STRAUSS THOMAS W 4
4 · COWEN GROUP, INC. · Filed Nov 2, 2009
Insider Transaction Report
Form 4
STRAUSS THOMAS W
CEO/Pres.RamiusAlt.Investments10% Owner
Transactions
- Award
Class A Common Stock
2009-11-02+2,874,001→ 2,874,001 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 2,874,001 shares of Class A Common Stock that were acquired by RCG in the Transactions, including 1,817,799 shares that are held by RCG and allocated to the Reporting Person in connection with his ownership interest in RCG and 1,056,202 shares that are held by RCG and allocated to an entity controlled by the Reporting Person in connection with its 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.