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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Cowen Inc - Class A
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-34516 COWEN INC. (Exact Name of Registrant as Specified in Its Charter) |
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| March 3, 2023 |
EXHIBIT 99.2 LIMITED POWER OF ATTORNEY Know all by these present, that I, David J. Snyderman, hereby make, constitute and appoint each of Michael Turro, Karl Wachter and Hayley Stein, or any of them acting individually, and with full power of substitution, as my true and lawful attorney-in-fact for the purpose of executing in my name, (a) in my personal capacity or (b) in my capacity as Manager or |
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| March 3, 2023 |
COWN / Cowen Inc - Class A / Magnetar Financial LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* COWEN INC. (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 223622606 (CUSIP Number of Class of Securities) David J. Snyderman Magnetar Capital LLC 1603 Orrington Ave. Evanston, Illinois 60201 (847) 905-4400 (Name, Address and |
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| March 3, 2023 |
Joint Filing Agreement, dated as of March 3, 2023, among the Reporting Persons. EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13D with respect to the Shares of Cowen Inc. dated as of March 3, 2023 is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the previsions of Rule13d-1(k) under the Securities Ex |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. |
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| March 1, 2023 |
COWEN ANNOUNCES MANDATORY CONVERSION OF SERIES A PREFERRED STOCK Exhibit 99.2 COWEN ANNOUNCES MANDATORY CONVERSION OF SERIES A PREFERRED STOCK NEW YORK, MARCH 1, 2023 - Cowen Inc. (NASDAQ:COWN) (“Cowen” or the “Company”) today announced that TD Bank Group has completed the acquisition of Cowen. In connection with the completion of the acquisition, Cowen has elected to cause all outstanding shares of its 5.625% Series A Cumulative Perpetual Convertible Preferred |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 S-8 POS 1 s-8pos.htm POST-EFFECTIVE AMENDMENT NO. 1 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. 333-240099 Registration No. 333-258451 Registration No. 333-266920 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-240099 FORM S-8 REGISTRATION STATEMENT NO. 333-2 |
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| March 1, 2023 |
TD completes acquisition of Cowen Inc. Deal accelerates U.S. growth of TD Securities Exhibit 99.1 TD completes acquisition of Cowen Inc. Deal accelerates U.S. growth of TD Securities TORONTO and NEW YORK, March 1, 2023 - TD Bank Group ("TD") (TSX and NYSE: TD) and Cowen Inc. ("Cowen") (NASDAQ: COWN) today announce that TD has completed the acquisition of Cowen. "We are very pleased to welcome Cowen to TD. Together, with greater scale, broader capabilities and deeper resources, we |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. |
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| March 1, 2023 |
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): March 1, 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) (IRS |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. |
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| March 1, 2023 |
Amended and Restated Bylaws of Cowen Inc., dated as of March 1, 2023. Exhibit 3.2 Execution Version BY-LAWS OF COWEN INC. (referred to herein as the “Corporation”) ARTICLE I Stockholders Section 1. Place of Meetings. Meetings of stockholders shall be held at such place, either within or without the State of Delaware, as shall be designated from time to time by the Chairman of the Board of Directors, President, Vice President or Secretary. Section 2. Annual Meetings. |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. |
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| March 1, 2023 |
Amended and Restated Certificate of Incorporation of Cowen Inc., dated as of March 1, 2023. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF COWEN INC. ARTICLE I The name of the corporation is Cowen Inc. (the “Corporation”). ARTICLE II The address of the registered office of the Corporation in the State of Delaware is Corporation Trust Center, 251 Little Falls Drive, Wilmington, Delaware 19808, in the county of New Castle. The name of the registered agent of the Corporati |
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| March 1, 2023 |
As filed with the Securities and Exchange Commission on March 1, 2023 As filed with the Securities and Exchange Commission on March 1, 2023 Registration No. |
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| February 28, 2023 |
Form of Deferred Cash Award Agreement (filed herewith)* Exhibit 10.26 DEFERRED CASH AWARD AGREEMENT THIS DEFERRED CASH AWARD AGREEMENT (this “Agreement”) is made by and between Cowen Inc. (the “Company”), and [insert name] (the “Grantee”), as of February 14, 2023 (the “Grant Date”). RECITALS WHEREAS, the Company desires to grant to the Grantee the deferred cash award (the “Deferred Cash Award” or “Award”) described herein, subject to the terms of the C |
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| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34516 Cowen Inc. (E |
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| February 28, 2023 |
Subsidiaries of Cowen Inc. (filed herewith). Exhibit 21.1 List of Subsidiaries of Cowen, Inc. (as of December 31, 2022) Name of Subsidiary Jurisdiction 8995 Collins LLC Delaware ACN Co-Investment LLC Delaware Algorithmic Trading Management, LLC Delaware ATM Execution LLC New York BNS Co-Investment LLC Delaware CA Co-Investment LLC Delaware CA2 Co-Investment LLC Delaware CB Co-Investment LLC Delaware CDIG DP Investment LLC Delaware CDIG RD In |
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| February 28, 2023 |
Exhibit 4.10 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of Cowen Inc.’s securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), is a summary and does not purport to be complete. It is qualified in its entirety by reference to our amended and r |
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| February 17, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): February 17, 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) ( |
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| February 17, 2023 |
COWEN ANNOUNCES FINANCIAL RESULTS FOR FULL YEAR 2022 COWEN ANNOUNCES FINANCIAL RESULTS FOR FULL YEAR 2022 •Reports 4Q22 GAAP Net Income to common stockholders of $11. |
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| February 14, 2023 |
COWN / Cowen Group, Inc. / Azora Capital LP Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13D - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No.1)* Cowen Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 223622606 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of |
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| February 9, 2023 |
COWN / Cowen Group, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0672-cowenincclassa.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3)* Name of issuer: Cowen Inc. Class A Title of Class of Securities: Common Stock CUSIP Number: 223622606 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate t |
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| January 26, 2023 |
COWEN DECLARES QUARTERLY DIVIDEND ON ITS SERIES A CUMULATIVE PERPETUAL CONVERTIBLE PREFERRED STOCK COWEN DECLARES QUARTERLY DIVIDEND ON ITS SERIES A CUMULATIVE PERPETUAL CONVERTIBLE PREFERRED STOCK NEW YORK, January 26, 2023 - Cowen Inc. |
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| January 26, 2023 |
Financial Statements and Exhibits, Other Events 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 |
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| November 15, 2022 |
