SEC Form 4 · accession 0001104659-17-010525
Cohen & Co Inc. · COHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G Steven Dawson
Director
Period of report
Feb 17, 2017
Accepted (ET)
Feb 21, 2017 · 2:49 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, $0.001 par value per shareF1 | Feb 17, 2017 | A | 41,667 | $0.00 | A | 103,395 | D | |
| Common Stock, $0.001 par value per shareF2 | holding | — | — | — | 149,099 | I | By Corriente Private Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Dawson was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.
- F2These securities are held by Corriente Private Trust, an irrevocable trust (the "Trust"). Mr. Dawson is the Primary Trustee and sole beneficiary of the Trust and has voting and investment control with respect to the securities in the Trust. Mr. Dawson disclaims any interest in the securities beyond his pecuniary interest.