Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| DermTech, Inc.DMTK · Entity 89998 | 10% owner | March 29, 2019 | October 17, 2019 |
| Nikola CorpVTIQ · Entity 85360 | 10% owner | May 15, 2018 | May 15, 2018 |
| Nuvation Bio Inc.PANA · Entity 4384 | 10% owner | June 30, 2020 | June 30, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
DermTech, Inc.
Report date March 29, 2019 · Filed October 17, 2019
Jointly reported with COWEN INC., Cowen Investments II LLC, COWEN AND COMPANY, LLC, Cowen Holdings, Inc., RCG LV Pearl LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectBy Cowen and Company, LLC | 622,762 |
Last balance in matching sequence
After 2019-07-22 transaction · row 14
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
14 source rowsRow 1 · 2019-03-29 · Purchase · Acquired 100 · Balance 610,800 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 2 · 2019-04-30 · Purchase · Acquired 400 · Balance 611,200 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 3 · 2019-04-30 · Purchase · Acquired 1,726 · Balance 612,926 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 4 · 2019-04-30 · Purchase · Acquired 6,836 · Balance 619,762 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 5 · 2019-04-30 · Purchase · Acquired 300 · Balance 620,062 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 6 · 2019-05-30 · Purchase · Acquired 100 · Balance 620,162 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 7 · 2019-05-31 · Purchase · Acquired 1,500 · Balance 621,662 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 8 · 2019-06-04 · Purchase · Acquired 1,000 · Balance 622,662 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 9 · 2019-06-04 · Purchase · Acquired 100 · Balance 622,762 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 10 · 2019-06-27 · Purchase · Acquired 200 · Balance 622,962 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 11 · 2019-06-28 · Purchase · Acquired 100 · Balance 623,062 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 12 · 2019-07-22 · Sale · Disposed 100 · Balance 622,962 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3: The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 13 · 2019-07-22 · Sale · Disposed 100 · Balance 622,862 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3: The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Row 14 · 2019-07-22 · Sale · Disposed 100 · Balance 622,762 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3: The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions. F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. |
| Ordinary SharesSEC Table I · non-derivative | IndirectBy Cowen Investments II LLC | 308,586 |
Reported balance
Holding disclosure · report date 2019-03-29 · row 15
Holding and transaction disclosures are not merged.
1 source rowRow 15 · Balance 308,586 F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F4: Represents securities owned directly by Cowen Investments II as of 7/22/19, the date of the last transaction reported by this Form 4. As the sole member of Cowen Investments II, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments II. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Investments II. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen Investments II. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
F2: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company.
F3: The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions.
F4: Represents securities owned directly by Cowen Investments II as of 7/22/19, the date of the last transaction reported by this Form 4. As the sole member of Cowen Investments II, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments II. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Investments II. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen Investments II.
Nikola Corp
Report date May 15, 2018 · Filed May 15, 2018
Jointly reported with Cowen Investments LLC, RCG LV Pearl LLC, COWEN INC.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,161,500 |
Reported balance
Holding disclosure · report date 2018-05-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,161,500 F1: This Form 3 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of VectoIQ Acquisition Corp.'s (the "Issuer") outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: Represents securities owned directly by Cowen Investments, including 151,500 shares of common stock of the Issuer that are subject to forfeiture if the underwriters of the Issuer's initial public offering do not exercise in full an option granted to them to cover over-allotments. As the sole member of Cowen Investments, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Investments. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen Investments. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of VectoIQ Acquisition Corp.'s (the "Issuer") outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
F2: Represents securities owned directly by Cowen Investments, including 151,500 shares of common stock of the Issuer that are subject to forfeiture if the underwriters of the Issuer's initial public offering do not exercise in full an option granted to them to cover over-allotments. As the sole member of Cowen Investments, RCG may be deemed to beneficially own the securities owned directly by Cowen Investments. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen Investments. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen Investments.
Nuvation Bio Inc.
Report date June 30, 2020 · Filed June 30, 2020
Jointly reported with PA Co-Investment LLC, Cowen Investments II LLC, RCG LV Pearl LLC, COWEN INC.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B common stockSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2020-06-30 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: This Form 3 is filed jointly by PA Co-Investment LLC ("PA Co-Investment"), Cowen Investments II LLC ("Cowen Investments II"), RCG LV Pearl LLC ("RCG"), Cowen Inc. and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Panacea Acquisition Corp.'s ("Issuer") outstanding common stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-239138) and have no expiration date. F3: Includes up to 93,750 shares subject to forfeiture by PA Co-Investment depending on the extent to which the underwriters' over-allotment option to purchase additional units is exercised. F4: Represents securities owned directly by PA Co-Investment. As the sole member of PA Co-Investment, Cowen Investments II may be deemed to beneficially own the securities owned directly by PA Co-Investment. As the sole member of Cowen Investments II, RCG may be deemed to beneficially own the securities owned directly by PA Co-Investment. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by PA Co-Investment. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by PA Co-Investment. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 3 is filed jointly by PA Co-Investment LLC ("PA Co-Investment"), Cowen Investments II LLC ("Cowen Investments II"), RCG LV Pearl LLC ("RCG"), Cowen Inc. and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Panacea Acquisition Corp.'s ("Issuer") outstanding common stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
F2: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the Issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment as set forth in the Issuer's registration statement on Form S-1 (File No. 333-239138) and have no expiration date.