COWEN STOCKHOLDERS APPROVE ACQUISITION BY TD BANK GROUP Exhibit 99.1 COWEN STOCKHOLDERS APPROVE ACQUISITION BY TD BANK GROUP NEW YORK, November 15, 2022 - Cowen Inc. (NASDAQ:COWN) (?Cowen? or the ?Company?) today announced that at a special meeting of stockholders held earlier today, its stockholders approved the previously announced definitive agreement for Cowen to be acquired by TD Bank Group in an all-cash transaction valued at approximately $1.3 b |
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| November 15, 2022 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 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): November 15, 2022 (November 15, 2022) Cowen Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Comm |
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| November 7, 2022 |
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): November 7, 2022 (September 27, 2022) COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Comm |
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| November 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| November 7, 2022 |
false000146653800014665382022-11-042022-11-040001466538us-gaap:CommonStockMember2022-11-042022-11-040001466538cown:Seven75SeniorNotesDue2023Member2022-11-042022-11-04 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 3, 2022 |
COWN / Cowen Group, Inc. / Magnetar Financial LLC - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* COWEN INC. (Name of Issuer) Common Stock, par value $.01 (Title of Class of Securities) 223622606 (CUSIP Number of Class of Securities) David J. Snyderman Magnetar Capital LLC 1603 Orrington Ave. Evanston, Illinois 60201 (847) 905-4400 (Name, Address an |
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| November 3, 2022 |
Exhibit 99.2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k), as promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Cowen Inc., and further agree that this Joint Filing Agreement be included as an Exhibit t |
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| October 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| October 28, 2022 |
COWEN ANNOUNCES FINANCIAL RESULTS FOR THIRD QUARTER 2022 COWEN ANNOUNCES FINANCIAL RESULTS FOR THIRD QUARTER 2022 ?Reports 3Q22 GAAP Net Income to common stockholders of $12. |
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| October 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): October 28, 2022 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 |
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| October 28, 2022 |
Financial Statements and Exhibits, Other Events 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): October 28, 2022 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 |
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| October 28, 2022 |
COWEN DECLARES QUARTERLY DIVIDEND ON ITS SERIES A CUMULATIVE PERPETUAL CONVERTIBLE PREFERRED STOCK COWEN DECLARES QUARTERLY DIVIDEND ON ITS SERIES A CUMULATIVE PERPETUAL CONVERTIBLE PREFERRED STOCK NEW YORK, October 28, 2022 - Cowen Inc. |
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| October 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen |
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| October 11, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a party other than the Registrant ?? Check the appropriate box: ?? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for use of the Commission Only (as permitted by Rule 14a- |
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| September 27, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a party other than the Registrant ?? Check the appropriate box: ? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for use of the Commission Only (as permitted by Rule 14a-6 |
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| September 27, 2022 |
EX-FILING FEES 2 ny20005205x1ex107.htm FILING FEES TABLE Exhibit 107 CALCULATION OF FILING FEE TABLES Schedule 14A (Form Type) COWEN INC. (Exact Name of Registrant as Specified in its Charter) Table 1 - Transaction Valuation Proposed Maximum Aggregate Value of Transaction Fee rate Amount of Filing Fee Fees to Be Paid $1,332,678,126.00 .0000927 $123,539.26 Fees Previously Paid - - Total Transaction |
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| September 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| September 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| August 16, 2022 |
As filed with the Securities and Exchange Commission on August 16, 2022 As filed with the Securities and Exchange Commission on August 16, 2022 Registration No. |
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| August 16, 2022 |
EX-FILING FEES 4 tm2223460d1ex-filingfees.htm EXHIBIT 107.1 Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) COWEN, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price per Unit (2) Maximum Aggregate Offering Price (2) Fee Rate |
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| August 12, 2022 |
COWN / Cowen Group, Inc. / Magnetar Financial LLC - SC 13D Activist Investment ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 ? SCHEDULE 13D ? Under the Securities Exchange Act of 1934 ? (Amendment No.?? )* ? COWEN INC. ? (Name of Issuer) ? Common Stock, par value $.01 ? (Title of Class?of Securities) ? 223622606 ? (CUSIP Number of Class?of Securities) ? Alec N. Litowitz Magnetar Capital LLC 1603 Orrington Ave. Evanston,?Illinois 60201 (847) 9 |
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| August 12, 2022 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k), as promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock of Cowen Inc., and further agree that this Joint Filing Agreement be included as an Exhibit t |
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| August 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| August 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| August 3, 2022 |
Third Amended and Restated By-Laws of Cowen Inc. Exhibit 3.2 THIRD AMENDED AND RESTATED BY-LAWS OF COWEN INC. (f/k/a COWEN GROUP, INC.) Incorporated Under the Laws of the State of Delaware ARTICLE I. OFFICES. The registered office of COWEN INC. (f/k/a COWEN GROUP, INC. (f/k/a LexingtonPark Parent Corp.), the ?Corporation?) shall be located in the State of Delaware and shall be at such address as shall be set forth in the Certificate of Incorpora |
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| August 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen Inc. |
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| August 3, 2022 |
COWEN ANNOUNCES FINANCIAL RESULTS FOR SECOND QUARTER 2022 COWEN ANNOUNCES FINANCIAL RESULTS FOR SECOND QUARTER 2022 ?Reports 2Q22 GAAP Net Income to common stockholders for diluted earnings per share of $12. |
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| August 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 3, 2022 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 |
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| August 2, 2022 |
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): August 2, 2022 (August 1, 2022) COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 2, 2022 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among COWEN INC., THE TORONTO-DOMINION BANK, and CRIMSON HOLDINGS ACQUISITION CO. Dated as of August 1, 2022 TABLE OF CONTENTS Page Article I THE MERGER 1 Section 1.1 The Merger 1 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Effects of the Merger 2 Section 1.5 Conversion of Company Common Stock 2 Section 1.6 Surviving Corporation Co |
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| August 2, 2022 |
Amendment to the Second Amended and Restated By-laws of Cowen Inc. Exhibit 3.1 COWEN INC. BY-LAW AMENDMENT The Second Amended and Restated By-laws of Cowen Inc. are hereby amended to add a new Article X, as set forth below: ?ARTICLE X. FORUM AND VENUE. Unless the Corporation (through approval of the Board of Directors) consents in writing to the selection of an alternative forum, the Court of Chancery of the State of Delaware shall be the sole and exclusive forum |
