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