659-23-128242 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231221 FILED AS OF DATE: 20231221 DATE AS OF CHANGE: 20231221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pooler Joseph W. Jr. CENTRAL INDEX KEY: 0001478247 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32026 FILM NUMBER: 231505618 MAIL ADDRESS: STREET 1: 2929 ARCH STREET STREET 2: 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] 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 tm2333248-8_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-12-21 0 0001270436 Cohen & Co Inc. COHN 0001478247 Pooler Joseph W. Jr. C/O COHEN & CO INC., 2929 ARCH STREET, SUITE 1703 PHILADELPHIA PA 19104-2870 0 1 0 0 EVP, CFO and Treasurer 0 Common Stock, par value $0.01 per share 2023-12-21 4 A 0 15500 0.00 A 73137 D Mr. Pooler was awarded 15,500 shares of restricted common stock of Cohen & Company Inc. (the "Company") under the Company's 2020 Long-Term Incentive Plan, as amended. The restrictions expire with respect to one-third of the shares on each of January 31, 2025, January 31, 2026 and January 31, 2027. /s/ Joseph W. Pooler, Jr. 2023-12-21