Filing Details
- Accession Number:
- 0001179110-21-003344
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-12 16:18:34
- Reporting Period:
- 2021-03-10
- Accepted Time:
- 2021-03-12 16:18:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1466538 | Cowen Inc. | COWN | Security Brokers, Dealers & Flotation Companies (6211) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1477552 | Stephen Lasota | Cowen Inc. 599 Lexington Avenue New York NY 10022 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2021-03-10 | 45,000 | $0.00 | 273,751 | No | 4 | A | Direct | |
| Class A Common Stock | Disposition | 2021-03-11 | 14,000 | $39.36 | 259,751 | No | 4 | S | Direct | |
| Class A Common Stock | Acquisiton | 2021-03-10 | 50 | $0.00 | 259,801 | No | 4 | A | Direct | |
| Class A Common Stock | Disposition | 2021-03-10 | 6,149 | $42.17 | 253,652 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | F | Direct |
Footnotes
- On March 15, 2016, the Reporting Person was granted a performance share award consisting of 25,000 target shares, with the number of shares to be delivered upon settlement based on the attainment of certain performance metrics. In accordance with the performance share award agreement, 45,000 shares which represented the maximum payout under the performance share award agreement, were settled and delivered to the Reporting Person on March 10, 2021.
- Shares sold by the Reporting Person in connection with the payment of taxes related to the settlement of the performance share award referenced in footnote 1.
- Grant of Cowen stock for no monetary consideration. The stock award was settled and delivered on March 10, 2021.
- Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934.
Billionaire Hedge Funds
