SEC Form 4 · accession 0001104659-17-006005
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
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 10:46 am 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 $0.001 per shareF1 | Jan 31, 2017 | F | 49,595 | $1.27 | D | 3,163,807 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock of Institutional Financial Markets, Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2017, of 115,040 shares of restricted stock granted to the reporting person by the Company under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended.