0001104659-23-128229.txt : 20231221
0001104659-23-128229.hdr.sgml : 20231221
20231221161842
ACCESSION NUMBER: 0001104659-23-128229
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231221
FILED AS OF DATE: 20231221
DATE AS OF CHANGE: 20231221
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brafman Lester Raymond
CENTRAL INDEX KEY: 0001578554
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32026
FILM NUMBER: 231505531
MAIL ADDRESS:
STREET 1: C/O INSTITUTIONAL FINANCIAL MARKETS, INC
STREET 2: 2929 ARCH STREET, 17TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cohen & Co Inc.
CENTRAL INDEX KEY: 0001270436
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
ORGANIZATION NAME: 02 Finance
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
tm2333248-3_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-12-21
0
0001270436
Cohen & Co Inc.
COHN
0001578554
Brafman Lester Raymond
C/O COHEN & CO INC.,
2929 ARCH STREET, SUITE 1703
PHILADELPHIA
PA
19104-2870
0
1
0
0
Chief Executive Officer
0
Common Stock, par value $0.01 per share
315702
D
Cohen & Company, LLC Membership Units
2023-12-21
4
A
0
211000
0.00
A
Common Stock, par value $0.01 per share
21100
2162670
D
Mr. Brafman was awarded 211,000 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's 2020 Long-Term Incentive Plan, as amended. The restrictions expire with respect to one-third of the Units on each of January 31, 2025, January 31, 2026 and January 31, 2027.
/s/ Joseph W. Pooler, Jr., as attorney-in-fact
2023-12-21