Statistik Asas
| CIK | 1270436 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Merrill Lynch & Co., Inc. - Preferred Stock
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| September 5, 2025 |
Registrant Name Cohen & Co Inc. 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): September 5, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction |
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| August 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 COH |
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| July 31, 2025 |
Registrant Name Cohen & Co Inc. 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): July 31, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of i |
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| July 31, 2025 |
Exhibit 99.1 COHEN & COMPANY REPORTS SECOND QUARTER 2025 FINANCIAL RESULTS Second Quarter 2025 Revenue of $59.9 Million Second Quarter 2025 Net Income Attributable to Cohen & Company Inc. of $1.4 Million, or $0.81 per Diluted Share Second Quarter 2025 Adjusted Pre-Tax Income of $5.5 Million, or $0.94 per Diluted Share Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, |
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| July 9, 2025 |
Registrant Name Cohen & Co Inc. 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): July 9, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of in |
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| June 25, 2025 |
Registrant Name Cohen & Co Inc. 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 23, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of i |
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| June 23, 2025 |
Registrant Name Cohen & Co Inc. 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 20, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of i |
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| June 23, 2025 |
Exhibit 10.1 THIRD AMENDMENT TO THIRD AMENDED AND RESTATED LOAN AGREEMENT This Third Amendment to Third Amended and Restated Loan Agreement (this “Amendment”) is made as of June 20, 2025, to be made effective as of June 18, 2025, by and between J.V.B. Financial Group, LLC, a Delaware limited liability company (“Broker/Dealer”), and Byline Bank (“Lender”), with reference to the following facts: A. |
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| June 4, 2025 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Cohen & Company Inc. |
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| June 4, 2025 |
Registrant Name Cohen & Co Inc. 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 4, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of in |
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| June 4, 2025 |
As filed with the Securities and Exchange Commission on June 4, 2025 As filed with the Securities and Exchange Commission on June 4, 2025 Registration No. |
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| May 21, 2025 |
Registrant Name Cohen & Co Inc. 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): May 19, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of in |
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| May 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 CO |
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| May 2, 2025 |
Exhibit 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY “[***]”, HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) THE TYPE OF INFORMATION THAT COHEN & COMPANY INC. TREATS AS PRIVATE OR CONFIDENTIAL. MASTER TRANSACTION AGREEMENT by and between COHEN & COMPANY FINANCIAL MANAGEMENT, LLC, as Seller and HCMC III, LLC, as Buyer Dated as of March 13, 2025 SECTION |
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| May 1, 2025 |
Registrant Name Cohen & Co Inc. 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): May 1, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of inc |
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| May 1, 2025 |
Exhibit 99.1 COHEN & COMPANY REPORTS FIRST QUARTER 2025 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, May 1, 2025 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in an expanding range of capital markets and asset management services, today reported financial results for its first quarter ended March 31, 2025. |
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| April 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def |
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| April 17, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| March 13, 2025 |
Entry into a Material Definitive Agreement Registrant Name Cohen & Co Inc. 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): March 13, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| March 12, 2025 |
Cohen & Company, Inc. Incentive Compensation Policy. * EXHIBIT 97.1 COHEN & COMPANY INC. INCENTIVE COMPENSATION RECOUPMENT POLICY 1. Introduction. The Board of Directors (the “Board”) of Cohen & Company Inc., a Maryland corporation (the “Company”) believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company’s pay-for-performan |
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| March 12, 2025 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934.* Exhibit 4.8 Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended The common stock, par value $0.01 per share (“Common Stock”), of Cohen & Company Inc., a Maryland corporation (the “Company,” “us” or “our”) is registered under Section 12 of the Securities Exchange Act of 1934, as amended. The following description sets forth |
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| March 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-32 |
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| March 12, 2025 |
Company Insider Trading Policy * EXHIBIT 19 Cohen and Company, LLC and its affiliates (J.V.B. Financial Group, LLC., Cohen and Company Financial Management, LLC., etc.) Policy and Procedures to Detect and Prevent Insider Trading A. Preventing insider trading is necessary to comply with securities law and to preserve the reputation and integrity of Cohen and Company, LLC and its subsidiaries (J.V.B. Financial Group, LLC, Cohen and |
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| March 12, 2025 |
Exhibit 21.1 SUBSIDIARIES OF COHEN & COMPANY INC. Name of Subsidiary Jurisdiction of Incorporation or Organization Cohen & Compagnie, SAS France Cohen & Company Financial Europe Limited S.A. France Cohen & Company Financial Management, LLC Delaware Cohen & Company Management, LLC Delaware Cohen Principal Investing, LLC Delaware Dekania Capital Management LLC Delaware Dekania Investors, LLC Del |
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| March 10, 2025 |
Exhibit 99.1 COHEN & COMPANY REPORTS FOURTH QUARTER & FULL YEAR 2024 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, March 10, 2025 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in an expanding range of capital markets and asset management services, today reported financial results for its fourth quarter and f |
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| March 10, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): March 10, 2025 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| December 3, 2024 |
COHN / Cohen & Company Inc. / Brafman Lester Raymond - SC 13D/A Activist Investment SC 13D/A 1 tm2429874d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Lester R. Brafman Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Penn |
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| December 3, 2024 |
COHN / Cohen & Company Inc. / COHEN DANIEL G - SC 13D/A Activist Investment SC 13D/A 1 tm2429874d2sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 18)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Penns |
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| November 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3202 |
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| November 4, 2024 |
Exhibit 99.1 COHEN & COMPANY REPORTS THIRD QUARTER 2024 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, November 4, 2024 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in an expanding range of capital markets and asset management services, today reported financial results for its third quarter ended September 3 |
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| November 4, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): November 4, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction o |
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| September 24, 2024 |
Exhibit 10.2 THIS NOTE HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY JURISDICTION. THIS NOTE MAY NOT BE SOLD, TRANSFERRED, ASSIGNED OR HYPOTHECATED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM. BY ACQUIRING THIS NOTE, THE HOLDER REPRESENTS THAT THE HOLDER WILL NOT SELL OR OTHERWISE DI |
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| September 24, 2024 |
