0001466538-18-000067.txt : 20180626 0001466538-18-000067.hdr.sgml : 20180626 20180626165728 ACCESSION NUMBER: 0001466538-18-000067 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180626 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20180626 DATE AS OF CHANGE: 20180626 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-34516 FILM NUMBER: 18919840 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 8-K 1 june262018.htm 8-K Document



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
 
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): June 26, 2018
COWEN INC.
(Exact Name of Registrant as Specified in Charter)
 
 
 
 
 
Delaware
 
001-34516
 
27-0423711
(State or Other Jurisdiction
of Incorporation)
 
(Commission File Number)
 
(I.R.S. Employer
Identification No.)
599 Lexington Avenue
New York, NY 10022
(Address of Principal Executive Offices and Zip Code)
Registrant’s telephone number, including area code: (212) 845-7900
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company  ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act  ☐








Item 5.07.    Submission of Matters to a Vote of Security Holders.

At the Company’s Annual Meeting held on June 26, 2018, stockholders voted on the election of Directors to the Board, an advisory vote to approve the compensation of named executive officers, the ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the 2018 fiscal year, the approval, in accordance with NASDAQ Marketplace Rule 5635(d), of the issuance of shares of Cowen Inc. Class A common stock exceeding 19.9% of the number of shares outstanding on December 14, 2017, upon the conversion and/or redemption of the 3.0% Convertible Senior Notes due 2022 issued in an underwritten offering in December 2017 (the "NASDAQ Marketplace Rule Proposal") and a stockholder proposal entitled "Shareholder Right to Act by Written Consent." The holders of 23,738,732 shares of Class A common stock, or approximately 80.48% of the eligible voting shares, were represented at the meeting in person or by proxy.

All nominees for election to the Board were elected for a term that will continue until the next annual meeting of stockholders or until the director’s successor has been duly elected and qualified (or the director’s earlier resignation, death or removal). The Company’s independent inspector of election reported the final vote of the stockholders as follows:


Name
Votes For
Authority Withheld
 
 
 
Brett Barth
19,680,077
122,639
Katherine E. Dietze
19,403,281
399,435
Steven Kotler
19,197,478
605,238
Lawrence E. Leibowitz
19,679,584
123,132
Jerome S. Markowitz
19,624,607
178,109
Jack H. Nusbaum
19,665,680
137,036
Douglas A. Rediker
19,443,912
358,804
Jeffrey M. Solomon
19,666,205
136,511
Joseph R. Wright
19,465,980
336,736
    
Broker non-votes for each director totaled 3,936,016.


The stockholders’ cast an advisory vote to approve the compensation of the named executive officers. The Company’s independent inspector of election reported the final vote of the stockholders as follows:

 
 

For
Against
 

Abstain
Advisory Vote to Approve the Compensation of the Company’s Named Executive Officers
18,356,554
1,435,205
10,957






Broker non-votes for this proposal totaled 3,936,016.

The stockholders’ vote ratified the appointment of the independent auditor. The Company’s independent inspector of election reported the final vote of the stockholders as follows:

 
 

For
Against
 

Abstain
Ratification of KPMG LLP as the Independent Registered Public Accounting Firm for the Year Ending December 31, 2018
23,661,228
61,015
16,489

The stockholders’ vote approved the NASDAQ Marketplace Rule Proposal. The Company’s independent inspector of election reported the final vote of the stockholders as follows:

 
 

For
Against
 

Abstain
NASDAQ Marketplace Rule Proposal
19,746,242
46,657
9,817

Broker non-votes for this proposal totaled 3,936,016.

The stockholders’ vote did not approve the stockholder proposal entitled "Shareholder Right to Act by Written Consent." The Company’s independent inspector of election reported the final vote of the stockholders as follows:

 
 

For
Against
 

Abstain
Shareholder Proposal Entitled "Shareholder Right to Act by Written Consent."
8,041,627
11,749,349
11,740

Broker non-votes for this proposal totaled 3,936,016.







SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
COWEN INC.


Dated: June 26, 2018                    By: _/s/ Owen S. Littman            
Name:    Owen S. Littman     
Title:     General Counsel