0001179110-18-004583.txt : 20180319 0001179110-18-004583.hdr.sgml : 20180319 20180319162031 ACCESSION NUMBER: 0001179110-18-004583 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180315 FILED AS OF DATE: 20180319 DATE AS OF CHANGE: 20180319 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lasota Stephen CENTRAL INDEX KEY: 0001477552 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34516 FILM NUMBER: 18698996 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN INC. CENTRAL INDEX KEY: 0001466538 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 COMPANY: FORMER CONFORMED NAME: COWEN GROUP, INC. DATE OF NAME CHANGE: 20091102 FORMER COMPANY: FORMER CONFORMED NAME: LexingtonPark Parent Corp DATE OF NAME CHANGE: 20090617 4 1 edgar.xml FORM 4 - X0306 4 2018-03-15 0 0001466538 COWEN INC. COWN 0001477552 Lasota Stephen COWEN INC. 599 LEXINGTON AVENUE NEW YORK NY 10022 0 1 0 0 Chief Financial Officer Class A Common Stock 2018-03-15 4 M 0 25000 11.60 A 223550 D Class A Common Stock 2018-03-15 4 D 0 20402 14.2143 D 203148 D Class A Common Stock 2018-03-15 4 F 0 2252 14.2143 D 200896 D Stock Appreciation Rights 11.60 2018-03-15 4 M 0 25000 0 A 2018-03-15 2018-03-15 Class A Common Stock 25000 0 D This represents the difference between the number of stock appreciation rights ("SARs") exercised (25,000) and the number of shares issued as a result of the exercise (4,598). Each SAR represents the right, upon exercise, to receive a number of shares of Class A Common Stock equal in value to the number, if any, by which the 10-calendar day volume-weighted average price of the Company's Class A Common stock prior to the exercise date exceeds the exercise price. This represents the withholding of shares of Class A Common Stock to satisfy tax withholding obligations associated with the exercise of the SARs reported in this Form 4. /s/ Stephen A. Lasota 2018-03-19