SEC Form 4 · accession 0001179110-18-005067
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
Mar 29, 2018
Accepted (ET)
Apr 2, 2018 · 4:47 pm EDT
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 | Mar 29, 2018 | X | 8,993 | — | A | 170,678 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| RSU RightF1 | — | Mar 29, 2018 | X | 8,993 | D | — | — | Class A Common Stock | 8,993 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit ("RSU") Right represents the right to receive RSUs for no monetary consideration. The RSUs will vest on March 10, 2022.