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