Chief Compliance Officer

0001172661-21-001558.txt : 20210728 0001172661-21-001558.hdr.sgml : 20210728 20210728132851 ACCESSION NUMBER: 0001172661-21-001558 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210728 DATE AS OF CHANGE: 20210728 EFFECTIVENESS DATE: 20210728 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cohen & Co Financial Management, LLC CENTRAL INDEX KEY: 0001778536 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-21305 FILM NUMBER: 211121620 BUSINESS ADDRESS: STREET 1: 3 COLUMBUS CIRCLE STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 646-965-8215 MAIL ADDRESS: STREET 1: 3 COLUMBUS CIRCLE STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001778536 XXXXXXXX 06-30-2021 06-30-2021 false Cohen & Co Financial Management, LLC

3 Columbus Circle 24th Floor New York NY 10019

13F HOLDINGS REPORT 028-21305 N Tina P. Shaw Chief Compliance Officer 646-792-5638 /s/ Tina P. Shaw New York NY 07-28-2021 0 64 157129 INFORMATION TABLE 2 infotable.xml 10X CAPITAL VENTURE ACQU COR *W EXP 10/29/202 88025V115 220 125000 SH SOLE 125000 0 0 10X CAPITAL VENTURE ACQU COR COM CL A 88025V107 2490 250000 SH SOLE 250000 0 0 ALTITUDE ACQUISITION CORP COM CL A 02156Y103 1958 200000 SH SOLE 200000 0 0 ARCLIGHT CLEAN TRANSITION II UNIT 03/16/2028 G0R21B120 2510 250000 SH SOLE 250000 0 0 ATHENA TECHNOLOGY ACQUISI CO UNIT 99/99/9999 04687A208 3150 315920 SH SOLE 315920 0 0 ATLAS CREST INVESTMENT CORP COM CL A 049287105 4875 500000 SH SOLE 500000 0 0 ATLAS CREST INVT CORP COM 049284102 2988 300000 SH SOLE 300000 0 0 AUSTERLITZ ACQUISITION CORP COM CL A G0633U101 4865 500000 SH SOLE 500000 0 0 B RILEY PRINCIPAL 150 MERGER COM CL A 05601V103 975 100000 SH SOLE 100000 0 0 BIOTECH ACQUISITION COMPANY UNIT 11/30/2027 G1125A124 1008 100000 SH SOLE 100000 0 0 BLUERIVER ACQUISITION CORP *W EXP 01/04/202 G1261Q115 176 183680 SH SOLE 183680 0 0 BROADSCALE ACQUISITION CORP COM CL A 11134Y101 1609 165689 SH SOLE 165689 0 0 CHURCHILL CAPITAL CORP V COM CL A 17144T107 504 50000 SH SOLE 50000 0 0 COHN ROBBINS HOLDINGS CORP COM CL A G23726105 2955 300000 SH SOLE 300000 0 0 COLICITY INC COM CL A 194170106 1493 153132 SH SOLE 153132 0 0 CONX CORP COM CL A 212873103 2958 300000 SH SOLE 300000 0 0 CORNER GROWTH ACQUISITN CORP UNIT 05/27/2026 G2426E112 4020 400000 SH SOLE 400000 0 0 D AND Z MEDIA ACQUISITION CO COM CL A 23305Q106 1942 200000 SH SOLE 200000 0 0 DHC ACQUISITION CORP UNIT 02/25/2026 G2758T125 2008 200000 SH SOLE 200000 0 0 DIAMONDHEAD HOLDINGS CORP UNIT 01/21/2026 25278L204 4995 500000 SH SOLE 500000 0 0 DMY TECHNOLOGY GROUP INC III COM CLASS A 233278100 2405 225000 SH SOLE 225000 0 0 DMY TECHNOLOGY GROUP INC IV COM CL A 23344K102 1958 200400 SH SOLE 200400 0 0 DRAGONEER GROWTH OPPTY CORP SHS CL A G28314105 1758 174100 SH SOLE 174100 0 0 DRAGONEER GROWTH OPT CORP II CL A SHS G28315102 2500 250000 SH SOLE 250000 0 0 ELLIOTT OPPORTUNITY II CORP UNIT 99/99/9999 G30092129 5005 500000 SH SOLE 500000 0 0 FIGURE ACQUISITION CORP I COM CL A 302438106 5000 500000 SH SOLE 500000 0 0 FINTECH ACQUISITION