Chief Compliance Officer

0001172661-21-002230.txt : 20211115 0001172661-21-002230.hdr.sgml : 20211115 20211115121445 ACCESSION NUMBER: 0001172661-21-002230 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211115 DATE AS OF CHANGE: 20211115 EFFECTIVENESS DATE: 20211115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cohen & Co Financial Management, LLC CENTRAL INDEX KEY: 0001778536 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-21305 FILM NUMBER: 211408077 BUSINESS ADDRESS: STREET 1: 3 COLUMBUS CIRCLE STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 646-965-8215 MAIL ADDRESS: STREET 1: 3 COLUMBUS CIRCLE STREET 2: 24TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001778536 XXXXXXXX 09-30-2021 09-30-2021 false Cohen & Co Financial Management, LLC

3 Columbus Circle 24th Floor New York NY 10019

13F HOLDINGS REPORT 028-21305 N Tina P. Shaw Chief Compliance Officer 646-792-5638 /s/ Tina P. Shaw New York NY 11-15-2021 0 152 238459 INFORMATION TABLE 2 infotable.xml 7GC & CO HOLDINGS INC COM CL A 81786A107 119 12258 SH SOLE 12258 0 0 ACE CONVERGENCE ACQU CORP *W EXP 09/30/202 G0083D104 60 100000 SH SOLE 100000 0 0 ACE CONVERGENCE ACQU CORP CL A G0083D120 1416 142874 SH SOLE 142874 0 0 ACROPOLIS INFRASTRUCTURE ACQ CL A 005029103 1572 162434 SH SOLE 162434 0 0 AGILE GROWTH CORP *W EXP 03/09/202 G01202111 63 100000 SH SOLE 100000 0 0 AGILE GROWTH CORP CLASS A ORD G01202103 2425 250000 SH SOLE 250000 0 0 ALKURI GLOBAL ACQUISITION CO COM CL A 66981N103 14466 1450964 SH SOLE 1450964 0 0 ALTIMAR ACQUISITION CORP III SHS CL A G0370U108 1948 200000 SH SOLE 200000 0 0 ALTIMETER GROWTH CORP CL A G0370L108 1022 100000 SH Call SOLE 100000 0 0 ALTITUDE ACQUISITION CORP COM CL A 02156Y103 1968 200000 SH SOLE 200000 0 0 APOLLO STRATEGIC GROWTH CAPT SHS CL A G0411R106 1932 198000 SH SOLE 198000 0 0 APOLLO STRATEGIC GRWT CPTL I SHS CL A G0412A102 1948 199400 SH SOLE 199400 0 0 ARCHER AVIATION INC *W EXP 09/16/202 03945R110 159 100000 SH SOLE 100000 0 0 ARCLIGHT CLEAN TRANSITION II CLASS A ORD SHS G0R21B104 2928 300000 SH SOLE 300000 0 0 ARCTOS NORTHSTAR ACQUIS CORP *W EXP 99/99/999 G0477L126 74 100000 SH SOLE 100000 0 0 ARCTOS NORTHSTAR ACQUIS CORP SHS CL A G0477L100 1950 200000 SH SOLE 200000 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 2922 300000 SH SOLE 300000 0 0 ARYA SCIENCES ACQU CORP IV CL A G31659108 2513 250000 SH SOLE 250000 0 0 ATLAS CREST INVESTMENT CORP COM CL A 049287105 3416 350000 SH SOLE 350000 0 0 AUSTERLITZ ACQUISITION CORP COM CL A G0633U101 2925 300000 SH SOLE 300000 0 0 AVANTI ACQUISITION