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