Registrant Name Cohen & Co Inc. 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): September 23, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction |
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| September 24, 2024 |
Exhibit 10.1 REDEMPTION AGREEMENT This REDEMPTION AGREEMENT (this “Agreement”), is entered into as of September 23, 2024 and is effective as of September 1, 2024 (the “Effective Date”), by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and JKD Capital Partners I LTD, a New York corporation (“JKD”). Each of the Company and JKD may be referred to herein, indi |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 COH |
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| August 5, 2024 |
Exhibit 99.1 COHEN & COMPANY REPORTS SECOND QUARTER 2024 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, August 5, 2024 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in an expanding range of capital markets and asset management services, today reported financial results for its second quarter ended June 30, 20 |
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| August 5, 2024 |
Registrant Name Cohen & Co Inc. 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): August 5, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| June 18, 2024 |
Exhibit 10.1 SECOND AMENDMENT TO THIRD AMENDED AND RESTATED LOAN AGREEMENT This Second Amendment to Third Amended and Restated Loan Agreement (this “Amendment”) is made as of June 18, 2024, by and between J.V.B. Financial Group, LLC, a Delaware limited liability company (“Broker/Dealer”), and Byline Bank (“Lender”), with reference to the following facts: A. Pursuant to the terms and conditions |
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| June 18, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Registrant Name Cohen & Co Inc. 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 18, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of i |
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| June 5, 2024 |
Submission of Matters to a Vote of Security Holders Registrant Name Cohen & Co Inc. 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 5, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of in |
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| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 CO |
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| May 6, 2024 |
Registrant Name Cohen & Co Inc. 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): May 6, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of inc |
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| May 6, 2024 |
Exhibit 99.1 COHEN & COMPANY REPORTS FIRST QUARTER 2024 FINANCIAL RESULTS Net Income Attributable to Cohen & Company Inc. of $2.0 Million, or $1.28 per Diluted Share Adjusted Pre-Tax income of $7.7 Million, or $1.37 per Diluted Share Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, May 6, 2024 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm sp |
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| May 2, 2024 |
As filed with the Securities and Exchange Commission on May 2, 2024 As filed with the Securities and Exchange Commission on May 2, 2024 Registration No. |
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| May 2, 2024 |
COHEN & COMPANY INC. Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania May 2, 2024 COHEN & COMPANY INC. Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania May 2, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Madeleine Joy Mateo Re: Cohen & Company Inc. Registration Statement on Form S-3 Filed on October 26, 2023 File No. 333-275186 Dear Ms. Mateo: Pursuant to Rule 461 under th |
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| April 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def |
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| April 19, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| March 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-32 |
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| March 6, 2024 |
Cohen & Company, Inc. Incentive Compensation Policy. * EXHIBIT 97.1 COHEN & COMPANY INC. INCENTIVE COMPENSATION RECOUPMENT POLICY 1. Introduction. The Board of Directors (the “Board”) of Cohen & Company Inc., a Maryland corporation (the “Company”) believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company’s pay-for-performan |
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| March 6, 2024 |
Exhibit 21.1 SUBSIDIARIES OF COHEN & COMPANY INC. Name of Subsidiary Jurisdiction of Incorporation or Organization Cohen & Compagnie, SAS France Cohen & Company Financial Europe Limited S.A. France Cohen & Company Financial Management, LLC Delaware Cohen & Company Management, LLC Delaware Cohen Principal Investing, LLC Delaware Dekania Capital Management LLC Delaware Dekania Investors, LLC Del |
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| March 6, 2024 |
Exhibit 99.1 COHEN & COMPANY REPORTS FOURTH QUARTER & FULL YEAR 2023 FINANCIAL RESULTS Fourth Quarter Net Income Attributable to Cohen & Company Inc. of $4.5 Million, or $2.97 per Diluted Share Fourth Quarter Adjusted Pre-Tax income of $16.0 Million, or $2.88 per Diluted Share Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, March 6, 2024 – Cohen & Company Inc. (NYSE |
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| March 6, 2024 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934.* Exhibit 4.8 Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended The common stock, par value $0.01 per share (“Common Stock”), of Cohen & Company Inc., a Maryland corporation (the “Company,” “us” or “our”) is registered under Section 12 of the Securities Exchange Act of 1934, as amended. The following description sets forth |
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| March 6, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): March 6, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of i |
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| January 29, 2024 |
Exhibit 4.1 SUPPLEMENTAL INDENTURE NO. 1 TO JUNIOR SUBORDINATED INDENTURE THIS SUPPLEMENTAL INDENTURE NO. 1 (this “Supplemental Indenture”), is entered into as of January 26, 2024 and is made effective as of July 1, 2023 (the “Effective Date”), by and between Cohen & Company Inc. (formerly Alesco Financial Inc.) (the “Issuer”) and Wells Fargo Bank, N.A. (the “Trustee”). Capitalized terms used here |
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| January 29, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, 8-K Registrant Name Cohen & Co Inc. 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): January 26, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction o |
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| January 5, 2024 |
Exhibit 10.1 AMENDMENT NO. 1 TO AMENDED AND RESTATED SENIOR PROMISSORY NOTE This AMENDMENT NO. 1 TO AMENDED AND RESTATED SENIOR PROMISSORY NOTE (this “Amendment”), dated January 5, 2024 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and the JKD Capital Partners I LTD, a New York corporation (the “Holder”). Each of |
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| January 5, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Registrant Name Cohen & Co Inc. 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): January 5, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| January 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 16-1685692 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) C |
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| January 2, 2024 |
Registrant Name Cohen & Co Inc. 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): January 2, 2024 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| January 2, 2024 |
Exhibit 4.1 COHEN & COMPANY INC. and COMPUTERSHARE INC. as Rights Agent Section 382 Rights Agreement Dated as of January 2, 2024 Table of Contents Page Section 1. Certain Definitions 1 Section 2. Appointment of Rights Agent 7 Section 3. Issue of Rights Certificates 7 Section 4. Form of Rights Certificates 9 Section 5. Countersignature and Registration 10 Section 6. Transfer, Split Up, Combination |
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| December 26, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Registrant Name Cohen & Co Inc. 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): December 22, 2023 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction |
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| December 26, 2023 |
Exhibit 10.1 FIRST AMENDMENT TO THIRD AMENDED AND RESTATED LOAN AGREEMENT This First Amendment to Third Amended and Restated Loan Agreement (this “Amendment”) is made as of December 22, 2023, to be effective December 21, 2023, by and between J.V.B. Financial Group, LLC, a Delaware limited liability company (“Broker/Dealer”), and Byline Bank (“Lender”), with reference to the following facts: A. |
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| December 4, 2023 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 17)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, A |