CORP SHS CL A G0682V109 1958 200000 SH SOLE 200000 0 0 B RILEY PRIN 250 MERGER CORP CLASS A COM 05602L104 2898 300000 SH SOLE 300000 0 0 B RILEY PRINCIPAL 150 MERGER COM CL A 05601V103 2478 254132 SH SOLE 254132 0 0 BIOTECH ACQUISITION COMPANY UNIT 11/30/2027 G1125A124 1004 100000 SH SOLE 100000 0 0 BLUERIVER ACQUISITION CORP *W EXP 01/04/202 G1261Q115 168 259000 SH SOLE 259000 0 0 BLUERIVER ACQUISITION CORP SHS CL A G1261Q107 2405 246654 SH SOLE 246654 0 0 BRIGHT LIGHTS ACQUISITION CO *W EXP 01/01/202 10920K119 140 145529 SH SOLE 145529 0 0 BROADSCALE ACQUISITION CORP COM CL A 11134Y101 2919 300000 SH SOLE 300000 0 0 CATALYST PARTNRS ACQUISITN C CLASS A ORD SHS G19550105 1946 200000 SH SOLE 200000 0 0 CF ACQUISITION CORP IV COM CL A 12520T102 1998 205326 SH SOLE 205326 0 0 CF ACQUISITION CORP VI COM CL A 12521J103 1942 199980 SH SOLE 199980 0 0 CF ACQUISITION CORP VIII CLASS A COM 12520C109 997 100000 SH SOLE 100000 0 0 CHURCHILL CAPITAL CORP V COM CL A 17144T107 1956 200000 SH SOLE 200000 0 0 CHURCHILL CAPITAL CORP VI COM CL A 17143W101 977 100000 SH SOLE 100000 0 0 CHURCHILL CAPITAL CORP VII COM CL A 17144M102 1944 200000 SH SOLE 200000 0 0 COHN ROBBINS HOLDINGS CORP COM CL A G23726105 982 100000 SH SOLE 100000 0 0 COLICITY INC *W EXP 02/24/202 194170114 204 250000 SH SOLE 250000 0 0 COLICITY INC COM CL A 194170106 3908 400000 SH SOLE 400000 0 0 COLONNADE ACQUISITION CORP I SHS CL A G2284B101 1629 166573 SH SOLE 166573 0 0 CONCORD ACQUISITION CORP II UNIT 99/99/9999 20607U207 2493 250000 SH SOLE 250000 0 0 CORNER GROWTH ACQUISITN CORP CLASS A ORD SHS G2426E104 987 100000 SH SOLE 100000 0 0 D AND Z MEDIA ACQUISITION CO *W EXP 01/27/202 23305Q114 25 40355 SH SOLE 40355 0 0 DEEP LAKE CAPITAL ACQUSTN CO CL A SHS G27029100 1983 203628 SH SOLE 203628 0 0 DHC ACQUISITION CORP UNIT 02/25/2026 G2758T125 1984 200000 SH SOLE 200000 0 0 DIAMONDHEAD HOLDINGS CORP CL A 25278L105 2213 227660 SH SOLE 227660 0 0 DMY TECHNOLOGY GROUP INC IV COM CL A 23344K102 4955 500000 SH SOLE 500000 0 0 EMPOWERMENT & INCLUSION CAPI COM CL A 29248N100 1956 200000 SH SOLE 200000 0 0 EXECUTIVE NETWORK PARTNERING *W EXP 09/25/202 30158L118 78 100000 SH SOLE 100000 0 0 FARADAY FUTRE INTLGT ELCTR I COM 307359109 780 75000 SH Put SOLE 75000 0 0 FAST ACQUISITION CORP II CL A 311874101 2910 300000 SH SOLE 300000 0 0 FIGURE ACQUISITION CORP I COM CL A 302438106 1857 188500 SH SOLE 188500 0 0 FORTISTAR SUSTAINABLE SOL CO COM CL A 34962M106 2931 300000 SH SOLE 300000 0 0 FORTRESS VALUE ACQUIS CORP I COM CL A 34964G107 783 80282 SH SOLE 80282 0 0 FORTRESS VALUE ACQUISI