0001179110-21-003338.txt : 20210312 0001179110-21-003338.hdr.sgml : 20210312 20210312161527 ACCESSION NUMBER: 0001179110-21-003338 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20210312 DATE AS OF CHANGE: 20210312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Holmes John J CENTRAL INDEX KEY: 0001576457 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34516 FILM NUMBER: 21737596 MAIL ADDRESS: STREET 1: COWEN GROUP, INC. STREET 2: 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 2021-03-10 0 0001466538 COWEN INC. COWN 0001576457 Holmes John J COWEN INC. 599 LEXINGTON AVENUE NEW YORK NY 10022 0 1 0 0 Chief Operating Officer Class A Common Stock 2021-03-10 4 A 0 45000 A 244045 D Class A Common Stock 2021-03-11 4 S 0 14000 42.49 D 230045 D Class A Common Stock 2021-03-10 4 A 0 50 A 230095 D Class A Common Stock 2021-03-10 4 F 0 6441 42.17 D 223654 D On March 15, 2016, the Reporting Person was granted a performance share award consisting of 25,000 target shares, with the number of shares to be delivered upon settlement based on the attainment of certain performance metrics. In accordance with the performance share award agreement, 45,000 shares which represented the maximum payout under the performance share award agreement, were settled and delivered to the Reporting Person on March 10, 2021. Shares sold by the Reporting Person in connection with the payment of taxes related to the settlement of the performance share award referenced in footnote 1. Grant of Cowen stock for no monetary consideration. The stock award was settled and delivered on March 10, 2021. Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. /s/ John Holmes 2021-03-12