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| August 2, 2022 |
Joint Press Release, dated August 2, 2022, issued by Company and Parent. Exhibit 99.1 TD to expand its U.S. investment banking business and capabilities with acquisition of Cowen Inc. Acquisition will create an integrated North American dealer, significantly accelerating TD Securities? U.S. growth strategy TORONTO and NEW YORK, August 2, 2022 ? TD Bank Group (?TD?) (TSX: TD) and (NYSE: TD) and Cowen Inc. (?Cowen?) (NASDAQ: COWN) today announced a definitive agreement f |
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| August 2, 2022 |
Amendment to the Second Amended and Restated By-laws of Cowen Inc. Exhibit 3.1 COWEN INC. BY-LAW AMENDMENT The Second Amended and Restated By-laws of Cowen Inc. are hereby amended to add a new Article X, as set forth below: ?ARTICLE X. FORUM AND VENUE. Unless the Corporation (through approval of the Board of Directors) consents in writing to the selection of an alternative forum, the Court of Chancery of the State of Delaware shall be the sole and exclusive forum |
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| August 2, 2022 |
Exhibit 99.1 TD to expand its U.S. investment banking business and capabilities with acquisition of Cowen Inc. Acquisition will create an integrated North American dealer, significantly accelerating TD Securities? U.S. growth strategy TORONTO and NEW YORK, August 2, 2022 ? TD Bank Group (?TD?) (TSX: TD) and (NYSE: TD) and Cowen Inc. (?Cowen?) (NASDAQ: COWN) today announced a definitive agreement f |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 2, 2022 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and among COWEN INC., THE TORONTO-DOMINION BANK, and CRIMSON HOLDINGS ACQUISITION CO. Dated as of August 1, 2022 TABLE OF CONTENTS Page Article I THE MERGER 1 Section 1.1 The Merger 1 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Effects of the Merger 2 Section 1.5 Conversion of Company Common Stock 2 Section 1.6 Surviving Corporation Co |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 2, 2022 |
false12-31000146653800014665382022-08-012022-08-010001466538us-gaap:CommonClassAMember2022-08-012022-08-010001466538cown:Seven75SeniorNotesDue2023Member2022-08-012022-08-01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| July 29, 2022 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK ? July 29, 2022 ? Cowen Inc. |
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| July 29, 2022 |
Financial Statements and Exhibits, Other Events 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): July 29, 2022 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. |
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| June 28, 2022 |
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): June 23, 2022 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. |
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| June 28, 2022 |
CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF COWEN INC. |
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| June 28, 2022 |
Third Amended and Restated By-Laws of Cowen Inc. THIRD AMENDED AND RESTATED BY-LAWS OF COWEN INC. (f/k/a COWEN GROUP, INC.) Incorporated Under the Laws of the State of Delaware ARTICLE I. OFFICES. The registered office of COWEN INC. (f/k/a COWEN GROUP, INC. (f/k/a LexingtonPark Parent Corp.), the ?Corporation?) shall be located in the State of Delaware and shall be at such address as shall be set forth in the Certificate of Incorporation of the |
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| May 27, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant??? Filed by a Party other than the Registrant??? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| May 17, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant??? Filed by a Party other than the Registrant??? Check the appropriate box: ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? |
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| May 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001 |
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| May 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen Inc |
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| May 2, 2022 |
Exhibit 10.2 PERFORMANCE SHARES AWARD AGREEMENT This PERFORMANCE SHARES AWARD AGREEMENT (this ?Agreement?) is made by and between Cowen Inc. (the ?Company?), and (insert name) (the ?Grantee?), effective March 1, 2022 (the ?Grant Date?). RECITALS WHEREAS, the Company desires to grant to the Grantee an award of restricted stock units tied to certain performance measures described herein (the ?Award? |
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| May 2, 2022 |
Form of Restricted Stock Unit and Deferred Cash Award Agreement Exhibit 10.1 RESTRICTED STOCK UNIT AND DEFERRED CASH AWARD AGREEMENT THIS RESTRICTED STOCK UNIT AND DEFERRED CASH AWARD AGREEMENT (this ?Agreement?) is made by and between Cowen Inc. (the ?Company?), and [insert name], (the ?Grantee?), as of February 1, 2022 (the ?Grant Date?). RECITALS WHEREAS, the Company desires to grant to the Grantee the restricted stock units award (the ?RSU Award?) and defe |
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| May 2, 2022 |
Cowen Digital Holdings 2022 Equity Unit Incentive Plan Exhibit 10.3 COWEN DIGITAL HOLDINGS 2022 EQUITY UNIT INCENTIVE PLAN Article I PURPOSE OF PLAN The Cowen Digital Holdings 2022 Equity Unit Incentive Plan (this ?Plan?) is designed to (a) promote the long-term financial interests and growth of Cowen Digital Holdings LLC (the ?Company?) and its Affiliates by attracting and retaining management and other personnel with the training, experience and abi |
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| May 2, 2022 |
Exhibit 10.4 Form of Award Agreement THE INTERESTS IN CDIG MANAGEMENT CO. LLC AWARDED PURSUANT TO THIS AGREEMENT HAVE NOT BEEN REGISTERED WITH, OR APPROVED OR DISAPPROVED BY, ANY FEDERAL OR STATE SECURITIES COMMISSION OR OTHER REGULATORY AUTHORITY. SUCH INTERESTS ARE SUBJECT TO RESTRICTIONS ON TRANSFER AND MAY NOT BE TRANSFERRED EXCEPT AS PERMITTED UNDER FEDERAL AND STATE SECURITIES LAWS, AND THE |
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| April 29, 2022 |
Financial Statements and Exhibits, Other Events 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): April 29, 2022 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 |
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| April 29, 2022 |
COWEN ANNOUNCES FINANCIAL RESULTS FOR FIRST QUARTER 2022 EX-99.1 2 ex991earningsreleaseq12022.htm EX-99.1 COWEN ANNOUNCES FINANCIAL RESULTS FOR FIRST QUARTER 2022 •Reports 1Q22 GAAP Net Income to common stockholders for diluted earnings per share of $33.4 million, or $1.05 per diluted share •Economic Operating Income of $42.8 million, or $1.35 per diluted share (Non-GAAP) •Declared quarterly cash dividend of $0.12 per share, repurchased $24.1 million of |
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| April 29, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 29, 2022 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 |
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| April 29, 2022 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK ? April 29, 2022 ? Cowen Inc. |
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| March 1, 2022 |
Exhibit 4.10 DESCRIPTION OF REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of Cowen Inc.?s securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?), is a summary and does not purport to be complete. It is qualified in its entirety by reference to our amended and r |
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| March 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34516 Cowen Inc. (E |
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| March 1, 2022 |