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| December 4, 2023 |
COHN / Cohen & Company Inc / Brafman Lester Raymond - SC 13D/A Activist Investment SC 13D/A 1 tm2331757d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Lester R. Brafman Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Penn |
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| December 1, 2023 |
VIA EDGAR December 1, 2023 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| November 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3202 |
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| November 2, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): November 2, 2023 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction o |
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| November 2, 2023 |
Exhibit 99.1 COHEN & COMPANY REPORTS THIRD QUARTER 2023 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, November 2, 2023 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in an expanding range of capital markets and asset management services, today reported financial results for its third quarter ended September 3 |
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| October 26, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Cohen & Company Inc. |
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| October 26, 2023 |
As filed with the Securities and Exchange Commission on October 26, 2023 As filed with the Securities and Exchange Commission on October 26, 2023 Registration No. |
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| October 5, 2023 |
Exhibit 10.1 Cohen & CoMPANY inc. EQUITY DISTRIBUTION AGREEMENT October 5, 2023 NORTHLAND CAPITAL MARKETS1 150 South Fifth Street, Suite 3300 Minneapolis, Minnesota 55402 Ladies and Gentlemen: Cohen & Company Inc., a Maryland corporation (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement (as defined b |
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| October 5, 2023 |
Registrant Name Cohen & Co Inc. 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): October 5, 2023 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| October 5, 2023 |
COHEN & COMPANY INC. Up to $4,711,767 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249641 PROSPECTUS SUPPLEMENT (To Prospectus dated November 10, 2020) COHEN & COMPANY INC. Up to $4,711,767 Shares of Common Stock We have entered into an Equity Distribution Agreement, or, the Sale Agreement, with Northland Securities, Inc. (trade name Northland Capital Markets), or Northland, relating to shares of our common stock, par value $ |
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| August 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 COH |
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| August 2, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): August 2, 2023 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| August 2, 2023 |
Exhibit 99.1 COHEN & COMPANY REPORTS SECOND QUARTER 2023 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, August 2, 2023 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in an expanding range of capital markets and asset management services, today reported financial results for its second quarter ended June 30, 20 |
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| June 9, 2023 |
Exhibit 10.1 THIRD AMENDED AND RESTATED LOAN AGREEMENT This Third Amended and Restated Loan Agreement (this “Loan Agreement”), dated as of June 9, 2023, is by J.V.B. Financial Group, LLC, a Delaware limited liability company (the “Broker/Dealer”), and Byline Bank (the “Lender”), with reference to the following facts: A. The Lender and the Broker/Dealer are parties to that certain Second |
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| June 9, 2023 |
Registrant Name Cohen & Co Inc. 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 9, 2023 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of in |
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| June 7, 2023 |
Registrant Name Cohen & Co Inc. 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 7, 2023 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of in |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 CO |
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| May 4, 2023 |
Registrant Name Cohen & Co Inc. 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): May 4, 2023 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of inc |
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| May 4, 2023 |
Exhibit 99.1 COHEN & COMPANY REPORTS FIRST QUARTER 2023 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, May 4, 2023 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in an expanding range of capital markets and asset management services, today reported financial results for its first quarter ended March 31, 2023. |
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| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def |
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| April 21, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| March 9, 2023 |
Exhibit 21.1 SUBSIDIARIES OF COHEN & COMPANY INC. Name of Subsidiary Jurisdiction of Incorporation or Organization Cohen & Compagnie, SAS France Cohen & Company Financial Europe Limited S.A. France Cohen & Company Financial Management, LLC Delaware Cohen & Company Management, LLC Delaware Cohen Principal Investing, LLC Delaware Dekania Capital Management LLC Delaware Dekania Investors, LLC Del |
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| March 9, 2023 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934.* Exhibit 4.8 Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended The common stock, par value $0.01 per share (“Common Stock”), of Cohen & Company Inc., a Maryland corporation (the “Company,” “us” or “our”) is registered under Section 12 of the Securities Exchange Act of 1934, as amended. The following description sets forth |
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| March 9, 2023 |
EXHIBIT 10.28 AMENDMENT NO. 2 TO INVESTMENT AGREEMENT THIS AMENDMENT NO. 2 TO INVESTMENT AGREEMENT (this “Amendment”), is entered into as of February 13, 2023 and effective January 1, 2023 (the “Effective Date”), by and between Cohen & Company, LLC (formerly IFMI, LLC), a Delaware limited liability company (the “Company”), and JKD Capital Partners I LTD, a New York corporation (“Investor”). Capita |
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| March 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-32 |
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| March 7, 2023 |
Exhibit 99.1 COHEN & COMPANY REPORTS FOURTH QUARTER & FULL YEAR 2022 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, March 7, 2023 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in an expanding range of capital markets and asset management services, today reported financial results for its fourth quarter and fu |
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| March 7, 2023 |
Registrant Name Cohen & Co Inc. 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): March 7, 2023 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of i |
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| December 23, 2022 |
Registrant Name Cohen & Co Inc. 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): December 21, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction |
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| December 23, 2022 |
Exhibit 10.1 SECOND AMENDED AND RESTATED REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT THIS SECOND AMENDED AND RESTATED REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT (this ?Agreement?) is entered into this December 21, 2022, between Byline Bank (the ?Lender?) and J.V.B. Financial Group, LLC (the ?Broker/Dealer?). This Agreement shall not be effective or deemed to constitute a satisfactory subo |
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| December 5, 2022 |
COHN / Cohen & Company Inc / Brafman Lester Raymond - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Lester R. Brafman Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, |
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| December 5, 2022 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment SC 13D/A 1 tm2231671d2sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Penns |
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| November 22, 2022 |
Registrant Name Cohen & Co Inc. 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): November 18, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction |
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| November 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3202 |
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| November 2, 2022 |
Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): November 2, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction o |
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| November 2, 2022 |
