COHN

SEC source: 0001104659-20-020129 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,449

F1 · shares: Mr. Pooler was awarded 17,321 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Restricted Shares on January 31, 2021 and expire with respect to the remaining half of the Restricted Shares on January 31, 2022.

SEC source: 0001104659-20-020134 · a4.xml · derivative · entry 4

COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,859,355

Underlying: Common Stock, par value $0.01 per share · 50,808 shares

Expires not disclosed

F1 · derivative.exercise_price: Mr. Cohen was awarded 508,080 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2021 and expire with respect to the remaining half of the Units on January 31, 2022. Following the expiration of the applicable restrictions on the Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F1 · derivative.exercise_date: Mr. Cohen was awarded 508,080 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2021 and expire with respect to the remaining half of the Units on January 31, 2022. Following the expiration of the applicable restrictions on the Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F1 · derivative.expiration_date: Mr. Cohen was awarded 508,080 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2021 and expire with respect to the remaining half of the Units on January 31, 2022. Following the expiration of the applicable restrictions on the Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F1 · derivative.underlying_shares: Mr. Cohen was awarded 508,080 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2021 and expire with respect to the remaining half of the Units on January 31, 2022. Following the expiration of the applicable restrictions on the Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F2 · ownership.direct: 5,252,002 membership units in the Operating LLC are owned by Cohen Bros. Financial, LLC, a Delaware limited liability company of which Mr. Cohen is the sole member.

SEC source: 0001104659-20-020131 · a4.xml · nonDerivative · entry 1

Brafman Lester Raymond · CIK 0001578554 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,093

F1 · shares: Mr. Brafman was awarded 50,808 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Restricted Shares on January 31, 2021 and expire with respect to the remaining half of the Restricted Shares on January 31, 2022.

SEC source: 0001104659-20-009787 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,128

F1 · shares: Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2020, of 7,080 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-20-009788 · a4.xml · nonDerivative · entry 1

Brafman Lester Raymond · CIK 0001578554 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,285

F1 · shares: Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2020, of 23,319 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-20-000362 · a4.xml · derivative · entry 4

COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,801,275

Underlying: Common Stock, par value $0.01 per share · 1,254,927 shares

Expires not disclosed

F1 · derivative.exercise_price: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation.

F2 · derivative.exercise_price: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote.

F1 · price: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation.

F2 · price: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote.

F1 · derivative.exercise_date: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation.

F2 · derivative.exercise_date: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote.

F1 · derivative.expiration_date: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation.

F2 · derivative.expiration_date: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote.

F1 · derivative.underlying_shares: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation.

F2 · derivative.underlying_shares: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote.

SEC source: 0001104659-19-061730 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,076

F1 · kind: Mr. Pooler sold 1,000 shares of the common stock, par value $0.01 per share, of Cohen & Co Inc. (the "Company") to the Company pursuant to a privately negotiated transaction.

SEC source: 0001104659-19-053028 · a4.xml · derivative · entry 4

COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Cohen Bros. Financial, LLC

Disclosed balance after: 5,252,002

Underlying: Common Stock, par value $0.01 per share · 26,845 shares

Expires not disclosed

F2 · derivative.exercise_price: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units.

F1 · shares: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260.

F1 · price: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260.

F2 · derivative.exercise_date: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units.

F2 · derivative.expiration_date: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units.

F2 · derivative.underlying_shares: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units.

SEC source: 0001104659-19-053028 · a4.xml · nonDerivative · entry 1

COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Cohen Bros. Financial, LLC

Disclosed balance after: 76,240

F1 · shares: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260.

F1 · price: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260.

SEC source: 0001104659-19-008731 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,076

F1 · shares: Mr. Pooler was awarded 9,375 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Restricted Shares on January 31, 2020 and expire with respect to the remaining half of the Restricted Shares on January 31, 2021.

SEC source: 0001104659-19-008733 · a4.xml · nonDerivative · entry 1

Brafman Lester Raymond · CIK 0001578554 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,537

F1 · shares: Mr. Brafman was awarded 27,500 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Restricted Shares on January 31, 2020 and expire with respect to the remaining half of the Restricted Shares on January 31, 2021.

SEC source: 0001104659-19-009056 · a4.xml · derivative · entry 3

COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,533,557

Underlying: Common Stock, par value $0.01 per share · 55,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Mr. Cohen was awarded 550,000 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a majority owned subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2020 and expire with respect to the remaining half of the Units on January 31, 2021. Following the expiration of the applicable restrictions on the Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F1 · derivative.exercise_date: Mr. Cohen was awarded 550,000 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a majority owned subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2020 and expire with respect to the remaining half of the Units on January 31, 2021. Following the expiration of the applicable restrictions on the Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F1 · derivative.expiration_date: Mr. Cohen was awarded 550,000 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a majority owned subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2020 and expire with respect to the remaining half of the Units on January 31, 2021. Following the expiration of the applicable restrictions on the Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F2 · balance_after: 4,983,557 membership units in the Operating LLC are owned by Cohen Bros. Financial, LLC, a Delaware limited liability company of which Mr. Cohen is the sole member.

F2 · ownership.direct: 4,983,557 membership units in the Operating LLC are owned by Cohen Bros. Financial, LLC, a Delaware limited liability company of which Mr. Cohen is the sole member.

