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