Exhibit 99.1 COHEN & COMPANY REPORTS THIRD QUARTER 2022 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, November 2, 2022 ? Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income and SPAC markets, today reported financial results for its third quarter ended September 30, 2022. Summary Operating Results Thr |
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| August 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 COH |
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| August 3, 2022 |
Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): August 3, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| August 3, 2022 |
Exhibit 99.1 COHEN & COMPANY REPORTS SECOND QUARTER 2022 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, August 3, 2022 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income and SPAC markets, today reported financial results for its second quarter ended June 30, 2022. Summary Operating Results Three Mo |
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| June 3, 2022 |
Registrant Name Cohen & Co Inc. 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 2, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of in |
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| June 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 16-1685692 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) Cira Centre, 2929 Arch Street, Suite 1703, Philadelphia, Pennsylvan |
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| June 3, 2022 |
EX-FILING FEES 4 tm2217149d1ex-fillingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Cohen & Company Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(2) Fee |
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| May 25, 2022 |
Registrant Name Cohen & Co Inc. 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): May 24, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of in |
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| May 25, 2022 |
Exhibit 10.1 AMENDMENT NO. 1 TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amendment No. 1 to Amended and Restated Employment Agreement (this ?Amendment?), dated May 24, 2022 (the ?Effective Date?), is entered into by and among Cohen & Company, LLC (formerly IFMI, LLC), a Delaware limited liability company (the ?Company?), Cohen & Company Inc. (formerly Institutional Financial Markets, Inc.), |
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| May 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 CO |
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| May 5, 2022 |
Exhibit 99.1 COHEN & COMPANY REPORTS FIRST QUARTER 2022 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, May 5, 2022 ? Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income and SPAC markets, today reported financial results for its first quarter ended March 31, 2022. Summary Operating Results Three Months |
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| May 5, 2022 |
Results of Operations and Financial Condition, Financial Statements and Exhibits Registrant Name Cohen & Co Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other j |
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| May 5, 2022 |
Exhibit 99.1 CORRECTION ? COHEN & COMPANY REPORTS FIRST QUARTER 2022 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share Philadelphia and New York, May 5, 2022 Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income and SPAC markets, today reported financial results for its first quarter ended March 31, 2022. Summary Operating Results T |
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| May 5, 2022 |
Results of Operations and Financial Condition, Financial Statements and Exhibits Registrant Name Cohen & Co Inc. 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): May 5, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of inc |
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| April 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.???) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Def |
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| April 14, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.???? ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by R |
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| March 22, 2022 |
Registrant Name Cohen & Co Inc. 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): March 20, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter)2 Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| March 22, 2022 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, A |
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| March 10, 2022 |
Registrant Name Cohen & Co Inc. 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): March 10, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of |
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| March 9, 2022 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934.* Exhibit 4.8 Description of the Registrant?s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended The common stock, par value $0.01 per share (?Common Stock?), of Cohen & Company Inc., a Maryland corporation (the ?Company,? ?us? or ?our?) is registered under Section 12 of the Securities Exchange Act of 1934, as amended. The following description sets forth |
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| March 9, 2022 |
Exhibit 21.1 SUBSIDIARIES OF COHEN & COMPANY INC. ? ? Name of Subsidiary Jurisdiction of Incorporation or Organization Cohen & Compagnie, SAS France Cohen & Company Financial Europe Limited S.A. France Cohen & Company Financial Management, LLC Delaware Cohen & Company Management, LLC Delaware Cohen Principal Investing, LLC Delaware Dekania Capital Management LLC Delaware Dekania Investors, LLC Del |
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| March 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-32 |
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| March 8, 2022 |
Exhibit 99.1 COHEN & COMPANY REPORTS FOURTH QUARTER & FULL YEAR 2021 FINANCIAL RESULTS Board Declares Quarterly Dividend of $0.25 per Share and Special Dividend of $0.75 per Share Fourth Quarter Net Income Attributable to Cohen & Company Inc. of $3.6 Million, or $2.13 per Diluted Share Fourth Quarter Adjusted Pre-Tax Income of $6.4 Million, or $1.23 per Diluted Share Full Year Net Income Attributa |
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| March 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): March 8, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of i |
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| January 31, 2022 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This NOTE PURCHASE AGREEMENT (this ?Agreement?), is entered into as of January 31, 2022, by and between Cohen & Company, LLC, a Delaware limited liability company (the ?Company?), and JKD Capital Partners I LTD, a New York corporation (?JKD?). Each of the Company and JKD may be referred to herein, individually, as a ?Party,? and, together, as the ?Parties.? REC |
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| January 31, 2022 |
Registrant Name Cohen & Co Inc. 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): January 31, 2022 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction o |
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| January 31, 2022 |
Exhibit 10.2 THIS NOTE HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY JURISDICTION. THIS NOTE MAY NOT BE SOLD, TRANSFERRED, ASSIGNED OR HYPOTHECATED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM. BY ACQUIRING THIS NOTE, THE HOLDER REPRESENTS THAT THE HOLDER WILL NOT SELL OR OTHERWISE DI |
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| December 22, 2021 |
Exhibit 10.1 COHEN & COMPANY, LLC AMENDMENT NO. 5 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT THIS AMENDMENT NO. 5 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of Cohen & Company, LLC (?Amendment No. 5?), dated as of December 20, 2021 (the ?Effective Date?), is entered into by and among the Members listed on the signature pages hereof with respect to Cohen & Company, |
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| December 22, 2021 |
Registrant Name Cohen & Co Inc. 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): December 20, 2021 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction |
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| December 22, 2021 |
Exhibit 10.2 FINRA Form rev - 33R AMENDED AND RESTATED REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT THIS AMENDED AND RESTATED REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT is entered into this December 21, 2021, between Byline Bank (the ?Lender?) and J.V.B. Financial Group, LLC (the ?Broker/Dealer?). This Agreement shall not be effective or deemed to constitute a satisfactory subordination ag |
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| December 3, 2021 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, A |
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| December 3, 2021 |