Subsidiaries of Cowen Inc. (filed herewith). Exhibit 21.1 List of Subsidiaries of Cowen, Inc. (as of December 31, 2021) Name of Subsidiary Jurisdiction 8995 Collins LLC Delaware AB Co-Investment LLC Delaware ACN Co-Investment LLC Delaware Algorithmic Trading Management, LLC Delaware ASA Co-Investment LLC Delaware ASA 2 Co-Investment LLC Delaware ATM Execution LLC New York BD Co-Investment LLC Delaware BNS Co-Investment LLC Delaware CA Co-Inv |
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| March 1, 2022 |
Form of 2021 Director RSU Award Agreement (filed herewith).* Exhibit 10.24 EQUITY AWARD AGREEMENT THIS AGREEMENT (this ?Agreement?) is made by and between Cowen Inc. (the ?Company?), and [] (the ?Grantee?), as of [] (the ?Grant Date?). RECITALS WHEREAS, the Company desires to grant to the Grantee the restricted stock units described herein (the ?Award?), subject to the terms of the Cowen Group, Inc. 2020 Equity Incentive Plan, as amended from time to time ( |
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| February 16, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): February 16, 2022 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| February 16, 2022 |
COWEN ANNOUNCES RECORD FINANCIAL RESULTS FOR FULL YEAR 2021 COWEN ANNOUNCES RECORD FINANCIAL RESULTS FOR FULL YEAR 2021 ?Reports 4Q21 GAAP Net Income to common stockholders of $63. |
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| February 15, 2022 |
COWEN APPOINTS LORENCE KIM AS NEW INDEPENDENT BOARD DIRECTOR COWEN APPOINTS LORENCE KIM AS NEW INDEPENDENT BOARD DIRECTOR NEW YORK ? February 15, 2022 ? Cowen Inc. |
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| February 15, 2022 |
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): February 15, 2022 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| February 14, 2022 |
COWN / Cowen Group, Inc. / Azora Capital LP Passive Investment 12194255.2 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13D - 102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. )* Cowen Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 223622606 (CUSIP Number) December 31, 2021 (Date of Event which Requires |
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| February 9, 2022 |
COWN / Cowen Group, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Cowen Inc. Class A Title of Class of Securities: Common Stock CUSIP Number: 223622606 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ?? |
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| February 8, 2022 |
COWN / Cowen Group, Inc. / DIMENSIONAL FUND ADVISORS LP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Cowen Inc (Name of Issuer) Common Stock (Title of Class of Securities) 223622606 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| January 26, 2022 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK ? January 26, 2022 ? Cowen Inc. |
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| January 26, 2022 |
Financial Statements and Exhibits, Other Events 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, 2022 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 |
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| January 4, 2022 |
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): December 31, 2021 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| December 21, 2021 |
EX-10.1 2 tm2135881d1ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 Execution Version AMENDMENT NO. 1 TO CREDIT AGREEMENT AMENDMENT NO. 1 to CREDIT AGREEMENT, dated as of December 15, 2021 (this “Amendment”), by and among COWEN INC., a Delaware corporation (the “Borrower”), the Loan Guarantors party hereto, MORGAN STANLEY SENIOR FUNDING, INC., as administrative agent for the Secured Parties (in such capacit |
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| December 21, 2021 |
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): December 15, 2021 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of (Commission File Number) (I.R.S. Employer |
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| December 16, 2021 |
Cowen Completes Acquisition of Specialist M&A Advisor Portico Capital Advisors Cowen Completes Acquisition of Specialist M&A Advisor Portico Capital Advisors NEW YORK ? December 16, 2021 ? Cowen Inc. |
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| December 16, 2021 |
Financial Statements and Exhibits, Other Events 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): December 16, 2021 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| November 23, 2021 |
Cowen to Acquire Portico Capital Advisors, Accelerating M&A Advisory Momentum in Strategic, Long-Term Growth Sectors Verticalized Software, Data, and Analytics-Focused M&A Advisor Expands Cowen?s TMT and Tech-Enabled Services Investment Banking Offering NEW YORK ? November 23, 2021 - Cowen Inc. |
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| November 23, 2021 |
Financial Statements and Exhibits, Other Events 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): November 23, 2021 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| October 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen |
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| October 29, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): October 29, 2021 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 |
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| October 29, 2021 |
COWEN ANNOUNCES FINANCIAL RESULTS FOR THIRD QUARTER 2021 EX-99.1 2 ex991earningsreleaseq32021.htm EX-99.1 COWEN ANNOUNCES FINANCIAL RESULTS FOR THIRD QUARTER 2021 •Reports 3Q21 GAAP Net Income to common stockholders of $36.1 million, or $1.10 per diluted share •Economic Operating Income of $43.3 million, or $1.32 per diluted share (Non-GAAP) •Record quarter for Capital Markets Advisory and M&A Advisory •Record share repurchases of $52.4 million, maintai |
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| October 29, 2021 |
Financial Statements and Exhibits, Other Events 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): October 29, 2021 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 |
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| October 29, 2021 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK ? October 29, 2021 ? Cowen Inc. |
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| August 4, 2021 |
Form S-8 (File No. 333-258451) As filed with the Securities and Exchange Commission on August 4, 2021 Registration No. |
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| July 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen Inc. |
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| July 28, 2021 |
Financial Statements and Exhibits, Other Events 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): July 28, 2021 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. |
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| July 28, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): July 28, 2021 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. |
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| July 28, 2021 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK ? July 28, 2021 ? Cowen Inc. |
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| July 28, 2021 |
COWEN ANNOUNCES FINANCIAL RESULTS FOR SECOND QUARTER 2021 COWEN ANNOUNCES FINANCIAL RESULTS FOR SECOND QUARTER 2021 ?Reports 2Q21 GAAP Net Income to common stockholders of $43. |
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| June 25, 2021 |
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): June 24, 2021 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. |
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| May 21, 2021 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549? SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ??) Filed by the Registrant??? Filed by a Party other than the Registrant??? Check the appropriate box:??? ? Preliminary Proxy Statement ? ? Confidential, for Use of the Commission Only (as permitted |
