SEC Form 4 · accession 0001179110-18-005498
COWEN INC. · COWN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter A Cohen
Director
Period of report
Apr 5, 2018
Accepted (ET)
Apr 9, 2018 · 4:53 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 StockF2 | Apr 5, 2018 | S | 1,000 | $14.20 | D | 888,877 | D | |
| Class A Common StockF3 | Apr 6, 2018 | S | 1,000 | $14.175 | D | 887,877 | D | |
| Class A Common StockF4 | Apr 9, 2018 | S | 2,000 | $14.205 | D | 885,877 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2The 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 $14.00 to $14.35. 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.
- F3The 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 $14.00 to $14.30. 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.
- F4The 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 $14.05 to $14.35. 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.