COWEN GROUP, INC. 4
4 · COWEN GROUP, INC. · Filed Nov 2, 2009
Insider Transaction Report
Form 4
STARK MORGAN B
Chair. Ramius Alt. Investments10% Owner
Transactions
- Award
Class A Common Stock
2009-11-02+2,435,132→ 2,435,132 total(indirect: See Footnote)
Footnotes (2)
- [F1]Upon consummation of the transactions (the "Transactions") contemplated by the Transaction Agreement and Agreement and Plan of Merger, dated as of June 3, 2009, by and among Cowen Holdings, Inc. (f/k/a Cowen Group, Inc.), Cowen Group, Inc. (f/k/a/ LexingtonPark Parent Corp.), Lexington Merger Corp., Ramius LLC (f/k/a Park Exchange LLC) and RCG Holdings LLC (f/k/a Ramius LLC) ("RCG"), 37,536,826 shares of Class A Common Stock were issued to RCG. The Reporting Person is a member of RCG and may be deemed to have a pecuniary interest in 2,435,132 shares of Class A Common Stock that were acquired by RCG in the Transactions, including 2,376,924 shares that are held by RCG and allocated to the Reporting Person in connection with his ownership interest in RCG and 58,208 shares that are held by RCG and allocated to the Reporting Person's wife in connection with her ownership interest in RCG.
- [F2]The Reporting Person's acquisition of a pecuniary interest in these shares was pursuant to an exempt transaction pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.