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| May 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen Inc |
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| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001 |
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| April 29, 2021 |
COWEN ANNOUNCES RECORD FINANCIAL RESULTS FOR FIRST QUARTER 2021 COWEN ANNOUNCES RECORD FINANCIAL RESULTS FOR FIRST QUARTER 2021 ?Reports Record 1Q21 US GAAP Net Income of $145. |
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| April 29, 2021 |
Financial Statements and Exhibits, Other Events 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): April 29, 2021 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 |
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| April 29, 2021 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK ? April 29, 2021 ? Cowen Inc. |
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| April 29, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 29, 2021 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 |
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| March 30, 2021 |
Exhibit 10.1 EXECUTION VERSION CREDIT AGREEMENT Dated as of March 24, 2021 among COWEN INC., as Borrower, THE FINANCIAL INSTITUTIONS PARTY HERETO, as Lenders, MORGAN STANLEY SENIOR FUNDING, INC., as Administrative Agent, Swingline Lender and an Issuing Bank, MORGAN STANLEY SENIOR FUNDING, INC., as Lead Arranger and Bookrunner, and MORGAN STANLEY SENIOR FUNDING, INC., as Syndication Agent Table of |
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| March 30, 2021 |
Exhibit 99.1 Cowen Announces Closing of $300 Million Term Loan Due 2028 and $25 Million Revolving Credit Facility Due 2026 Cowen Also Calls for Redemption its 7.35% Senior Notes Due 2027 and 3.00% Senior Convertible Notes Due 2022 NEW YORK ? March 24, 2021 ? Cowen Inc. (NASDAQ:COWN) (?Cowen? or the ?Company) today announced the closing of the Company?s $300 million first lien term loan credit faci |
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| March 30, 2021 |
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): March 24, 2021 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of (Commission File Number) (I.R.S. Employer In |
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| March 3, 2021 |
Exhibit 4.10 DESCRIPTION OF REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of Cowen Inc.?s securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?), is a summary and does not purport to be complete. It is qualified in its entirety by reference to our amended and r |
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| March 3, 2021 |
Restricted Stock Unit and Deferred Cash Award Agreement (filed herewith). * Exhibit 10.21 RESTRICTED STOCK UNIT AND DEFERRED CASH AWARD AGREEMENT THIS RESTRICTED STOCK UNIT AND DEFERRED CASH AWARD AGREEMENT (this ?Agreement?) is made by and between Cowen Inc. (the ?Company?), and [insert name], (the ?Grantee?), as of February 17, 2021 (the ?Grant Date?). RECITALS WHEREAS, the Company desires to grant to the Grantee the restricted stock units award (the ?RSU Award?) and de |
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| March 3, 2021 |
Subsidiaries of Cowen Inc. (filed herewith). Exhibit 21.1 List of Subsidiaries of Cowen, Inc. (as of December 31, 2020) Name of Subsidiary Jurisdiction 8995 Collins LLC Delaware AB Co-Investment LLC Delaware ABP Co-Investment LLC Delaware Algorithmic Trading Management, LLC Delaware ASA Co-Investment LLC Delaware ATM Execution LLC New York BNS Co-Investment LLC Delaware CA Co-Investment LLC Delaware CHI Advisors LLC Delaware CHI EF II LP Del |
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| March 3, 2021 |
Performance Share Award Agreement (filed herewith). * Exhibit 10.20 PERFORMANCE SHARES AWARD AGREEMENT This PERFORMANCE SHARES AWARD AGREEMENT (this ?Agreement?) is made by and between Cowen Inc. (the ?Company?), and (insert name) (the ?Grantee?), effective February 17, 2021 (the ?Grant Date?). RECITALS WHEREAS, the Company desires to grant to the Grantee an award of restricted stock units tied to certain performance measures described herein (the ?A |
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| March 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34516 Cowen Inc. (E |
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| February 26, 2021 |
S-3/A 1 tm217699-1s3.htm S-3/A TABLE OF CONTENTS As filed with the Securities and Exchange Commission on February 26, 2021 Registration No. 333-249956 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Pre-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Cowen Inc. (Exact name of registrant as specified in charter) Delaware (State o |
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| February 26, 2021 |
COWEN INC. 599 Lexington Avenue New York, New York 10022 (646) 562-1010 via EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attention: Sonia Bednarowski Re: Cowen Inc. (CIK No. 0001466538) (the ?Registrant?) Registration Statement on Form S-3 (Commission File No. 333-249956) (the ?Registration Statement?) Dear Ms. Bednarowski: Pursua |
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| February 26, 2021 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on February 26, 2021 Registration No. |
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| February 17, 2021 |
February 17, 2021 Mr. Dave Irving and Ms. Sharon Blume United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: COWEN INC. Form 10-K for the Fiscal Year Ended December 31, 2019 Filed March 4, 2020 Form 10-Q for the Quarter Ended September 30, 2020 Filed October 29, 2020 Form 8-K Filed October 27, 2020 File No. 001-34516 Dear Mr. |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Cowen Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 223622606 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
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| February 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Cowen Inc (Name of Issuer) Common Stock (Title of Class of Securities) 223622606 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| February 11, 2021 |
COWEN ANNOUNCES RECORD FINANCIAL RESULTS FOR FULL YEAR 2020 COWEN ANNOUNCES RECORD FINANCIAL RESULTS FOR FULL YEAR 2020 •Reports Record 4Q20 US GAAP Net Income of $90. |
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| February 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): February 11, 2021 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Cowen Inc. Class A Title of Class of Securities: Common Stock CUSIP Number: 223622606 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ |
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| January 26, 2021 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK — January 26, 2021 — Cowen Inc. |
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| January 26, 2021 |
Financial Statements and Exhibits, Other Events 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, 2021 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 |
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| November 9, 2020 |
TABLE OF CONTENTS As filed with the Securities and Exchange Commission on November 9, 2020 Registration No. |
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| October 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen |
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| October 27, 2020 |
Financial Statements and Exhibits, Other Events - 8-K 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): October 27, 2020 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 |
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| October 27, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 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): October 27, 2020 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 |
