SEC Form 4 · accession 0001209191-15-010160
Cohen & Co Inc. · COHN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Ricciardi
Director · 10% Owner
Period of report
Feb 4, 2015
Accepted (ET)
Feb 6, 2015 · 10:24 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, $0.001 par value per shareF1 | Feb 4, 2015 | A | 30,303 | $0.00 | A | 1,411,689 | D | |
| Common Stock, $0.001 par value per shareF2 | holding | — | — | — | 487,291 | I | By Mead Park Capital Partners LLC | |
| Common Stock, $0.001 par value per share | holding | — | — | — | 48,448 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Ricciardi was awarded 30,303 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan. The restrictions expire on February 4, 2016.
- F2In accordance with the governing documents of Mead Park Capital Partners LLC, the reporting person has the right to, at any time, acquire direct beneficial ownership over these securities.