0001466538-19-000100.txt : 20191017 0001466538-19-000100.hdr.sgml : 20191017 20191017161329 ACCESSION NUMBER: 0001466538-19-000100 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190329 FILED AS OF DATE: 20191017 DATE AS OF CHANGE: 20191017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COWEN INC. CENTRAL INDEX KEY: 0001466538 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38118 FILM NUMBER: 191155292 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-845-7900 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: COWEN GROUP, INC. DATE OF NAME CHANGE: 20091102 FORMER NAME: FORMER CONFORMED NAME: LexingtonPark Parent Corp DATE OF NAME CHANGE: 20090617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cowen Investments II LLC CENTRAL INDEX KEY: 0001771946 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38118 FILM NUMBER: 191155293 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 6465621000 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COWEN AND COMPANY, LLC CENTRAL INDEX KEY: 0000048966 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38118 FILM NUMBER: 191155294 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-562-1727 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: COWEN & CO., LLC DATE OF NAME CHANGE: 20060208 FORMER NAME: FORMER CONFORMED NAME: SG COWEN & CO., LLC DATE OF NAME CHANGE: 20040521 FORMER NAME: FORMER CONFORMED NAME: SG COWEN SECURITIES CORPORATION DATE OF NAME CHANGE: 20040503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cowen Holdings, Inc. CENTRAL INDEX KEY: 0001355007 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38118 FILM NUMBER: 191155295 BUSINESS ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 646-562-1727 MAIL ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 FORMER NAME: FORMER CONFORMED NAME: Cowen Group, Inc. DATE OF NAME CHANGE: 20060303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCG LV Pearl LLC CENTRAL INDEX KEY: 0001613404 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38118 FILM NUMBER: 191155296 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-562-1000 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOLOMON JEFFREY M CENTRAL INDEX KEY: 0001275922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38118 FILM NUMBER: 191155297 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DermTech, Inc. CENTRAL INDEX KEY: 0001651944 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MEDICAL LABORATORIES [8071] IRS NUMBER: 842870849 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11099 N. TORREY PINES ROAD STREET 2: SUITE 100 CITY: LA JOLLA STATE: CA ZIP: 92037 BUSINESS PHONE: 858-450-4222 MAIL ADDRESS: STREET 1: 11099 N. TORREY PINES ROAD STREET 2: SUITE 100 CITY: LA JOLLA STATE: CA ZIP: 92037 FORMER COMPANY: FORMER CONFORMED NAME: Constellation Alpha Capital Corp. DATE OF NAME CHANGE: 20150827 4 1 wf-form4_157134315368545.xml FORM 4 X0306 4 2019-03-29 0 0001651944 DermTech, Inc. DMTK 0001466538 COWEN INC. 599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK NY 10022 0 0 1 0 0001771946 Cowen Investments II LLC 599 LEXINGTON AVENUE NEW YORK NY 10022 0 0 1 0 0000048966 COWEN AND COMPANY, LLC 599 LEXINGTON AVENUE NEW YORK NY 10022 0 0 1 0 0001355007 Cowen Holdings, Inc. 599 LEXINGTON AVENUE NEW YORK NY 10022 0 0 1 0 0001613404 RCG LV Pearl LLC 599 LEXINGTON AVENUE NEW YORK NY 10022 0 0 1 0 0001275922 SOLOMON JEFFREY M 599 LEXINGTON AVENUE NEW YORK NY 10022 0 0 1 0 Ordinary Shares 2019-03-29 4 P 0 100 10.32 A 610800 I By Cowen and Company, LLC Ordinary Shares 2019-04-30 4 P 0 400 10.245 A 611200 I By Cowen and Company, LLC Ordinary Shares 2019-04-30 4 P 0 1726 10.29 A 612926 I By Cowen and Company, LLC Ordinary Shares 2019-04-30 4 P 0 6836 10.30 A 619762 I By Cowen and Company, LLC Ordinary Shares 2019-04-30 4 P 0 300 10.34 A 620062 I By Cowen and Company, LLC Ordinary Shares 2019-05-30 4 P 0 100 10.34 A 620162 I By Cowen and Company, LLC Ordinary Shares 2019-05-31 4 P 0 1500 10.34 A 621662 I By Cowen and Company, LLC Ordinary Shares 2019-06-04 4 P 0 1000 10.35 A 622662 I By Cowen and Company, LLC Ordinary Shares 2019-06-04 4 P 0 100 10.39 A 622762 I By Cowen and Company, LLC Ordinary Shares 2019-06-27 4 P 0 200 10.38 A 622962 I By Cowen and Company, LLC Ordinary Shares 2019-06-28 4 P 0 100 10.40 A 623062 I By Cowen and Company, LLC Ordinary Shares 2019-07-22 4 S 0 100 10.34 D 622962 I By Cowen and Company, LLC Ordinary Shares 2019-07-22 4 S 0 100 10.36 D 622862 I By Cowen and Company, LLC Ordinary Shares 2019-07-22 4 S 0 100 10.40 D 622762 I By Cowen and Company, LLC Ordinary Shares 308586 I By Cowen Investments II LLC This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions. Represents securities owned directly by Cowen Investments II as of 7/22/19, the date of the last transaction reported by this Form 4. As the sole member of Cowen Investments II, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments II. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Investments II. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen Investments II. Cowen Inc. By: /s/ Owen S. Littman General Counsel 2019-10-17 Cowen Investments II, LLC By: RCG LV Pearl LLC, sole member, By: Cowen Inc., sole member By: /s/ Owen S. Littman Its: General Counsel 2019-10-17 Cowen and Company, LLC By: Cowen Holdings Inc., sole member By: /s/ Owen S. Littman Its: General Counsel 2019-10-17 By: Cowen Holdings Inc. By: /s/ Owen S. Littman Its: General Counsel 2019-10-17 RCG LV Pearl LLC By: Cowen Inc., sole member By: Owen S. Littman, General Counsel 2019-10-17 Jeffrey M. Solomon /s/ Jeffrey M. Solomon 2019-10-17