CORP VI UNIT 06/24/2026 31811H205 10090 1000000 SH SOLE 1000000 0 0 FTAC ATHENA ACQUISITION CORP UNIT 99/99/9999 G37283127 943 92413 SH SOLE 92413 0 0 FTAC HERA ACQUISITION CORP UNIT 02/28/2026 G3728Y129 2511 250000 SH SOLE 250000 0 0 FTAC PARNASSUS ACQUISITN COR UNIT 03/10/2026 30319B207 3518 350000 SH SOLE 350000 0 0 FUSION ACQUISITION CORP II *W EXP 02/29/202 36118N110 24 25000 SH SOLE 25000 0 0 GO ACQUISITION CORP COM 362019101 3423 350000 SH SOLE 350000 0 0 HEALTHCARE CAPITAL CORP UNIT 12/31/2025 42228C200 998 100000 SH SOLE 100000 0 0 INDEPENDENCE HOLDINGS CORP UNIT 03/02/2026 G4761A119 2498 250000 SH SOLE 250000 0 0 INSU ACQUISITION CORP III UNIT 12/31/2026 457817302 4020 400000 SH SOLE 400000 0 0 IRON SPARK I INC CLASS A COM 46301G103 6487 650000 SH SOLE 650000 0 0 JAWS HURRICANE ACQUISITN COR UNIT 06/08/2026 47201B202 5030 500000 SH SOLE 500000 0 0 JAWS MUSTANG ACQUISITION COR SHS CL A G50737108 1952 200000 SH SOLE 200000 0 0 JAWS MUSTANG ACQUISITION COR UNIT 99/99/9999 G50737116 5030 500000 SH SOLE 500000 0 0 KERNEL GROUP HOLDINGS INC *W EXP 02/02/202 G5259L129 11 10985 SH SOLE 10985 0 0 KERNEL GROUP HOLDINGS INC CL A SHS G5259L103 488 50300 SH SOLE 50300 0 0 LEFTERIS ACQUISITION CORP COM CL A 52470X109 1396 143211 SH SOLE 143211 0 0 MASON INDUSTRIAL TECHNOLGY I *W EXP 99/99/999 57520Y114 34 37810 SH SOLE 37810 0 0 MASON INDUSTRIAL TECHNOLGY I COM CL A 57520Y106 1932 200000 SH SOLE 200000 0 0 MONUMENT CIRCLE ACQUISITN CO UNIT 01/14/2026 61531M200 1004 100000 SH SOLE 100000 0 0 PERIDOT ACQUISITION CORP II UNIT 99/99/9999 G7008B113 2997 300000 SH SOLE 300000 0 0 POEMA GLOBAL HOLDINGS CORP *W EXP 01/08/202 G7154B115 76 100000 SH SOLE 100000 0 0 PRIMAVERA CAPITAL ACQUIST CO SHS CL A G7255E109 1028 105181 SH SOLE 105181 0 0 REDBALL ACQUISITION CORP COM CL A G7417R105 4885 500000 SH SOLE 500000 0 0 RICE ACQUISITION CORP II UNIT 99/99/9999 G75529118 3066 300000 SH SOLE 300000 0 0 ROCKET INTERNET GRWT OPRT CO *W EXP 99/99/999 G7613T129 148 112219 SH SOLE 112219 0 0 ROCKET INTERNET GRWT OPRT CO SHS CL A G7613T103 2425 250000 SH SOLE 250000 0 0 ROSS ACQUISITION CORP II *W EXP 02/01/202 G7641C114 48 50000 SH SOLE 50000 0 0 ROTOR ACQUISITION CORP *W EXP 06/15/202 77879W113 592 481627 SH SOLE 481627 0 0 SENIOR CONNECT ACQUISITN COR *W EXP 12/31/202 81723H116 212 249500 SH SOLE 249500 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G82514103 2078 200000 SH SOLE 200000 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 2550 250000 SH SOLE 250000 0 0 SVF INVESTMENT CORP CL A SHS G8601L102 4940 500000 SH SOLE 500000 0 0 SVF INVESTMENT CORP 2 CL A SHS G8601M100 2985 300000 SH SOLE 300000 0 0 SVF INVESTMENT CORP 3 CL A SHS G8601N108 1988 200000 SH SOLE 200000 0 0 THE MUSIC ACQUISITION CORP *W EXP 02/05/202 62752R118 265 311750 SH SOLE 311750 0 0 TRIBE CAPITAL GROWTH CORP I UNIT 02/24/2026 89601Y200 5025 500000 SH SOLE 500000 0 0 WHOLE EARTH BRANDS INC *W EXP 06/25/202 96684W126 78 35061 SH SOLE 35061 0 0 ZIMMER ENERGY TRANSITION ACQ UNIT 06/16/2026 989570205 4029 396907 SH SOLE 396907 0 0