SEC Form 4 · accession 0001179110-17-003481
COWEN INC. · COWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Holmes
Officer — Chief Operating Officer
Period of report
Feb 27, 2017
Accepted (ET)
Mar 1, 2017 · 4:26 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 | Feb 27, 2017 | A | 15,300 | — | A | 146,793 | D | |
| Class A Common StockF3 | Feb 27, 2017 | A | 13,100 | — | A | 159,893 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock units for no monetary consideration. The restricted stock units will vest with respect to 15% on June 1, 2017, 10% on June 1, 2018, 25% on June 1, 2019, 25% on June 1, 2020 and 25% on June 1, 2021.
- 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.
- F3Grant of restricted stock units for no monetary consideration. The restricted stock units will vest on March 10, 2021.