SEC Form 4 · accession 0001179110-16-033116
COWEN INC. · COWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Owen S Littman
Officer — General Counsel
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 4:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001466538
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | Dec 15, 2016 | S | 7,500 | $16.393 | D | 125,475 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price is the weighted average sale price of the aggregate number of shares that were sold by the reporting person. The shares were sold in multiple transactions at prices ranging from $16.25 to $16.50. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.
- F2The number of securities shown in this report reflects a one-for-four reverse split of the Issuer's Class A Common Stock that occurred on December 2, 2016, including the reporting person's receipt of any cash in lieu of fractional shares.