SEC Form 5 · accession 0001209191-15-008151
Cohen & Co Inc. · COHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel G Cohen
Officer — VC, Pres. & Chief Exec. Europe · Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Feb 2, 2015 · 1:15 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 $0.001 | Apr 10, 2014 | G | 75,000 | $0.00 | D | 398,039 | D | |
| Common Stock, Par Value $0.001 | holding | — | — | — | 800,000 | I | By EBC 2013 Family Trust | |
| Series E Voting Non-Convertible Preferred Stock | holding | — | — | — | 4,983,557 | I | By Cohen Bros. Financial, LLC |
Table II — derivative securities
No Table II lines on this filing.