# EDGAR Filing Document

**Accession Number:** 0001466538
**File Stem:** 0001466538-23-000003
**Filing Date:** 2023-1
**Character Count:** 6091
**Document Hash:** 64daeb542b2e1e24efb94c8e84b9e64f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001466538-23-000003.hdr.sgml**: 20230126

**ACCESSION NUMBER**: 0001466538-23-000003

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 15

**CONFORMED PERIOD OF REPORT**: 20230126

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230126

**DATE AS OF CHANGE**: 20230126

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** COWEN INC.
- **CENTRAL INDEX KEY:** 0001466538
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-34516
- **FILM NUMBER:** 23558151

**BUSINESS ADDRESS:**
- **STREET 1:** 599 LEXINGTON AVENUE, 20TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** 212-845-7900

**MAIL ADDRESS:**
- **STREET 1:** 599 LEXINGTON AVENUE, 20TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** COWEN GROUP, INC.
- **DATE OF NAME CHANGE:** 20091102

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LexingtonPark Parent Corp
- **DATE OF NAME CHANGE:** 20090617

?xml version="1.0" ? cown-20230126

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**Current Report**

**Pursuant to Section 13 or 15(d) of the**

**Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported): January 26, 2023**

**COWEN INC.**

(Exact Name of Registrant as Specified in Charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-34516** | **27-0423711** |
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (I.R.S. Employer<br>Identification No.) |

---

**599 Lexington Avenue**

**New York, NY 10022**

(Address of Principal Executive Offices and Zip Code)

Registrant's telephone number, including area code: **(212) 845-7900**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

&nbsp;&nbsp;&nbsp;&nbsp; Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| **Title of Each Class** | **Trading Symbol** | **Name of Exchange on Which Registered** |
| Class A Common Stock, par value $0.01 per share | COWN | The Nasdaq Global Market |
| 7.75% Senior Notes due 2033 | COWNL | The Nasdaq Global Market |

---

------

**Item 8.01. Other Events.** 

On January 26, 2023, Cowen Inc. (the "Company") issued a press release announcing that the Company's Board of Directors has declared a quarterly cash dividend of $14.06 per share on the Company's 5.625% Series A Cumulative Perpetual Convertible Preferred Stock. The dividend payment will be made on February 15, 2023, to the holders of record as of the close of business on February 1, 2023.

A copy of the press release is attached hereto at Exhibit 99.1

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**Item 9.01. Financial Statements and Exhibits.**

---

| | |
|:---|:---|
| (d) | Exhibit |
| <u>[99.1](cowenperpetualpreferreddiv.htm)</u> | <u>[Press Release Issued by the Company dated January 26, 2023.](cowenperpetualpreferreddiv.htm)</u> |

---

------

**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

**COWEN INC.**

---

| | | |
|:---|:---|:---|
| Dated: January 26, 2023 | By: | /s/ Owen S. Littman |
|  | Name: | Owen S. Littman |
|  | Title: | General Counsel |

---

## Exhibit 99.1

![image_1a.jpg](image_1a.jpg)

**COWEN DECLARES QUARTERLY DIVIDEND ON ITS SERIES A CUMULATIVE PERPETUAL CONVERTIBLE PREFERRED STOCK** 

**NEW YORK, January 26, 2023** - Cowen Inc. (NASDAQ:COWN) ("Cowen" or the "Company") today announced that its Board of Directors has declared a quarterly cash dividend of $14.06 per share on the Company's 5.625% Series A Cumulative Perpetual Convertible Preferred Stock (the "Convertible Preferred Stock").

The quarterly dividend on the Convertible Preferred Stock is payable on February 15, 2023, to holders of record at the close of business on February 1, 2023.

**About Cowen Inc.**

Cowen Inc. ("Cowen" or the "Company") is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. Cowen Inc. focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the firm is headquartered in New York and has offices worldwide. Learn more at Cowen.com.

**Investor Relations Contact:**

Steve Lasota, Chief Financial Officer

(212) 845-7919

Stephen.Lasota@cowen.com

Source: Cowen Inc.

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