CORP COM CL A 34964K108 2922 300000 SH SOLE 300000 0 0 FORUM MERGER IV CORP CLASS A COM 349875104 1952 200000 SH SOLE 200000 0 0 FRONTIER ACQUISITION CORP CLASS A ORD SHS G36826108 1943 200000 SH SOLE 200000 0 0 FTAC HERA ACQUISITION CORP UNIT 02/28/2026 G3728Y129 2490 250000 SH SOLE 250000 0 0 FTAC PARNASSUS ACQUISITN COR CLASS A COM 30319B108 1950 200000 SH SOLE 200000 0 0 FUSION ACQUISITION CORP II COM CL A 36118N102 2913 300000 SH SOLE 300000 0 0 G SQUARED ASCEND II INC COM CL A G42041106 245 25000 SH SOLE 25000 0 0 GLOBAL SYNERGY ACQUISIT CORP *W EXP 99/99/999 G3934J122 14 24938 SH SOLE 24938 0 0 GO ACQUISITION CORP *W EXP 08/31/202 362019119 184 250000 SH SOLE 250000 0 0 GO ACQUISITION CORP COM 362019101 1962 200000 SH SOLE 200000 0 0 GOLDEN ARROW MERGER CORP *W EXP 07/31/202 380799114 53 103201 SH SOLE 103201 0 0 GORES HLDGS VIII INC CL A 382863108 644 65395 SH SOLE 65395 0 0 GORES HOLDINGS VII INC *W EXP 02/25/202 38286T119 14 11956 SH SOLE 11956 0 0 GORES HOLDINGS VII INC COM CL A 38286T101 1515 153825 SH SOLE 153825 0 0 GORES TECHNOLOGY PARTNERS II CLASS A COM 38287L107 1968 200000 SH SOLE 200000 0 0 GORES TECHNOLOGY PARTNERS IN CLASS A COM 382870103 982 100000 SH SOLE 100000 0 0 HAMILTON LANE ALLIANCE HLDGS *W EXP 01/12/202 40749M111 198 250000 SH SOLE 250000 0 0 HAMILTON LANE ALLIANCE HLDGS COM CL A 40749M103 1663 171405 SH SOLE 171405 0 0 HEALTHCARE CAPITAL CORP *W EXP 12/31/202 42228C119 69 100000 SH SOLE 100000 0 0 HORIZON ACQUISITION CORPORAT SHS CL A G46044106 1960 200000 SH SOLE 200000 0 0 HUDSON EXECUTIVE INVES III COM CL A 44376L107 1946 200000 SH SOLE 200000 0 0 HUDSON EXECUTIVE INVS CORP I COM CL A 443760103 2925 300000 SH SOLE 300000 0 0 HUMANCO ACQUISITION CORP COM CL A 44487N109 207 20956 SH SOLE 20956 0 0 INDEPENDENCE HOLDINGS CORP CLASS A ORD SHS G4761A101 2443 250000 SH SOLE 250000 0 0 INDUSTRIAL TECH ACQU INC *W EXP 08/06/202 456357110 108 100000 SH SOLE 100000 0 0 INSU ACQUISITION CORP III *W EXP 12/31/202 457817112 132 150416 SH SOLE 150416 0 0 JAWS HURRICANE ACQUISITN COR CLASS A COM 47201B103 2193 225420 SH SOLE 225420 0 0 JAWS JUGGERNAUT ACQUISITN CO CLASS A ORD SHS G50735102 1958 200000 SH SOLE 200000 0 0 JAWS MUSTANG ACQUISITION COR SHS CL A G50737108 3904 400000 SH SOLE 400000 0 0 KERNEL GROUP HOLDINGS INC *W EXP 02/02/202 G5259L129 6 10985 SH SOLE 10985 0 0 KERNEL GROUP HOLDINGS INC CL A SHS G5259L103 490 50300 SH SOLE 50300 0 0 KISMET ACQUISITION THREE COR CL A SHARES G5276C110 1020 104853 SH SOLE 104853 0 0 KISMET ACQUISITION THREE COR UNIT 99/99/9999 G5276C128 52 100000 SH SOLE 100000 