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| October 27, 2020 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock and Increases Common Stock Share Repurchase Authorization NEW YORK — October 27, 2020 — Cowen Inc. |
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| October 27, 2020 |
COWEN ANNOUNCES FINANCIAL RESULTS FOR THIRD QUARTER 2020 COWEN ANNOUNCES FINANCIAL RESULTS FOR THIRD QUARTER 2020 •Reports 3Q20 US GAAP Net Income of $18. |
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| October 14, 2020 |
October 14, 2020 Mr. Dave Irving and Ms. Sharon Blume United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: COWEN INC. Form 10-K for the Fiscal Year Ended December 31, 2019 Filed March 4, 2020 Form 10-Q for the Quarter Ended June 30, 2020 Filed July 30, 2020 Form 8-K Filed July 28, 2020 File No. 001-34516 Dear Mr. Irving and |
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| September 15, 2020 |
COWEN TO ACQUIRE INVESTMENT BANKING BUSINESS OF MHT PARTNERS, FURTHER DEEPENING COVERAGE OF MIDDLE-MARKET AND PRIVATE EQUITY INVESTORS New York, NY, September 15, 2020 – Cowen Inc. |
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| September 15, 2020 |
Financial Statements and Exhibits, Other Events - 8-K 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): September 15, 2020 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 10, 2020 |
COWEN August 10, 2020 Mr. Dave Irving and Ms. Sharon Blume United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: COWEN INC. Form 10-K for the Fiscal Year Ended December 31, 2019 Filed March 4, 2020 Form 8-K Filed April 29, 2020 File No. 001-34516 Dear Mr. Irving and Ms. Blume: We are writing in response to your letter dated J |
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| July 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen Inc. |
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| July 28, 2020 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK - July 28, 2020 - Cowen Inc. |
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| July 28, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): July 28, 2020 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. |
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| July 28, 2020 |
Financial Statements and Exhibits, Other Events 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): July 28, 2020 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. |
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| July 28, 2020 |
COWEN ANNOUNCES RECORD FINANCIAL RESULTS FOR SECOND QUARTER 2020 COWEN ANNOUNCES RECORD FINANCIAL RESULTS FOR SECOND QUARTER 2020 •Reports Record 2Q20 US GAAP Net Income of $112. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
S-8 POS 1 cowen-sx8posderegistration.htm S-8 POS As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. 333-167360 Registration No. 333-174283 Registration No. 333-180046 Registration No. 333-187355 Registration No. 333-194520 Registration No. 333-202529 Registration No. 333-209939 Registration No. 333-216440 Registration No. 333-223490 Registration No. 333-230135 R |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 27, 2020 |
As filed with the Securities and Exchange Commission on July 27, 2020 Registration No. |
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| July 24, 2020 |
As filed with the Securities and Exchange Commission on July 24, 2020 Registration No. |
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| June 23, 2020 |
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): June 22, 2020 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. |
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| June 23, 2020 |
Cowen Board of Directors Approves Increase in Share Repurchase Program to $25 million Cowen Board of Directors Approves Increase in Share Repurchase Program to $25 million NEW YORK — June 23, 2020 — Cowen Inc. |
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| June 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Def |
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| May 22, 2020 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rul |
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| April 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen Inc |
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| April 29, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 29, 2020 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 |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 2) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001 |
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| April 29, 2020 |
COWEN ANNOUNCES FIRST QUARTER 2020 FINANCIAL RESULTS COWEN ANNOUNCES FIRST QUARTER 2020 FINANCIAL RESULTS •Reports 1Q20 GAAP Loss of $(0. |
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| April 27, 2020 |
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): April 24, 2020 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 |
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| April 27, 2020 |
COWEN APPOINTS GREGG A. GONSALVES AS NEW INDEPENDENT BOARD DIRECTOR COWEN APPOINTS GREGG A. GONSALVES AS NEW INDEPENDENT BOARD DIRECTOR NEW YORK – April 27, 2020 - Cowen Inc. (NASDAQ:COWN) (“Cowen” or the “Company”) is pleased to announce that Gregg A. Gonsalves has been appointed to its Board of Directors, effective April 24, 2020. The appointment will increase the size of Cowen’s Board to 10 members. “Gregg brings a wealth of finance and investment experience to |
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| April 27, 2020 |
Financial Statements and Exhibits, Other Events 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): April 27, 2020 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 |
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| April 27, 2020 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK - April 27, 2020 - Cowen Inc. |
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| March 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2019 Commission file number: 001-34516 Cowen Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization |
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| March 24, 2020 |
Starboard Value A LP Audited Financial Statements (filed herewith). Starboard Value A LP (a Delaware limited partnership) Financial Statements For the year ended December 31, 2019 Starboard Value A LP (a Delaware limited partnership) Table of Contents Page(s) Reports of Independent Auditors 1 Financial Statements Statement of Assets, Liabilities and Partners’ Capital 2 Statement of Income 3 Statement of Changes in Partners’ Capital 4 Statement of Cash Flows 5 Note |
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| March 5, 2020 |
COWN / Cowen Group, Inc. S-8 - - S-8 As filed with the Securities and Exchange Commission on March 5, 2020 Registration No. |
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| March 4, 2020 |
Subsidiaries of Cowen Inc. (filed herewith). Exhibit 21.1 List of Subsidiaries of Cowen, Inc. (as of December 31, 2019) Name of Subsidiary Jurisdiction 8995 Collins LLC Delaware Algo Trading Management Inc. New Jersey Algorithmic Trading Management, LLC Delaware ATM Execution LLC New York BNS Co-Investment LLC Delaware CHI EF II LP Delaware CHI EF III LP Delaware CHI II Aggregator LLC Delaware Cowen AB Investment LLC Delaware Cowen AC Corp. |
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| March 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-34516 Cowen Inc. (E |
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| March 4, 2020 |
Exhibit 4.11 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following description of Cowen Inc.’s securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), is a summary and does not purport to be complete. It is qualified in its entirety by reference to our amended and r |
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| March 4, 2020 |
