SEC Form 4 · accession 0000899243-15-004214
Cohen & Co Inc. · COHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack DiMaio
Director
Period of report
Aug 28, 2015
Accepted (ET)
Aug 28, 2015 · 5:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001270436
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.001 | Aug 28, 2015 | S | 974,585 | $1.33 | D | 0 | I | By Mead Park Capital Partners LLC |
| Common Stock, Par Value $0.001 | holding | — | — | — | 52,937 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Senior Promissory Note | $3.00 | Aug 28, 2015 | S | — | D | Sep 25, 2013 | Sep 25, 2018 | Common Stock, par value $0.001 | 974,585 | 0 | I |