COHN / Cohen & Company Inc / Brafman Lester Raymond - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Lester R. Brafman Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3202 |
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| November 2, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Registrant Name Cohen & Co Inc. 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): November 2, 2021 Cohen & Company Inc. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction o |
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| November 2, 2021 |
Exhibit 99.1 COHEN & COMPANY REPORTS THIRD QUARTER 2021 FINANCIAL RESULTS Board Declares Dividend of $0.25 per Share Philadelphia and New York, November 2, 2021 ? Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income markets and, more recently, in SPAC markets, today reported financial results for its third quarter ended September 30, 2021. Summary Oper |
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| October 28, 2021 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, A |
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| August 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 COH |
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| July 29, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): July 29, 2021 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File N |
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| July 29, 2021 |
Exhibit 99.1 COHEN & COMPANY REPORTS SECOND QUARTER 2021 FINANCIAL RESULTS AND ANNOUNCES RESUMPTION OF QUARTERLY DIVIDEND Second Quarter Net Income Attributable to Cohen & Company Inc. of $1.7 Million, or $1.21 per Diluted Share Second Quarter Adjusted Pre-Tax Income of $3.7 Million, or $0.78 per Diluted Share Reinstating Quarterly Cash Dividend; Board Declares Dividend of $0.25 per Share Philadel |
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| June 25, 2021 |
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 21, 2021 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File N |
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| June 10, 2021 |
As filed with the Securities and Exchange Commission on June 10, 2021. As filed with the Securities and Exchange Commission on June 10, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 16-1685692 (State or other jurisdiction of incorporation or organization) (I.R.S. Emp |
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| June 9, 2021 |
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 7, 2021 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File Nu |
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| May 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 6, 2021 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 6, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 CO |
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| May 6, 2021 |
Exhibit 99.1 COHEN & COMPANY REPORTS FIRST QUARTER 2021 FINANCIAL RESULTS First Quarter Net Income Attributable to Cohen & Company Inc. of $9.4 Million, or $6.98 per Diluted Share First Quarter Adjusted Pre-Tax Income of $37.6 Million, or $7.52 per Diluted Share INSU Acquisition Corp. II Merger with Metromile, Inc. Contributes $33.4 Million to Adjusted Pre-Tax Income in First Quarter Philadelphia |
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| April 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.???) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Def |
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| April 13, 2021 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.???) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rul |
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| March 12, 2021 |
Financial Statements and Exhibits, Entry into a Material Definitive Agreement 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): March 10, 2021 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File |
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| March 12, 2021 |
Exhibit 10.1 FORM OF DIRECTOR AND/OR OFFICER INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this ?Agreement?) is made and entered into as of , 20 by and between Cohen & Company Inc., a Maryland corporation (the ?Company?), and (?Indemnitee?). WHEREAS, at the request of the Company, Indemnitee is serving as a director and/or officer of the Company and may, therefore, be subjected to clai |
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| March 8, 2021 |
COHEN & COMPANY INC. Up to $9,318,043 Shares of common stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249641 SUPPLEMENT NO. 1 TO PROSPECTUS SUPPLEMENT Dated December 1, 2020 (To Prospectus dated November 10, 2020) COHEN & COMPANY INC. Up to $9,318,043 Shares of common stock This Supplement No. 1 (this “Supplement”) updates and amends certain information contained in the prospectus supplement dated December 1, 2020 (the “Original Supplement”) an |
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| March 5, 2021 |
EXHIBIT 10.53 FORM OF COHEN & COMPANY INC. 2020 LONG-TERM INCENTIVE PLAN RESTRICTED STOCK AWARD RESTRICTED STOCK AWARD by and between Cohen & Company Inc., a Maryland corporation (the ?Company?), and (the ?Grantee?), dated as of (the ?Effective Date?). WHEREAS, the Company maintains the Cohen & Company Inc. 2020 Long-Term Incentive Plan (as amended from time to time, the ?Plan?); and WHEREAS, the |
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| March 5, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-32 |
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| March 5, 2021 |
Exhibit 21.1 SUBSIDIARIES OF COHEN & COMPANY INC. ? ? Name of Subsidiary Jurisdiction of Incorporation or Organization Cohen & Compagnie, SAS France Cohen & Company Financial (Europe) Limited Ireland Cohen & Company Financial Management, LLC Delaware Cohen & Company Management, LLC Delaware Cohen Principal Investing, LLC Delaware Dekania Capital Management LLC Delaware Dekania Investors, LLC Delaw |
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| March 5, 2021 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934.* Exhibit 4.8 Description of the Registrant?s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended The common stock, par value $0.01 per share (?Common Stock?), of Cohen & Company Inc., a Maryland corporation (the ?Company,? ?us? or ?our?) is registered under Section 12 of the Securities Exchange Act of 1934, as amended. The following description sets forth |
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| March 3, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): March 3, 2021 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File N |
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| March 3, 2021 |
Exhibit 99.1 COHEN & COMPANY REPORTS FOURTH QUARTER & FULL YEAR 2020 FINANCIAL RESULTS Fourth Quarter Net Income Attributable to Cohen & Company Inc. of $14.8 Million, or $7.64 per Diluted Share Fourth Quarter Adjusted Pre-Tax Income of $23.8 Million, or $4.64 per Diluted Share Full Year Net Income Attributable to Cohen & Company Inc. of $14.2 Million, or $7.66 per Diluted Share Full Year Adjusted |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Lester R. Brafman Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, A |
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| February 11, 2021 |
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): February 9, 2021 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fil |
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| February 5, 2021 |
Exhibit 10.1 AMENDMENT NO. 3 TO EMPLOYMENT AGREEMENT This Amendment No. 3 to EMPLOYMENT AGREEMENT (this “Amendment”) is executed as of February 3, 2021 (the “Effective Date”), by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and Joseph W. Pooler, Jr. (“Executive”). RECITALS: WHEREAS, the Company and Executive entered into the Amended and Restated Employmen |
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| February 5, 2021 |
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): February 3, 2021 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fil |
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| December 23, 2020 |
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): December 22, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fi |
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| December 22, 2020 |
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): December 21, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fi |
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| December 2, 2020 |
COHEN & COMPANY INC. Up to $5,108,136 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249641 PROSPECTUS SUPPLEMENT (To Prospectus dated November 10, 2020) COHEN & COMPANY INC. Up to $5,108,136 Shares of Common Stock We previously entered into an Equity Distribution Agreement, or the Sale Agreement, with Northland Securities, Inc., (trade name Northland Capital Markets), or Northland, relating to shares of our common stock, par v |
