0001140361-23-020344.txt : 20230425
0001140361-23-020344.hdr.sgml : 20230425
20230425212336
ACCESSION NUMBER: 0001140361-23-020344
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230421
FILED AS OF DATE: 20230425
DATE AS OF CHANGE: 20230425
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: COWEN AND COMPANY, LLC
CENTRAL INDEX KEY: 0000048966
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40120
FILM NUMBER: 23846576
BUSINESS ADDRESS:
STREET 1: 599 LEXINGTON AVENUE
STREET 2: 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 646-562-1727
MAIL ADDRESS:
STREET 1: 599 LEXINGTON AVENUE
STREET 2: 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: COWEN & CO., LLC
DATE OF NAME CHANGE: 20060208
FORMER NAME:
FORMER CONFORMED NAME: SG COWEN & CO., LLC
DATE OF NAME CHANGE: 20040521
FORMER NAME:
FORMER CONFORMED NAME: SG COWEN SECURITIES CORPORATION
DATE OF NAME CHANGE: 20040503
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cowen Holdings, Inc.
CENTRAL INDEX KEY: 0001355007
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40120
FILM NUMBER: 23846575
BUSINESS ADDRESS:
STREET 1: 1221 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10020
BUSINESS PHONE: 646-562-1727
MAIL ADDRESS:
STREET 1: 1221 AVENUE OF THE AMERICAS
CITY: NEW YORK
STATE: NY
ZIP: 10020
FORMER NAME:
FORMER CONFORMED NAME: Cowen Group, Inc.
DATE OF NAME CHANGE: 20060303
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: COWEN INC.
CENTRAL INDEX KEY: 0001466538
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40120
FILM NUMBER: 23846578
BUSINESS ADDRESS:
STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-845-7900
MAIL ADDRESS:
STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: COWEN GROUP, INC.
DATE OF NAME CHANGE: 20091102
FORMER NAME:
FORMER CONFORMED NAME: LexingtonPark Parent Corp
DATE OF NAME CHANGE: 20090617
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RCG LV Pearl LLC
CENTRAL INDEX KEY: 0001613404
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40120
FILM NUMBER: 23846574
BUSINESS ADDRESS:
STREET 1: 599 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 646-562-1000
MAIL ADDRESS:
STREET 1: 599 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cowen Financial Products LLC
CENTRAL INDEX KEY: 0001771015
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40120
FILM NUMBER: 23846577
BUSINESS ADDRESS:
STREET 1: 599 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 6465621000
MAIL ADDRESS:
STREET 1: 599 LEXINGTON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Fusion Acquisition Corp. II
CENTRAL INDEX KEY: 0001840225
STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770]
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 667 MADISON AVENUE
STREET 2: 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10065
BUSINESS PHONE: 212-763-0169
MAIL ADDRESS:
STREET 1: 667 MADISON AVENUE
STREET 2: 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10065
4
1
form4.xml
X0407
4
2023-04-21
0001840225
Fusion Acquisition Corp. II
FSNB
0001466538
COWEN INC.
599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
true
0001771015
Cowen Financial Products LLC
599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
true
0000048966
COWEN AND COMPANY, LLC
599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
true
0001355007
Cowen Holdings, Inc.
599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
true
0001613404
RCG LV Pearl LLC
599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK
NY
10022
true
false
Class A Common Stock
2023-04-21
4
S
0
10100
10.24
D
336293
I
By Cowen and Company, LLC
Class A Common Stock
2023-04-21
4
S
0
4900
10.265
D
331393
I
By Cowen and Company, LLC
Class A Common Stock
2023-04-21
4
S
0
1393
10.27
D
330000
I
By Cowen and Company, LLC
Class A Common Stock
138648
I
By Cowen Financial Products LLC
This Form 4 is filed jointly by Cowen Inc., Cowen Financial Products LLC ("Cowen Financial"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings") and RCG LV Pearl LLC ("RCG", and collectively, the "Reporting Persons").
Each of the Reporting Persons declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934, as amended (the "Exchange Act"), or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
Represents securities owned directly by Cowen and Company. Cowen Holdings is the sole member of Cowen and Company. RCG is the sole owner of Cowen Holdings. Cowen Inc. is the sole member of RCG. In such capacities, each of Cowen Holdings, RCG and Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company, but disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
Represents securities owned directly by Cowen Financial. RCG is the sole member of Cowen Financial. Cowen Inc. is the sole member of RCG. In such capacities, each of RCG and Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Financial, but disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.
The sales by Cowen and Company on 04/21/23 of 10,100 shares of the Issuer's Class A Common Stock ("Shares") at $10.24, 4,900 Shares at $10.265, and 1,393 Shares at $10.27, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act with the purchases by Cowen and Company of 16,393 Shares at a price of $10.24 on 04/19/23. The Reporting Persons are delivering a payment to the Issuer in the amount of $164.29, which represents the full amount of the profit realized in connection with these short-swing transactions under Section 16(b) of the Exchange Act.
Cowen Inc., By: /s/ Stephen A. Lasota, Chief Financial Officer
2023-04-25
Cowen Financial Products LLC, By: RCG LV Pearl LLC, sole member, By: Cowen Inc., sole member, By: /s/ Stephen A. Lasota, Chief Financial Officer
2023-04-25
Cowen and Company, LLC, By: Cowen Holdings, Inc., sole member, By: RCG LV Pearl LLC, sole owner, By: Cowen Inc., sole member, By: /s/ Stephen A. Lasota, Chief Financial Officer
2023-04-25
Cowen Holdings, Inc., By: RCG LV Pearl LLC, sole owner, By: Cowen Inc., sole member, By: /s/ Stephen A. Lasota, Chief Financial Officer
2023-04-25
RCG LV Pearl LLC, By: Cowen Inc., sole member, By: /s/ Stephen A. Lasota, Chief Financial Officer
2023-04-25