SEC Form 4 · accession 0001104659-15-071186
Cohen & Co Inc. · COHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephanie Ricciardi
Other
Period of report
Oct 16, 2015
Accepted (ET)
Oct 19, 2015 · 9:51 am 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 $0.001F1 | Oct 16, 2015 | D | 1,400,169 | $2.00 | D | 0 | D | |
| Common Stock, par value $0.001F1 | Oct 16, 2015 | D | 487,291 | $2.00 | D | 0 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In connection with the termination of the Securities Purchase Agreement, dated as of May 9, 2013, by and among the Issuer, Mead Park Capital Partners LLC ("Mead Park LLC") and, solely for purposes of Section 6.3 thereof, Mead Park Holdings LP, and all rights thereunder and the mutual release of claims set forth in the Termination and Release Agreement, dated as of October 16, 2015, by and among the Issuer, the Reporting Person, Christopher Ricciardi, The Ricciardi Family Foundation and Mead Park LLC, an aggregate of 2,000,000 shares of common stock, par value $0.001 per share, of Issuer (the "Common Stock") were transferred to the Issuer for an aggregate amount of $4 million. The Reporting Person had a pecuniary interest in 1,887,460 of such shares of Common Stock, as noted herein.