0 0 KISMET ACQUISITION TWO CORP CL A SHS G52807107 1944 200000 SH SOLE 200000 0 0 KKR ACQUISITION HOLDING I CO COM CLASS A 48253T109 1950 200000 SH SOLE 200000 0 0 LANDCADIA HOLDINGS IV INC CLASS A COM 51477A104 1948 200000 SH SOLE 200000 0 0 LAZARD GROWTH ACQUISITION CO *W EXP 02/10/202 G54035111 82 100000 SH SOLE 100000 0 0 LAZARD GROWTH ACQUISITION CO CL A ORD SHS G54035103 1567 161076 SH SOLE 161076 0 0 LEFTERIS ACQUISITION CORP COM CL A 52470X109 1958 200000 SH SOLE 200000 0 0 LEO HOLDINGS III CORP *W EXP 03/02/202 G5463T124 77 100000 SH SOLE 100000 0 0 LEVERE HOLDINGS CORP CLASS A ORD SHS G5462L106 2928 300000 SH SOLE 300000 0 0 LIVE OAK MOBILITY ACQUISI CO COM CL A 538126103 672 69464 SH SOLE 69464 0 0 LIVE OAK MOBILITY ACQUISI CO UNIT 03/01/2028 538126202 2285 230536 SH SOLE 230536 0 0 LUX HEALTH TECH ACQUISITION COM CL A 55068A100 2123 216366 SH SOLE 216366 0 0 MASON INDUSTRIAL TECHNOLGY I *W EXP 99/99/999 57520Y114 72 100000 SH SOLE 100000 0 0 MERIDA MERGER CORP I COM 58953M106 5005 501000 SH SOLE 501000 0 0 MICROVAST HOLDINGS INC COM 59516C106 411 50000 SH Put SOLE 50000 0 0 MONTES ARCHIMEDES ACQUISITIO COM CL A 612657106 9350 1000000 SH SOLE 1000000 0 0 MONUMENT CIRCLE ACQUISITN CO UNIT 01/14/2026 61531M200 1001 100000 SH SOLE 100000 0 0 NEW VISTA ACQUISITION CORP CL A SHS G6529L105 605 62069 SH SOLE 62069 0 0 NORTH ATLANTIC ACQUISITN COR CL A SHS G66139109 1952 200000 SH SOLE 200000 0 0 PERIDOT ACQUISITION CORP II *W EXP 04/30/202 G7008B121 81 100000 SH SOLE 100000 0 0 PERIDOT ACQUISITION CORP II SHS CL A G7008B105 1942 200000 SH SOLE 200000 0 0 PINE IS ACQUISITION CORP CL A 722615101 1421 145585 SH SOLE 145585 0 0 POEMA GLOBAL HOLDINGS CORP *W EXP 01/08/202 G7154B115 134 150000 SH SOLE 150000 0 0 PONTEM CORPORATION SHS CL A G71707106 1942 200000 SH SOLE 200000 0 0 PRIMAVERA CAPITAL ACQUIST CO SHS CL A G7255E109 2925 300000 SH SOLE 300000 0 0 PROPTECH INVESTMENT CORP II COM CL A 743497109 453 46230 SH SOLE 46230 0 0 PROSPECTOR CAPITAL CORP *W EXP 01/01/202 G7273A113 78 111598 SH SOLE 111598 0 0 PROSPECTOR CAPITAL CORP CL A G7273A105 2928 300000 SH SOLE 300000 0 0 PTK ACQUISITION CORP *W EXP 12/12/202 M9607U107 63 100000 SH SOLE 100000 0 0 REDBALL ACQUISITION CORP *W EXP 08/17/202 G7417R113 201 250000 SH SOLE 250000 0 0 REE AUTOMOTIVE LTD *W EXP 07/22/202 M8287R111 110 125000 SH SOLE 125000 0 0 RENEW ENERGY GLOBAL PLC CL A SHS G7500M104 997 97700 SH Put SOLE 97700 0 0 SARCOS TECHN AND ROBOTICS CO *W EXP 06/15/202 80359A114 390 500000 SH SOLE 500000 0 0 SCION TECH GROWTH I *W EXP 11/01/202 G31067112 77 100000 SH SOLE 