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| December 2, 2020 |
Exhibit 10.1 Cohen & CoMPANY inc. EQUITY DISTRIBUTION AGREEMENT December 1, 2020 NORTHLAND CAPITAL MARKETS1 150 South Fifth Street, Suite 3300 Minneapolis, Minnesota 55402 Ladies and Gentlemen: Cohen & Company Inc., a Maryland corporation (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement (as defined |
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| December 2, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): December 1, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 30, 2020 |
Exhibit 10.1 SUBSCRIPTION AGREEMENT This SUBSCRIPTION AGREEMENT (this “Subscription Agreement”) is entered into on November 24, 2020, by and among INSU Acquisition Corp. II, a Delaware corporation (the “Issuer”), and the subscriber party set forth on the signature page hereto (“Subscriber”). WHEREAS, the Issuer is concurrently with the execution and delivery hereof entering into an Agreement and P |
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| November 30, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 24, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation or orga |
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| November 30, 2020 |
Exhibit 10.2 SPONSOR SHARE CANCELLATION AND VESTING AGREEMENT This SPONSOR SHARE CANCELLATION AND VESTING AGREEMENT (this “Agreement”) is dated as of November 24, 2020, by and among INSU Acquisition Corp. II, a Delaware corporation (“Parent”), Insurance Acquisition Sponsor II, LLC, a Delaware limited liability company (“Sponsor II”), and Dioptra Advisors II, LLC, a Delaware limited liability compa |
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| November 10, 2020 |
As filed with the Securities and Exchange Commission on November 10, 2020 Registration No. |
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| November 6, 2020 |
Cohen & Company Inc. Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104 Cohen & Company Inc. Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104 November 6, 2020 VIA EDGAR AND EMAIL Securities and Exchange Commission Division of Corporation Finance 100 F Street NE Washington, D.C. 20549-3561 Attn: Davin Lin Re: Cohen & Company Inc. Amendment No. 1 to Registration Statement on Form S-3 (File No. 333-249641) Request for Acceleration of Effective Da |
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| November 6, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3202 |
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| November 5, 2020 |
As filed with the Securities and Exchange Commission on November 5, 2020 Registration No. |
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| November 4, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K 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): November 4, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 4, 2020 |
Exhibit 99.1 COHEN & COMPANY REPORTS THIRD QUARTER 2020 FINANCIAL RESULTS Net Income of $3.3 Million, or $1.19 per Diluted Share Adjusted Net Income of $4.2 Million, or $1.19 per Diluted Share Philadelphia and New York, November 4, 2020 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income markets, today reported financial results for its third quarte |
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| October 30, 2020 |
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): October 27, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fil |
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| October 30, 2020 |
Exhibit 10.1 LOAN AGREEMENT among J.V.B. FINANCIAL GROUP, LLC, as Borrower, J.V.B. FINANCIAL GROUP HOLDINGS, LP, as Corporate Guarantor, C&CO/PRINCERIDGE PARTNERS LLC, as general partner of J.V.B. Financial Group Holdings, LP, COHEN & COMPANY, LLC, as Corporate Guarantor, COHEN & COMPANY INC., as Corporate Guarantor, and BYLINE BANK Dated as of October 28, 2020 TABLE OF CONTENTS 1. DEFINITIONS 1 1 |
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| October 30, 2020 |
Exhibit 10.2 REVOLVING NOTE AND CASH SUBORDINATION AGREEMENT THIS AGREEMENT is entered into this October 28, 2020, between Byline Bank (the “Lender”) and J.V.B. Financial Group, LLC (the “Broker/Dealer”). This Agreement shall not be effective or deemed to constitute a satisfactory subordination agreement under Appendix D to Rule 15c3-1 under the Securities Exchange Act of 1934, as amended (the “Ac |
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| October 23, 2020 |
As filed with the Securities and Exchange Commission on October 23, 2020 Registration No. |
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| October 15, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K 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): October 9, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File |
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| October 15, 2020 |
Exhibit 10.1 AMENDMENT NO. 4 TO INVESTMENT AGREEMENT THIS AMENDMENT NO. 4 TO INVESTMENT AGREEMENT (this “Amendment”), dated as of October 9, 2020 and effective as of October 15, 2020 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and Cohen Bros. Financial LLC, a Delaware limited liability company (“Investor”). Capi |
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| October 15, 2020 |
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): October 13, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fil |
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| September 29, 2020 |
Exhibit 10.5 AMENDMENT NO. 1 TO CONVERTIBLE SENIOR SECURED PROMISSORY NOTE THIS AMENDMENT NO. 1 TO CONVERTIBLE SENIOR SECURED PROMISSORY NOTE (this “Amendment”), dated as of September 25, 2020 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and the DGC Family Fintech Trust (the “Noteholder”), a trust established by |
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| September 29, 2020 |
Exhibit 10.3 AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT THIS AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT (this “Amendment”), dated as of September 25, 2020 (the “Effective Date”), is entered into by and among Cohen & Company Inc., a Maryland corporation (the “Parent”), Cohen & Company, LLC, a Delaware limited liability company and a subsidiary of Parent (the “Operating LLC”), Daniel G. |
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| September 29, 2020 |
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): September 25, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission F |
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| September 29, 2020 |
Exhibit 10.1 AMENDMENT NO. 1 TO SENIOR PROMISSORY NOTE THIS AMENDMENT NO. 1 TO SENIOR PROMISSORY NOTE (this “Amendment”), dated as of September 25, 2020 (the “Effective Date”), is entered into by and between Cohen & Company Inc., a Maryland corporation (the “Company”), and the EBC 2013 Family Trust (the “Noteholder”). Capitalized terms used herein but otherwise not defined shall have the meanings |
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| September 29, 2020 |
Exhibit 10.2 AMENDMENT NO. 3 TO INVESTMENT AGREEMENT THIS AMENDMENT NO. 3 TO INVESTMENT AGREEMENT (this “Amendment”), dated as of September 25, 2020 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and Cohen Bros. Financial LLC, a Delaware limited liability company (“Investor”). Capitalized terms used herein but othe |
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| September 29, 2020 |
Exhibit 10.4 COHEN & COMPANY, LLC AMENDMENT NO. 4 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT THIS AMENDMENT NO. 4 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of Cohen & Company, LLC, dated as of September 25, 2020 (“Amendment No. 4”), is entered into by and among each of the Members set forth on the signature pages hereto. Background On December 16, 2009, the Membe |
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| September 17, 2020 |
Exhibit 4.24 COHEN & COMPANY INC. 2020 LONG-TERM INCENTIVE PLAN Cohen & Company Inc., a Maryland corporation (the "Company"), wishes to attract key employees, Directors, officers, advisors and consultants to the Company and Subsidiaries, and induce key employees, Directors, officers, advisors, consultants and other personnel to remain with the Company and Subsidiaries and encourage them to increas |
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| September 17, 2020 |
As filed with the Securities and Exchange Commission on September 17, 2020. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 16-1685692 (State or other jurisdiction of incorporation or organization) (I.R.S |
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| September 11, 2020 |
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): September 8, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 31, 2020 |
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): August 31, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File |
