Company: COHN
Filing Date: 2025-04-17
Form Type: DEF 14A
Source: 0001104659-25-035625
Chunk: 76

Company: Cohen & Co Inc.
Filing Date: 2025-04-17
Form: DEF 14A
Chunk 76
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/o Cohen & Company Inc., Cira Centre, 2929 Arch Street, Suite 1703, Philadelphia, Pennsylvania 19104. (7) Of the 22,429,541 shares of the Series F Preferred Stock issued and outstanding as of April 10, 2025, 12,549,273 shares were owned by Daniel G. Cohen directly, and 9,880,268 shares were owned by the DGC Trust. Mr. Cohen may be deemed to be the beneficial owner of any securities held by the DGC Trust (including these 9,880,268 shares of Series F Preferred Stock) as a result of his ability to acquire at any time any of the DGC Trust’s assets, including any securities held by the DGC Trust (and, in turn, the sole voting and sole dispositive power with respect to such securities), by substituting other property of an equivalent value without the approval or consent of any person, including any trustee or beneficiary of the DGC Trust. (8) Mr. Dawson is a director of the Company. Includes 1,100 shares of common stock held directly by Mr. Dawson and 28,916 shares of common stock held by Corriente Private Trust. Mr. Dawson is the grantor, primary trustee and sole beneficiary of Corriente Private Trust and has voting and investment control with respect to the securities held in Corriente Private Trust. (9) Mr. Pooler is the Executive Vice President, Chief Financial Officer and Treasurer of the Company. The common stock includes (i) 5,167 restricted shares granted on December 20, 2022, all of which will vest on January 31, 2026 so long as Mr. Pooler is then employed by the Company or any of its subsidiaries, (ii) 10,334 restricted shares granted on December 21, 2023, of which 5,167 shares and 5,167 shares will vest on January 31, 2026 and January 31, 2027, respectively, so long as Mr. Pooler is then 44 TABLE OF CONTENTS employed by the Company or any of its subsidiaries on the applicable vesting date, and (iii) 15,500 restricted shares granted on December 20, 2024, of which 5,166 shares, 5,167 shares and 5,167 shares will vest on January 31, 2026, January 31, 2027 and January 31,