Exhibit 10.22 RESTRICTED STOCK UNIT AND DEFERRED CASH AWARD AGREEMENT THIS RESTRICTED STOCK UNIT AND DEFERRED CASH AWARD AGREEMENT (this “Agreement”) is made by and between Cowen Inc. (the “Company”), and [insert name], (the “Grantee”), as of February 19, 2020 (the “Grant Date”). RECITALS WHEREAS, the Company desires to grant to the Grantee the restricted stock units award (the “RSU Award”) and de |
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| February 18, 2020 |
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): February 11, 2020 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| February 18, 2020 |
SECOND AMENDED AND RESTATED BY-LAWS OF COWEN INC. (f/k/a COWEN GROUP, INC.) Incorporated Under the Laws of the State of Delaware ARTICLE I. OFFICES. The registered office of COWEN INC. (f/k/a COWEN GROUP, INC. (f/k/a LexingtonPark Parent Corp.), the “Corporation”) shall be located in the State of Delaware and shall be at such address as shall be set forth in the Certificate of Incorporation of the |
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| February 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Cowen, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 223622606 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): February 12, 2020 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| February 12, 2020 |
COWEN ANNOUNCES FOURTH QUARTER AND FULL YEAR 2019 FINANCIAL RESULTS COWEN ANNOUNCES FOURTH QUARTER AND FULL YEAR 2019 FINANCIAL RESULTS •Record Revenues for Fourth Quarter and Full Year 2019 •Reports 4Q19 GAAP EPS of $0. |
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| February 11, 2020 |
COWNL / Cowen Group, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Cowen Inc Title of Class of Securities: Common Stock CUSIP Number: 223622606 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rule 13d-1(c) |
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| February 3, 2020 |
EXECUTION COPY AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of this 31st day of January 2020 (the “Effective Date”), by and between Cowen Inc. |
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| February 3, 2020 |
EXECUTION COPY AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of this 31st day of January 2020 (the “Effective Date”), by and between Cowen Inc. |
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| February 3, 2020 |
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 31, 2020 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 |
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| February 3, 2020 |
EXECUTION COPY AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of this 31st day of January 2020 (the “Effective Date”), by and between Cowen Inc. |
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| February 3, 2020 |
EXECUTION COPY AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into as of this 31st day of January 2020 (the “Effective Date”), by and between Cowen Inc. |
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| January 24, 2020 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK - January 24, 2020 - Cowen Inc. |
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| January 24, 2020 |
Financial Statements and Exhibits, Other Events 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 24, 2020 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 |
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| December 4, 2019 |
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): December 2, 2019 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 |
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| December 4, 2019 |
CREDIT AGREEMENT DATED AS OF DECEMBER 2, 2019 AMONG COWEN INC., THE GUARANTORS FROM TIME TO TIME PARTY HERETO, THE LENDERS FROM TIME TO TIME PARTY HERETO, AND BMO HARRIS BANK N.A., AS ADMINISTRATIVE AGENT BMO CAPITAL MARKETS, AS SOLE LEAD ARRANGER AND SOLE BOOK RUNNER TABLE OF CONTENTS SECTION HEADING PAGE Section 1. Definitions; Interpretation 1 Section 1.1. Definitions 1 Section 1.2. Interpretat |
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| November 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen |
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| October 25, 2019 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK — October 25, 2019 — Cowen Inc. |
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| October 25, 2019 |
Financial Statements and Exhibits, Other Events 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): October 25, 2019 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 |
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| October 24, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): October 24, 2019 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 |
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| October 24, 2019 |
COWEN ANNOUNCES THIRD QUARTER 2019 FINANCIAL RESULTS COWEN ANNOUNCES THIRD QUARTER 2019 FINANCIAL RESULTS • Reports GAAP EPS of $0.07 and Economic Operating EPS of $0.34 • Profitability Driven by Higher Year-over-Year Incentive Income and Brokerage Revenues • Cowen Investment Management Launches New Sustainable Investments Strategy NEW YORK - October 24, 2019 - Cowen Inc. (NASDAQ: COWN) (“Cowen” or “the Company”) today announced its operating result |
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| October 1, 2019 |
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): September 30, 2019 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| October 1, 2019 |
Cowen Announces Placement of $25 Million in Senior Notes Cowen Announces Placement of $25 Million in Senior Notes NEW YORK — October 1, 2019 — Cowen Inc. |
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| August 1, 2019 |
Exhibit 10.1 PERFORMANCE SHARES AWARD AGREEMENT This PERFORMANCE SHARES AWARD AGREEMENT (this “Agreement”) is made by and between Cowen Inc. (the “Company”), and (insert name) (the “Grantee”), effective April 1, 2019 (the “Grant Date”). RECITALS WHEREAS, the Company desires to grant to the Grantee an award of restricted stock units tied to certain performance measures described herein (the “Award” |
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| August 1, 2019 |
COWN / Cowen Group, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen Inc. |
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| July 26, 2019 |
Exhibit 99.2 Cowen Inc. Part 1 Financial Information Item 1. Unaudited Condensed Consolidated Financial Statements Notes to Unaudited Condensed Consolidated Financial Statements 22. Segment Reporting The Company conducts its operations through two segments: the Op Co segment which consists of Cowen Investment Management (“CIM”), Investment Banking, Markets and Research, and the Asset Co segment wh |
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| July 26, 2019 |
Exhibit 99.1 Cowen Inc. PART I When we use the terms "we," "us," "Cowen" and the "Company," we mean Cowen Inc., a Delaware corporation, its consolidated subsidiaries and entities in which it has a controlling financial interest, taken as a whole, as well as any predecessor entities, unless the context otherwise indicates. Item 1. Business Overview Cowen Inc., a Delaware corporation formed in 2009, |
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| July 26, 2019 |
Financial Statements and Exhibits, Other Events 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): July 26, 2019 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. |
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| July 26, 2019 |
Exhibit 99.3 Cowen Inc. Part 1 Financial Information Item 1. Unaudited Condensed Consolidated Financial Statements Notes to Unaudited Condensed Consolidated Financial Statements 22. Segment Reporting The Company conducts its operations through two segments: the Op Co segment which consists of Cowen Investment Management (“CIM”), Investment Banking, Markets and Research, and the Asset Co segment wh |
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| July 26, 2019 |
