SEC Form 4 · accession 0001209191-15-010163
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 4, 2015
Accepted (ET)
Feb 6, 2015 · 10:28 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 | 72,168 | D | |
| Common Stock, $0.001 par value per shareF2 | holding | — | — | — | 19,353 | I | By Corriente Private Trust | |
| Common Stock, $0.001 par value per shareF3 | holding | — | — | — | 57,578 | I | By Regents Gate Associates, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Dawson 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.
- F2These securities are held by Corriente Private Trust, an irrevocable trust (the "Trust"). The reporting person is the Primary Trustee and sole beneficiary of the Trust and has voting and investment control with respect to the securities in the Trust. The reporting person disclaims any interest in the securities beyond his pecuniary interest.
- F3These securities are held by Regents Gate Associates, LLC. The Trust is one of the two members of Regents Gate Associates, LLC, and the other member is the reporting person's spouse's trust.. The reporting person disclaims any interest in the securities beyond his pecuniary interest.