Cowen Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows, 15 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-03-29: Reporting owner Littman Owen S; Form 4; Security RSU Right; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2018-03-29: Reporting owner Lasota Stephen; Form 4; Security RSU Right; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2018-03-29: Reporting owner Holmes John J; Form 4; Security RSU Right; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2018-03-15: Reporting owner Littman Owen S; Form 4; Security Stock Appreciation Rights; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-03-29 | Littman Owen S Officer (General Counsel) | 4 | RSU Right Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −8,993 0 owned after | $0.00 | 2018-04-02 | |
| 2018-03-29 | Lasota Stephen Officer (Chief Financial Officer) | 4 | RSU Right Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −8,993 0 owned after | $0.00 | 2018-04-02 | |
| 2018-03-29 | Holmes John J Officer (Chief Operating Officer) | 4 | RSU Right Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −17,986 0 owned after | $0.00 | 2018-04-02 | |
| 2018-03-15 | Littman Owen S Officer (General Counsel) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +25,000 0 owned after | $11.60 exercise price | 2018-03-19 | |
| 2018-03-15 | Lasota Stephen Officer (Chief Financial Officer) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +25,000 0 owned after | $11.60 exercise price | 2018-03-19 | |
| 2018-03-15 | Holmes John J Officer (Chief Operating Officer) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +25,000 0 owned after | $11.60 exercise price | 2018-03-19 | |
| 2018-02-21 | Littman Owen S Officer (General Counsel) | 4 | RSU Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,993 8,993 owned after | no price filed | 2018-02-23 | |
| 2018-02-21 | Lasota Stephen Officer (Chief Financial Officer) | 4 | RSU Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,993 8,993 owned after | no price filed | 2018-02-23 | |
| 2018-02-21 | Holmes John J Officer (Chief Operating Officer) | 4 | RSU Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,986 17,986 owned after | no price filed | 2018-02-23 | |
| 2013-05-10 holding as of filing | Singer Michael Officer (CEO & President, Ramius LLC) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | no price filed | 2013-05-10 | ||
| 2013-05-10 holding as of filing | Holmes John J Officer (Chief Administrative Officer) | 3 | Stock Appreciation Rights Derivative · Direct | Holding | no price filed | 2013-05-10 | ||
| 2013-03-15 | Littman Owen S Officer (General Counsel) | 4/A | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2013-04-10 | |
| 2013-03-15 | Lasota Stephen Officer (Chief Financial Officer) | 4/A | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2013-04-10 | |
| 2013-03-15 | Lasota Stephen Officer (Chief Financial Officer) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2013-03-19 | |
| 2013-03-15 | Littman Owen S Officer (General Counsel) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2013-03-19 |