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| August 7, 2020 |
Exhibit 99.1 COHEN & COMPANY REPORTS SECOND QUARTER 2020 FINANCIAL RESULTS Net Income of $3.3 Million or $0.69 per Diluted Share Adjusted Net Income of $4.0 Million or $0.80 per Diluted Share Philadelphia and New York, August 7, 2020 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income markets, today reported financial results for its second quarter |
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| August 7, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 COH |
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| August 7, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 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): August 7, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File |
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| July 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation or organiza |
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| July 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation or organiza |
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| June 19, 2020 |
Submission of Matters to a Vote of Security Holders 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 18, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File N |
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| June 19, 2020 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, A |
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| May 22, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Delaware 1-32026 16-1685692 (State or other jurisdiction of incorporation or organizat |
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| May 8, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 8, 2020 |
COHEN & COMPANY REPORTS FIRST QUARTER 2020 FINANCIAL RESULTS Exhibit 99.1 COHEN & COMPANY REPORTS FIRST QUARTER 2020 FINANCIAL RESULTS Philadelphia and New York, May 8, 2020 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income markets, today reported financial results for its first quarter ended March 31, 2020. Summary Operating Results Three Months Ended ($ in thousands) 3/31/20 12/31/19 3/31/19 Total revenue |
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| May 8, 2020 |
10-Q 1 cohn-20200331x10q.htm 10-Q / UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Nu |
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| May 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001- |
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| May 7, 2020 |
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): May 7, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 7, 2020 |
Exhibit 10.1 U.S. Small Business Administration Note SBA Loan # PPP 77523572-06 SBA Loan Name Cohen & Company, LLC Date May 1,2020 Loan Amount $2,165,600.00 Interest Rate 1.00%; Fixed Rate Borrower Cohen & Company, LLC, a Delaware LLC Operating Company N/A Lender Fifth Third Bank, National Association, a federally chartered institution 1. PROMISE TO PAY: In return for the Loan, Borrower promises t |
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| May 1, 2020 |
Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 21, 2020 |
COHN / Cohen & Company Inc PRE 14A - - PRE 14A Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 7, 2020 |
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): April 7, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File N |
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| April 7, 2020 |
Exhibit 10.1 COHEN & COMPANY INC. 2020 LONG-TERM INCENTIVE PLAN Cohen & Company Inc., a Maryland corporation (the “Company”), wishes to attract key employees, Directors, officers, advisors and consultants to the Company and Subsidiaries, and induce key employees, Directors, officers, advisors, consultants and other personnel to remain with the Company and Subsidiaries and encourage them to increas |
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| March 10, 2020 |
Form 8-A filed with the SEC on March 10, 2020 8-A12B 1 tm207557d58a12b.htm 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 16-1685692 (State or other jurisdiction of incorporation or organization) (I |
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| March 10, 2020 |
Exhibit 4.1 COHEN & COMPANY INC. and COMPUTERSHARE INC. as Rights Agent Section 382 Rights Agreement Dated as of March 10, 2020 Table of Contents Page Section 1. Certain Definitions 1 Section 2. Appointment of Rights Agent 6 Section 3. Issue of Rights Certificates 7 Section 4. Form of Rights Certificates 8 Section 5. Countersignature and Registration 9 Section 6. Transfer, Split Up, Combination an |
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| March 10, 2020 |
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): March 10, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File |
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| March 6, 2020 |
Exhibit 21.1 SUBSIDIARIES OF COHEN & COMPANY INC. Name of Subsidiary Jurisdiction of Incorporation or Organization Cohen & Compagnie, SAS France Cohen & Company Financial (Europe) Limited Ireland Cohen & Company Financial Limited United Kingdom Cohen & Company Financial Management, LLC Delaware Cohen & Company Management, LLC Delaware Cohen Principal Investing, LLC Delaware Dekania Capital Man |
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| March 6, 2020 |
Exhibit 4.7 Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended The common stock, par value $0.01 per share (“Common Stock”), of Cohen & Company Inc., a Maryland corporation (the “Company,” “us” or “our”) is registered under Section 12 of the Securities Exchange Act of 1934, as amended. The following description sets forth |
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| March 6, 2020 |
COHN / Cohen & Company Inc 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-32026 COHEN & COMPAN |
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| March 5, 2020 |
COHEN & COMPANY REPORTS FOURTH QUARTER & FULL YEAR 2019 FINANCIAL RESULTS EX-99.1 2 tm207557d2ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 COHEN & COMPANY REPORTS FOURTH QUARTER & FULL YEAR 2019 FINANCIAL RESULTS Philadelphia and New York, March 5, 2020 – Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income markets, today reported financial results for its fourth quarter and full year ended December 31, 2019. Summary Operating Resul |
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| March 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): March 5, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File N |
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| February 12, 2020 |
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): February 12, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fi |
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| February 12, 2020 |
Exhibi 10.1 COHEN & COMPANY INC. NON-QUALIFIED DEFERRED COMPENSATION PLAN Effective February 12, 2020 TABLE OF CONTENTS Page Article I The Plan 1 1.1 Establishment of Plan 1 1.2 Purpose of Plan 1 1.3 Application of the Plan 1 1.4 Compliance with Code Section 409A 1 Article II Definitions 2 2.1 “Account” 2 2.2 “Affiliate” 2 2.3 “Award Letter” 2 2.4 “Base Cash Salary” 2 2.5 “Beneficiary” 2 2.6 “Bonu |
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| February 3, 2020 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This NOTE PURCHASE AGREEMENT (this “Agreement”), is entered into as of January 31, 2020, by and among Cohen & Company, LLC, a Delaware limited liability company (the “Company”), JKD Capital Partners I LTD, a New York corporation (“JKD”), and RN Capital Solutions LLC, a Delaware limited liability company (“RNCS”). Each of JKD and RNCS may be referred to herein, |
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| February 3, 2020 |
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): January 31, 2020 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fil |
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| February 3, 2020 |
Exhibit 10.2 THIS NOTE HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY JURISDICTION. THIS NOTE MAY NOT BE SOLD, TRANSFERRED, ASSIGNED OR HYPOTHECATED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM. BY ACQUIRING THIS NOTE, THE HOLDER REPRESENTS THAT THE HOLDER WILL NOT SELL OR OTHERWISE DI |
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| February 3, 2020 |
Exhibit 10.3 THIS NOTE HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY JURISDICTION. THIS NOTE MAY NOT BE SOLD, TRANSFERRED, ASSIGNED OR HYPOTHECATED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM. BY ACQUIRING THIS NOTE, THE HOLDER REPRESENTS THAT THE HOLDER WILL NOT SELL OR OTHERWISE DI |
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| January 6, 2020 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, A |
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| January 6, 2020 |
