0001104659-26-010703.txt : 20260205 0001104659-26-010703.hdr.sgml : 20260205 20260205092004 ACCESSION NUMBER: 0001104659-26-010703 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20260203 FILED AS OF DATE: 20260205 DATE AS OF CHANGE: 20260205 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: 26600825 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 EIN: 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 tm265017-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2026-02-03 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 Common Stock, par value $0.01 per share 315702 D Cohen & Company, LLC Membership Units 2026-02-03 4 M 0 501455 1.951 D Common Stock, par value $0.01 per share 50145 1097861 D Mr. Brafman redeemed 501,455 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $978,338.07, or $1.951 per Unit, in order to fund certain tax liabilities incurred by Mr. Brafman in connection with the vesting, on January 31, 2026, of 611,000 Units 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 2026-02-05