0001104659-24-010036.txt : 20240202
0001104659-24-010036.hdr.sgml : 20240202
20240202161549
ACCESSION NUMBER: 0001104659-24-010036
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: Brafman Lester Raymond
CENTRAL INDEX KEY: 0001578554
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32026
FILM NUMBER: 24591617
MAIL ADDRESS:
STREET 1: C/O INSTITUTIONAL FINANCIAL MARKETS, INC
STREET 2: 2929 ARCH STREET, 17TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104
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
tm244928-1_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-02-01
0
0001270436
Cohen & Co Inc.
COHN
0001578554
Brafman Lester Raymond
C/O COHEN & CO INC.
2929 ARCH STREET, SUITE 1703
PHILADELPHIA
PA
19104-2870
0
1
0
0
Chief Executive Officer
0
Cohen & Company, LLC Membership Units
2024-02-01
4
M
0
483301
0.711
D
Common Stock, par value $0.01 per share
48330
1679309
D
Mr. Brafman redeemed 483,301 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $343,627, or $0.711 per Unit, in order to fund certain tax liabilities incurred by Mr. Brafman in connection with the vesting, on January 31, 2024, of 540,633 restricted membership units of the Operating LLC and 40,000 restricted shares of the Company's common stock granted to Mr. Brafman 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. Brafman 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