EX-1 2 a20-11531ex1.htm EX-1 Exhibit 1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of December 30, 2019 (the “Effective Date”), is entered into by and among Cohen & Company Inc., a Maryland corporation (“Parent”), Cohen & Company, LLC, a Delaware limited liability company and a subsidiary of Parent (the “Operating LLC”), Daniel G. Cohen, an individ |
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| December 31, 2019 |
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): December 30, 2019 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fi |
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| December 31, 2019 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of December 30, 2019 (the “Effective Date”), is entered into by and among Cohen & Company Inc., a Maryland corporation (“Parent”), Cohen & Company, LLC, a Delaware limited liability company and a subsidiary of Parent (the “Operating LLC”), Daniel G. Cohen, an individual (“Mr. Cohen”), and The |
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| December 31, 2019 |
Exhibit 3.1 COHEN & COMPANY INC. ARTICLES SUPPLEMENTARY SERIES F VOTING NON-CONVERTIBLE PREFERRED STOCK (PAR VALUE $.001 PER SHARE) COHEN & COMPANY INC. (the “Corporation”), a Maryland corporation, hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Pursuant to the authority vested in the Board of Directors of the Corporation (the “Board of Directors”) by |
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| December 9, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 tm1924694d18k.htm FORM 8-K 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): December 4, 2019 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction |
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| December 9, 2019 |
Exhibit 10.1 AMENDMENT NO. 2 TO INVESTMENT AGREEMENT THIS AMENDMENT NO. 2 TO INVESTMENT AGREEMENT (this “Amendment”), dated as of December 4, 2019 and effective as of October 1, 2019 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and Cohen Bros. Financial LLC, a Delaware limited liability company (“Investor”). Capi |
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| December 9, 2019 |
Exhibit 10.2 AMENDMENT NO. 2 TO INVESTMENT AGREEMENT THIS AMENDMENT NO. 2 TO INVESTMENT AGREEMENT (this “Amendment”), dated as of December 4, 2019 and effective as of October 1, 2019 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and The DGC Family Fintech Trust (“Investor”). Capitalized terms used herein but other |
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| December 3, 2019 |
Exhibit 1 COHEN & COMPANY INC. 2010 LONG-TERM INCENTIVE PLAN COHEN & COMPANY, LLC RESTRICTED MEMBERSHIP UNIT AWARD Restricted Membership Unit Award by and among Cohen & Company Inc., a Maryland corporation (the “Company”) and Cohen & Company, LLC, a majority owned subsidiary of the Company (the “Operating Company”), in favor of Daniel G. Cohen (the “Grantee”), dated as of February 14, 2019 (the “E |
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| December 3, 2019 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, A |
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| November 1, 2019 |
COHN / Cohen & Company Inc 10-Q - Quarterly Report - 10-Q / UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 COHEN & COMPAN |
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| October 30, 2019 |
COHEN & COMPANY REPORTS THIRD QUARTER 2019 FINANCIAL RESULTS Exhibit 99.1 COHEN & COMPANY REPORTS THIRD QUARTER 2019 FINANCIAL RESULTS Philadelphia and New York, October 30, 2019 — Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income markets, today reported financial results for its third quarter ended September 30, 2019. Summary Operating Results Three Months Ended Nine Months Ended ($ in thousands) 9/30/19 6/3 |
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| October 30, 2019 |
Exhibit 10.1 COHEN & COMPANY, LLC AMENDMENT NO. 3 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT THIS AMENDMENT NO. 3 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of Cohen & Company, LLC, dated as of October 30, 2019 (“Amendment No. 3”), is entered into by and among each of the Members set forth on the signature pages hereto. Background On December 16, 2009, the Members |
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| October 30, 2019 |
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): October 30, 2019 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission Fil |
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| October 4, 2019 |
Exhibit 1 THIS NOTE HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY JURISDICTION. |
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| October 4, 2019 |
Exhibit 2 PURCHASE AGREEMENT This PURCHASE AGREEMENT (this “Agreement”), dated as of October 2, 2019 (the “Effective Date”), is entered into by and among Cohen Bros. |
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| October 4, 2019 |
COHN / Cohen & Company Inc / COHEN DANIEL G - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9)* COHEN & COMPANY INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securities) 19249M 102 (CUSIP Number) Daniel G. Cohen Cira Centre 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania 19104-2870 (215) 701-9555 (Name, Ad |
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| September 30, 2019 |
Exhibit 10.1 THIS NOTE HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY JURISDICTION. THIS NOTE MAY NOT BE SOLD, TRANSFERRED, ASSIGNED OR HYPOTHECATED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM. BY ACQUIRING THIS NOTE, THE HOLDER REPRESENTS THAT THE HOLDER WILL NOT SELL OR OTHERWISE DI |
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| September 30, 2019 |
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): September 25, 2019 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission F |
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| September 30, 2019 |
Exhibit 10.4 AMENDMENT NO. 1 TO INVESTMENT AGREEMENT THIS AMENDMENT NO. 1 TO INVESTMENT AGREEMENT (this “Amendment”), dated as of September 25, 2019 and effective as of October 1, 2019 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and The DGC Family Fintech Trust (“Investor”). Capitalized terms used herein but oth |
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| September 30, 2019 |
Exhibit 10.2 THIS NOTE HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY JURISDICTION. THIS NOTE MAY NOT BE SOLD, TRANSFERRED, ASSIGNED OR HYPOTHECATED IN THE ABSENCE OF SUCH REGISTRATION OR AN EXEMPTION THEREFROM. BY ACQUIRING THIS NOTE, THE HOLDER REPRESENTS THAT THE HOLDER WILL NOT SELL OR OTHERWISE DI |
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| September 30, 2019 |
Exhibit 10.3 AMENDMENT NO. 1 TO INVESTMENT AGREEMENT THIS AMENDMENT NO. 1 TO INVESTMENT AGREEMENT (this “Amendment”), dated as of September 25, 2019 and effective as of October 1, 2019 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and Cohen Bros. Financial LLC, a Delaware limited liability company (“Investor”). Ca |
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| August 5, 2019 |
COHN / Cohen & Company Inc 10-Q - Quarterly Report - 10-Q / UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-32026 COHEN & COMPANY INC |
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| August 5, 2019 |
Letter re change in accounting principles. Exhibit 18.1 August 5, 2019 Board of Directors Cohen & Company, Inc. 2929 Arch Street, Suite 1703 Philadelphia, Pennsylvania Dear Directors: We are providing this letter solely for inclusion as an exhibit to Cohen & Company Inc. (the “Company”") Form 10-Q filing pursuant to Item 601 of Regulation S-K. As stated in Note 10 to the unaudited consolidated financial statements included in the Company |
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| August 2, 2019 |
COHEN & COMPANY REPORTS SECOND QUARTER 2019 FINANCIAL RESULTS Exhibit 99.1 COHEN & COMPANY REPORTS SECOND QUARTER 2019 FINANCIAL RESULTS Philadelphia and New York, August 2, 2019 — Cohen & Company Inc. (NYSE American: COHN), a financial services firm specializing in fixed income markets, today reported financial results for its second quarter ended June 30, 2019. Summary Operating Results Three Months Ended Six Months Ended ($ in thousands) 6/30/19 3/31/19 6 |
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| August 2, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 2, 2019 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File |
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| July 25, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A 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 12, 2019 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File |
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| June 12, 2019 |
Submission of Matters to a Vote of Security Holders 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 12, 2019 COHEN & COMPANY INC. (Exact name of registrant as specified in its charter) Maryland 1-32026 16-1685692 (State or other jurisdiction of incorporation) (Commission File N |