100000 0 0 SCION TECH GROWTH I CL A SHS G31067104 2459 252718 SH SOLE 252718 0 0 SCION TECH GROWTH II CL A SHS G31070108 1950 200000 SH SOLE 200000 0 0 SEAPORT GLOBAL ACQUISITN COR COM CL A 812227106 1874 186300 SH SOLE 186300 0 0 SENIOR CONNECT ACQUISITN COR *W EXP 12/31/202 81723H116 178 250000 SH SOLE 250000 0 0 SLAM CORP *W EXP 02/23/202 G8210L121 144 160000 SH SOLE 160000 0 0 SLAM CORP CL A SHS G8210L105 2925 300000 SH SOLE 300000 0 0 SOCIAL CAP SUVRETTA HLD CRPI CLASS A ORD SHS G8253W109 994 101414 SH SOLE 101414 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 981 100000 SH SOLE 100000 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 336 33802 SH SOLE 33802 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 154 15551 SH SOLE 15551 0 0 SPIRE GLOBAL INC COM CL A 848560108 664 53000 SH Put SOLE 53000 0 0 STRATIM CLOUD ACQUISITION CO *W EXP 03/05/202 86309R115 63 100000 SH SOLE 100000 0 0 SVF INVESTMENT CORP *W EXP 12/20/202 G8601L128 16 16116 SH SOLE 16116 0 0 SVF INVESTMENT CORP CL A SHS G8601L102 1952 200000 SH SOLE 200000 0 0 SVF INVESTMENT CORP 3 CL A SHS G8601N108 1966 200000 SH SOLE 200000 0 0 SWITCHBACK II CORPORATION COM CL A G8633T115 3070 308187 SH SOLE 308187 0 0 TAILWIND INTERNATNAL ACQ COR COM CL A G8662F101 1940 200000 SH SOLE 200000 0 0 TAILWIND TWO ACQUISITION COR SHS CL A G86613109 115 11774 SH SOLE 11774 0 0 TECH AND ENERGY TRANSITION CLASS A COM 87823R102 1757 179864 SH SOLE 179864 0 0 THAYER VENTURES ACQU CORP COM CL A 88332T100 749 74115 SH SOLE 74115 0 0 THE MUSIC ACQUISITION CORP *W EXP 02/05/202 62752R118 290 389337 SH SOLE 389337 0 0 THE MUSIC ACQUISITION CORP COM CLASS A 62752R100 211 21651 SH SOLE 21651 0 0 TISHMAN SPEYER INNOVATION CO COM CL A 88825H100 623 63615 SH SOLE 63615 0 0 TRIBE CAPITAL GROWTH CORP I CLASS A COM 89601Y101 3104 319698 SH SOLE 319698 0 0 TZP STRATEGIES ACQUISTN CORP *W EXP 01/06/202 G91595119 63 100000 SH SOLE 100000 0 0 TZP STRATEGIES ACQUISTN CORP CL A SHS G91595101 2934 300000 SH SOLE 300000 0 0 USHG ACQUISITION CORP *W EXP 02/24/202 91748P118 86 100000 SH SOLE 100000 0 0 VECTOIQ ACQUISITION CORP II *W EXP 01/07/202 92244F117 108 140204 SH SOLE 140204 0 0 VECTOIQ ACQUISITION CORP II COM CL A 92244F109 1942 199980 SH SOLE 199980 0 0 VPC IMPACT ACQUISITION HLDNG SHS CL A G9441E100 2528 250000 SH Call SOLE 250000 0 0 VY GLOBAL GROWTH COM CL A G9444H100 1962 200000 SH SOLE 200000 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9460M108 1956 200000 SH SOLE 200000 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9461D107 1454 148109 SH SOLE 148109 0 0