SEC Contract Filing

Filing Date: 2020-02-12

Document Content:
<DOCUMENT>
<TYPE>EX-10.1
<SEQUENCE>2
<FILENAME>tm207557d1_ex10-1.htm
<DESCRIPTION>EXHIBIT 10.1
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<P STYLE="margin: 0">&nbsp;</P>

<P STYLE="text-align: right; margin: 0"><B>Exhibi 10.1</B></P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center; text-indent: 0in">COHEN &amp; COMPANY INC.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center; text-indent: 0in">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center; text-indent: 0in">NON-QUALIFIED DEFERRED
COMPENSATION PLAN</P>

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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center; text-indent: 0in">Effective February 12,
2020</P>

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<P STYLE="font: bold 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">TABLE OF CONTENTS</P>

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 <TD COLSPAN="2" STYLE="text-align: left; text-indent: -0.5in; padding-left: 0.5in">Article I The Plan</TD>
 <TD STYLE="text-align: right">1</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD COLSPAN="2" STYLE="text-align: left; text-indent: -0.5in; padding-left: 0.5in">&nbsp;</TD>
 <TD STYLE="text-align: right">&nbsp;</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in; width: 15%">1.1</TD>
 <TD STYLE="text-align: left; width: 75%">Establishment of Plan</TD>
 <TD STYLE="text-align: right; width: 10%">1</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">1.2</TD>
 <TD STYLE="text-align: left">Purpose of Plan</TD>
 <TD STYLE="text-align: right">1</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">1.3</TD>
 <TD STYLE="text-align: left">Application of the Plan</TD>
 <TD STYLE="text-align: right">1</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">1.4</TD>
 <TD STYLE="text-align: left">Compliance with Code Section 409A</TD>
 <TD STYLE="text-align: right">1</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">&nbsp;</TD>
 <TD STYLE="text-align: left">&nbsp;</TD>
 <TD STYLE="text-align: right">&nbsp;</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD COLSPAN="2" STYLE="text-align: left; text-indent: -0.5in; padding-left: 0.5in">Article II Definitions</TD>
 <TD STYLE="text-align: right">2</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD COLSPAN="2" STYLE="text-align: left; text-indent: -0.5in; padding-left: 0.5in">&nbsp;</TD>
 <TD STYLE="text-align: right">&nbsp;</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">2.1</TD>
 <TD STYLE="text-align: left">&ldquo;Account&rdquo;</TD>
 <TD STYLE="text-align: right">2</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">2.2</TD>
 <TD STYLE="text-align: left">&ldquo;Affiliate&rdquo;</TD>
 <TD STYLE="text-align: right">2</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">2.3</TD>
 <TD STYLE="text-align: left">&ldquo;Award Letter&rdquo;</TD>
 <TD STYLE="text-align: right">2</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">2.4</TD>
 <TD STYLE="text-align: left">&ldquo;Base Cash Salary&rdquo;</TD>
 <TD STYLE="text-align: right">2</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">2.5</TD>
 <TD STYLE="text-align: left">&ldquo;Beneficiary&rdquo;</TD>
 <TD STYLE="text-align: right">2</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">2.6</TD>
 <TD STYLE="text-align: left">&ldquo;Bonus&rdquo;</TD>
 <TD STYLE="text-align: right">2</TD></TR>
<TR STYLE="text-align: left; vertical-align: bottom; font: 10pt Times New Roman, Times, Serif">
 <TD STYLE="text-align: left; padding-left: 0.5in">2.7</TD>
 <TD STYLE="text-align: left">&ldquo;Change of Control&rdquo;</TD>
 <TD STYLE="text-align