SEC source: 0001104659-19-005843 · a4.xml · nonDerivative · entry 1

Listman Douglas · CIK 0001478645 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,507

F1 · shares: Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2019, of 1,250 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-19-005846 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,415

F1 · shares: Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2019, of 6,369 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-19-005842 · a4.xml · nonDerivative · entry 1

Brafman Lester Raymond · CIK 0001578554 · Chief Exectuive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,037

F1 · shares: Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2019, of 16,388 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-18-055600 · a4.xml · nonDerivative · entry 1

Haraburda Jack · CIK 0001378248 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,274

SEC source: 0001104659-18-011720 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,451

F1 · shares: Mr. Pooler was awarded 4,785 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Restricted Shares on January 31, 2019 and expire with respect to the remaining half of the Restricted Shares on January 31, 2020.

SEC source: 0001104659-18-011718 · a4.xml · nonDerivative · entry 1

Brafman Lester Raymond · CIK 0001578554 · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,156

F1 · shares: Mr. Brafman was awarded 19,139 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Restricted Shares on January 31, 2019 and expire with respect to the remaining half of the Restricted Shares on January 31, 2020.

SEC source: 0001104659-18-011717 · a4.xml · nonDerivative · entry 1

COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,113

F1 · shares: Mr. Cohen was awarded 40,191 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Restricted Shares on January 31, 2019 and expire with respect to the remaining half of the Restricted Shares on January 31, 2020.

SEC source: 0001104659-18-010396 · a4.xml · nonDerivative · entry 1

Listman Douglas · CIK 0001478645 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,998

F1 · shares: Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2018, of 1,250 shares of restricted common stock granted to the reporting person by the Company under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-18-010395 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,666

F1 · shares: Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2018, of 8,608 shares of restricted common stock granted to the reporting person by the Company under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-18-001001 · a4.xml · nonDerivative · entry 1

Ricciardi Stephanie · CIK 0001487074 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

F1 · balance_after: The reporting person and her spouse hold 75,000 shares jointly. The reporting person's spouse holds 1,240 shares individually.

SEC source: 0001104659-18-001002 · a4.xml · nonDerivative · entry 1

Ricciardi Christopher · CIK 0001386363 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,240

SEC source: 0001104659-17-074365 · a4.xml · nonDerivative · entry 1

COHEN DANIEL G · CIK 0001247745 · Director · Vice Chairman and CE Europe · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,922

SEC source: 0001104659-17-074067 · a4.xml · nonDerivative · entry 1

MCENTEE JAMES · CIK 0001204966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001104659-17-010525 · a4.xml · nonDerivative · entry 1

DAWSON G STEVEN · CIK 0001020944 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,395

F1 · shares: Mr. Dawson was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.

SEC source: 0001104659-17-010528 · a4.xml · nonDerivative · entry 1

Liberto Diana Louise · CIK 0001666535 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,395

F1 · shares: Ms. Liberto was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.

SEC source: 0001104659-17-010531 · a4.xml · nonDerivative · entry 1

Listman Douglas · CIK 0001478645 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,420

F1 · shares: Mr. Listman was awarded 25,000 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to one-half of these restricted shares on January 31, 2018 and with respect to the remaining one-half of these restricted shares on January 31, 2019, in each case, so long as Mr. Listman is then employed by the Issuer or any of its subsidiaries.

SEC source: 0001104659-17-010532 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,004

F1 · shares: Mr. Pooler was awarded 79,545 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to one-half of these restricted shares on January 31, 2018 and with respect to the remaining one-half of these restricted shares on January 31, 2019, in each case, so long as Mr. Pooler is then employed by the Issuer or any of its subsidiaries.

SEC source: 0001104659-17-010526 · a4.xml · nonDerivative · entry 1

DiMaio Jack · CIK 0001400772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,332

F1 · shares: Mr. DiMaio was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.

SEC source: 0001104659-17-010533 · a4.xml · nonDerivative · entry 1

SUBIN NEIL S · CIK 0001201333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,190

F1 · shares: Mr. Subin was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.

SEC source: 0001104659-17-010530 · a4.xml · nonDerivative · entry 1

Brafman Lester Raymond · CIK 0001578554 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,300,171

F1 · shares: Mr. Brafman was awarded 136,364 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to one-half of these restricted shares on January 31, 2018 and with respect to the remaining one-half of these restricted shares on January 31, 2019, in each case, so long as Mr. Brafman is then employed by the Issuer or any of its subsidiaries.

SEC source: 0001104659-17-010527 · a4.xml · nonDerivative · entry 1

Haraburda Jack · CIK 0001378248 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,285

F1 · shares: Mr. Haraburda was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.

SEC source: 0001104659-17-010529 · a4.xml · nonDerivative · entry 1

MCENTEE JAMES · CIK 0001204966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,461

F1 · shares: Mr. McEntee was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.

SEC source: 0001104659-17-010523 · a4.xml · nonDerivative · entry 1

Costello Thomas · CIK 0001378246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,485

F1 · shares: Mr. Costello was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.

SEC source: 0001104659-17-006007 · a4.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,459

F1 · shares: Represents shares of common stock of Institutional Financial Markets, Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2017, of 69,023 shares of restricted stock granted to the reporting person by the Company under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-17-006005 · a4.xml · nonDerivative · entry 1

Brafman Lester Raymond · CIK 0001578554 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,163,807

F1 · shares: Represents shares of common stock of Institutional Financial Markets, Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2017, of 115,040 shares of restricted stock granted to the reporting person by the Company under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended.