0001104659-20-009787.txt : 20200203 0001104659-20-009787.hdr.sgml : 20200203 20200203162938 ACCESSION NUMBER: 0001104659-20-009787 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200131 FILED AS OF DATE: 20200203 DATE AS OF CHANGE: 20200203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pooler Joseph W. Jr. CENTRAL INDEX KEY: 0001478247 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32026 FILM NUMBER: 20569040 MAIL ADDRESS: STREET 1: 2929 ARCH STREET STREET 2: 17TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104-2870 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cohen & Co Inc. CENTRAL INDEX KEY: 0001270436 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 161685692 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: CIRA CENTRE, 2929 ARCH STREET STREET 2: 17TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104-2870 BUSINESS PHONE: 215-701-9555 MAIL ADDRESS: STREET 1: CIRA CENTRE, 2929 ARCH STREET STREET 2: 17TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104-2870 FORMER COMPANY: FORMER CONFORMED NAME: INSTITUTIONAL FINANCIAL MARKETS, INC. DATE OF NAME CHANGE: 20110121 FORMER COMPANY: FORMER CONFORMED NAME: COHEN & Co INC. DATE OF NAME CHANGE: 20091216 FORMER COMPANY: FORMER CONFORMED NAME: ALESCO FINANCIAL INC DATE OF NAME CHANGE: 20061006 4 1 a4.xml 4 X0306 4 2020-01-31 0 0001270436 Cohen & Co Inc. COHN 0001478247 Pooler Joseph W. Jr. C/O COHEN & CO INC., 2929 ARCH STREET, SUITE 1703 PHILADELPHIA PA 19104-2870 0 1 0 0 EVP, CFO and Treasurer Common Stock, par value $0.01 per share 2020-01-31 4 F 0 2948 3.50 D 36128 D Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2020, of 7,080 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. /s/ Joseph W. Pooler, Jr. 2020-02-03