4//SEC Filing
COHEN & Co INC. 4
Accession 0001181431-09-057847
$COHNCIK 0001270436operating
Filed
Dec 17, 7:00 PM ET
Accepted
Dec 18, 5:41 PM ET
Size
6.8 KB
Accession
0001181431-09-057847
Insider Transaction Report
Form 4
COHEN & Co INC.COHN
MCENTEE JAMES
DirectorCEO & President
Transactions
- Award
Common Stock, par value $0.001
2009-12-16+595,241→ 640,229 total
Footnotes (3)
- [F1]This number refers to shares of the Company's "post-reverse split common stock," as described in Note 3.
- [F2]Pursuant to the Agreement and Plan of Merger, dated February 20, 2009, as amended, by and among Alesco Financial Inc. (now Cohen & Company Inc., the "Company"), Alesco Financial Holdings, LLC, then a wholly owned subsidiary of the Company ("Merger Sub"), and Cohen Brothers, LLC ("CB"), Merger Sub merged with and into CB, with CB becoming a majority-owned subsidiary of the Company ("Merger"), and the reporting person acquired 595,241 post-reverse split shares of the Company's common stock in exchange for 595,241 recapitalized membership units of CB on December 16, 2009, the effective date of the Merger. The per share closing price of the Company's pre-reverse split common stock on December 16, 2009, as reported on the New York Stock Exchange ("NYSE"), was $0.65.
- [F3]Immediately prior to the Merger, (1) each then outstanding Class A membership unit of CB, together with one then outstanding Class B membership unit of CB, was recapitalized into 0.57372 of a recapitalized membership unit of CB, and (2) the Company completed a 1-for-10 reverse split of its common stock. Immediately following the Merger, the Company changed its name from Alesco Financial Inc. to Cohen & Company Inc. and the Company's post-reverse split shares began trading on the NYSE Amex under the trading symbol "COHN".
Documents
Issuer
COHEN & Co INC.
CIK 0001270436
Entity typeoperating
IncorporatedMD
Related Parties
1- filerCIK 0001270436
Filing Metadata
- Form type
- 4
- Filed
- Dec 17, 7:00 PM ET
- Accepted
- Dec 18, 5:41 PM ET
- Size
- 6.8 KB