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Cohen & Co Inc. — Director's Dealing 2007
May 30, 2007
34911_dirs_2007-05-30_082c2055-48fc-4473-b5ca-3b95aea37d4e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ALESCO FINANCIAL INC (AFN)
CIK: 0001270436
Period of Report: 2007-05-25
Reporting Person: COHEN DANIEL G (Director, Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2007-05-25 | Common Stock, $0.001 par value per share | A | 280000 | — | Acquired | 951320 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value per share | 504000 | Indirect |
Footnotes
F1: Mr. Cohen was awarded 280,000 restricted shares under the Alesco Financial Inc. 2006 Long Term Incentive Plan. The restrictions expire, pro rata, on the last day of each 3-month period commencing on July 31, 2007 and ending on April 30, 2010.
F2: Includes (in addition to the 280,000 restricted shares described in footnote 1) 225,688 shares of restricted stock. The restrictions on the 225,688 restricted shares expire, pro rata, on the last day of each 3-month period commencing on July 31, 2007 and ending on January 31, 2010.
F3: 504,000 shares are held by Cohen & Company, LLC, a company that Mr. Cohen may be deemed to control. Mr. Cohen disclaims any interest in such shares beyond his pecuniary interest.