COWEN ANNOUNCES SECOND QUARTER 2019 FINANCIAL RESULTS COWEN ANNOUNCES SECOND QUARTER 2019 FINANCIAL RESULTS • Reports GAAP EPS of $0.13 and Economic Operating EPS of $0.65 • Record Quarterly Revenues and Sixth Consecutive Quarter of Profitability Driven by Strength in Investment Banking and Brokerage NEW YORK - July 26, 2019 - Cowen Inc. (NASDAQ: COWN) (“Cowen” or “the Company”) today announced its operating results for the second quarter ended June |
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| July 26, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): July 26, 2019 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. |
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| July 25, 2019 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK — July 25, 2019 — Cowen Inc. |
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| July 25, 2019 |
Financial Statements and Exhibits, Other Events 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): July 25, 2019 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. |
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| July 12, 2019 |
Financial Statements and Exhibits, Other Events 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): July 12, 2019 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. |
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| July 12, 2019 |
Cowen to Hold Conference Call to Discuss Second Quarter 2019 Financial Results Cowen to Hold Conference Call to Discuss Second Quarter 2019 Financial Results NEW YORK — July 12, 2019 — Cowen Inc. |
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| June 25, 2019 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 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): June 25, 2019 COWEN INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-34516 (Commission File Number) 27-0423711 ( |
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| June 25, 2019 |
COWEN NAMES JEFFREY M. SOLOMON AS CHAIRMAN OF THE BOARD JEROME S. MARKOWITZ ASSUMES ROLE OF LEAD INDEPENDENT DIRECTOR NEW YORK – June 25, 2019 - Cowen Inc. (NASDAQ:COWN) (“Cowen” or the “Company”) is pleased to announce that, following the Company’s 2019 annual meeting, Chief Executive Officer Jeffrey M. Solomon has been named Chairman of its Board of Directors. Outgoing Chairman Jerome S. Markowi |
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| May 7, 2019 |
Cowen Announces Placement of $53 Million in Senior Notes Cowen Announces Placement of $53 Million in Senior Notes NEW YORK — May 7, 2019 — Cowen Inc. |
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| May 7, 2019 |
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): May 6, 2019 COWEN INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-34516 (Commission File Number) 27-0423711 (IR |
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| May 2, 2019 |
COWN / Cowen Group, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-34516 Cowen Inc |
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| April 30, 2019 |
COWN / Cowen Group, Inc. DEF 14A DEFINITIVE PROXY STATEMENT TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rul |
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| April 29, 2019 |
EXECUTION VERSION COWEN INC. $[],000,000 7.25% Senior Notes due 2024 NOTE PURCHASE AGREEMENT Dated April 25, 2019 TABLE OF CONTENTS SECTION HEADING PAGE SECTION 1 AUTHORIZATION OF NOTES 1 SECTION 2 SALE AND PURCHASE OF NOTES 1 SECTION 3 CLOSING 2 SECTION 4 CONDITIONS TO CLOSING 2 Section 4.1 Representations and Warranties 2 Section 4.2 Performance; No Default 2 Section 4.3 Compliance Certificates |
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| April 29, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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): April 25, 2019 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 |
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| April 29, 2019 |
Cowen Announces Placement of $45 Million in Senior Notes Cowen Announces Placement of $45 Million in Senior Notes NEW YORK - April 25, 2019 - Cowen Inc. |
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| April 25, 2019 |
Financial Statements and Exhibits, Other Events 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): April 25, 2019 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 |
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| April 25, 2019 |
Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock c Cowen Declares Quarterly Dividend On Its Series A Cumulative Perpetual Convertible Preferred Stock NEW YORK — April 25, 2019 — Cowen Inc. |
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| April 25, 2019 |
COWEN ANNOUNCES FIRST QUARTER 2019 FINANCIAL RESULTS Press Release COWEN ANNOUNCES FIRST QUARTER 2019 FINANCIAL RESULTS Fifth Consecutive Quarter of Solid Profitability with Increasing Revenue Diversification NEW YORK - April 25, 2019 - Cowen Inc. |
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| April 25, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 25, 2019 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 |
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| April 24, 2019 |
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): April 23, 2019 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 |
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| April 24, 2019 |
COWEN APPOINTS MARGARET POSTER AS NEW INDEPENDENT BOARD DIRECTOR COWEN APPOINTS MARGARET POSTER AS NEW INDEPENDENT BOARD DIRECTOR NEW YORK – April 24, 2019 - Cowen Inc. |
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| March 18, 2019 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A 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 2, 2019 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| March 7, 2019 |
As filed with the Securities and Exchange Commission on March 7, 2019 Registration No. |
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| March 7, 2019 |
Subsidiaries of Cowen Inc. (filed herewith). Exhibit 21.1 List of Subsidiaries of Cowen, Inc. (as of December 31, 2018) Name of Subsidiary Jurisdiction 8995 Collins LLC Delaware Al Co-Investment LLC Delaware Algo Trading Management Inc. New Jersey Algorithmic Trading Management, LLC Delaware ATM Execution LLC (f/k/a Cowen Capital LLC) New York ATM USA, LLC Delaware CHI EF II LP Delaware Convergex Prime Services LLC Georgia Cowen 1576 LLC Del |
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| March 7, 2019 |
COWN / Cowen Group, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended: December 31, 2018 Commission file number: 001-34516 Cowen Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 27-0423711 (I.R. |
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| February 14, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): February 14, 2019 COWEN INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34516 27-0423711 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| February 14, 2019 |
EX-99.1 2 ex991earningsrelease10k2018.htm EXHIBIT 99.1 Press Release COWEN ANNOUNCES FOURTH QUARTER AND FULL YEAR 2018 FINANCIAL RESULTS Achieved Record Revenue in 2018 Continued Strength in Investment Banking and Brokerage New York, NY - February 14, 2019 - Cowen Inc. (NASDAQ: COWN) (“Cowen” or “the Company”) today announced its operating results for the fourth quarter and full year ended Decembe |
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| February 14, 2019 |
COWNL / Cowen Group, Inc. / Arbiter Partners Capital Management LLC - SC 13G/A Passive Investment Arbiter Partners Capital Management LLC: Schedule 13G/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Cowen Inc. (Name of Issuer) Class A Common Stock (Title of Class of Securities) 223622606 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this S |
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| February 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Cowen, Inc (Name of Issuer) Class A Common Stock (Title of Class of Securities) 223622606 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
