Cohen & Co Inc. — Director's Dealing 2019

Oct 4, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Cohen & Co Inc. (COHN)
CIK: 0001270436
Period of Report: 2019-10-02

Reporting Person: COHEN DANIEL G (Director, Chairman and CE Europe, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-10-02	Common Stock, par value $0.01 per share	P	76240	—	Acquired	76240	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-10-02	Cohen & Company, LLC Membership Units	$	P	268445	Acquired		Common Stock, par value $0.01 per share (26845)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, par value $0.01 per share	64113	Direct
Common Stock, par value $0.01 per share	80000	Indirect

Footnotes

F1: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260.

F2: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units.