SEC Form 3 · accession 0001140361-15-034538
Cohen & Co Inc. · COHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward E Cohen
10% Owner
Period of report
Aug 28, 2015
Accepted (ET)
Sep 8, 2015 · 12:59 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 | holding | — | — | — | 966,476 | D | ||
| Common Stock | holding | — | — | — | 747,585 | I | By Spouse | |
| Common StockF1 | holding | — | — | — | 88,365 | I | By Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Promissory NoteF2 | $3.00 | holding | — | — | — | Aug 28, 2015 | Sep 25, 2018 | Common Stock, par value $0.001 per share | 1,461,876 | — | D |
Explanation of responses
- F1The reporting person and his spouse are the sole shareholders, officers and directors of the corporate general partner of Solomon Investment Partnership, L.P., a limited partnership, and are the sole partners of the partnership.
- F2The convertible promissory note ("Note") is convertible at any time and matures on September 25, 2018. As of August 28, 2015, the Note was convertible into 1,461,876 shares of IFMI common stock.