SEC Form 4 · accession 0001104659-16-097151
Cohen & Co Inc. · COHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lester Raymond Brafman
Officer — Chief Executive Officer
Period of report
Feb 12, 2016
Accepted (ET)
Feb 16, 2016 · 12:30 pm EST
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 | Feb 12, 2016 | A | 154,321 | $0.00 | A | 213,402 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Brafman was awarded 154,321 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan. The restrictions expire with respect to one-half of these restricted shares on January 31, 2017 and with respect to the remaining one-half of these restricted shares on January 31, 2018, in each case, so long as Mr. Brafman is then employed by the Issuer or any of its subsidiaries.