F3: Includes up to 93,750 shares subject to forfeiture by PA Co-Investment depending on the extent to which the underwriters' over-allotment option to purchase additional units is exercised.
F4: Represents securities owned directly by PA Co-Investment. As the sole member of PA Co-Investment, Cowen Investments II may be deemed to beneficially own the securities owned directly by PA Co-Investment. As the sole member of Cowen Investments II, RCG may be deemed to beneficially own the securities owned directly by PA Co-Investment. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by PA Co-Investment. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by PA Co-Investment.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Affinity Gaming
Report date January 31, 2017 · Filed February 01, 2017
Section 16 reporting ended · disclosed 2017-02-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-01-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-01-31 · Disposition to issuer · Disposed 33,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of August 22, 2016, among Z Capital Affinity Owner, LLC ("Parent"), Affinity Merger Sub, Inc. and Affinity Gaming (the "Merger Agreement"), at the effective time of the merger of Affinity Merger Sub, Inc. with and into Affinity Gaming (the "Merger") each unvested share of Affinity Gaming restricted stock owned by the Reporting Person was cancelled for no consideration. The Merger is more completely described in the Company's Definitive Proxy Statement filed with the SEC on November 14, 2016. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.00 · Expires 2021-03-16 | Direct | 0 |
Reported balance
After 2017-01-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-01-31 · Disposition to issuer · Disposed 80,000 · Balance 0 F2: As more fully described in the Definitive Proxy Statement, as part of the Merger, the Reporting Person was one of three executives who agreed to contribute certain Company shares to Z Capital Affinity Holdings, L.L.C., the sole member and managing member of Parent, in exchange for an interest in Z Capital Affinity Holdings, L.L.C., which shares were valued at $17.35 per share. F3: This option, which provided for 40,000 options to become exercisable in 1/3 increments on March 31, 2017, March 31, 2018 and March 31, 2019, and 40,000 options vest on those three dates in 1/3 increments or less dependent upon the achievement of performance-based conditions, was cancelled in the Merger in exchange for a cash payment equal to the product of (i) the excess of $17.35 over the exercise price per share of the option and (ii) the total number of shares underlying the option. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of August 22, 2016, among Z Capital Affinity Owner, LLC ("Parent"), Affinity Merger Sub, Inc. and Affinity Gaming (the "Merger Agreement"), at the effective time of the merger of Affinity Merger Sub, Inc. with and into Affinity Gaming (the "Merger") each unvested share of Affinity Gaming restricted stock owned by the Reporting Person was cancelled for no consideration. The Merger is more completely described in the Company's Definitive Proxy Statement filed with the SEC on November 14, 2016.
F2: As more fully described in the Definitive Proxy Statement, as part of the Merger, the Reporting Person was one of three executives who agreed to contribute certain Company shares to Z Capital Affinity Holdings, L.L.C., the sole member and managing member of Parent, in exchange for an interest in Z Capital Affinity Holdings, L.L.C., which shares were valued at $17.35 per share.
F3: This option, which provided for 40,000 options to become exercisable in 1/3 increments on March 31, 2017, March 31, 2018 and March 31, 2019, and 40,000 options vest on those three dates in 1/3 increments or less dependent upon the achievement of performance-based conditions, was cancelled in the Merger in exchange for a cash payment equal to the product of (i) the excess of $17.35 over the exercise price per share of the option and (ii) the total number of shares underlying the option.
COWEN INC.
Report date March 01, 2023 · Filed March 01, 2023
Section 16 reporting ended · disclosed 2023-03-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-03-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-03-01 · Disposition to issuer · Disposed 603,687 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated as of August 1, 2022 (the "Merger Agreement"), by and among The Toronto-Dominion Bank, a Canadian chartered bank ("Parent"), Crimson Holdings Acquisition Co., a Delaware corporation ("Merger Sub") and an indirect wholly owned subsidiary of Parent and Cowen Inc., a Delaware corporation (the "Company"), on March 1, 2023 (the "Effective Time"), Merger Sub merged with and into the Company with the Company continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F2: At the Effective Time, each share of Class A common stock, par value $0.01 per share, of the Company ("Class A Company Common Stock") issued and outstanding immediately prior to the Effective Time and each share of Class B common stock, par value $0.01 per share, of the Company (together with Class A Company Common Stock, "Company Common Stock") issued and outstanding immediately prior to the Effective Time (except for (i) shares of Company Common Stock owned by the Company or Parent (in each case, other than shares of Company Common Stock (A) held in trust accounts, managed accounts, mutual funds and the like, or otherwise held in a fiduciary or agency capacity, or (B) held, directly or indirectly, in respect of a debt previously contracted) and (ii) any shares of Company Common Stock with respect to which dissenters' rights have been exercised) was automatically canceled and converted into the right to receive $39.00 in cash, without interest (the "Merger Consideration"). |
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-03-01 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2023-03-01 · Disposition to issuer · Disposed 64,967 · Balance 0 F3: This line item represents outstanding restricted stock units with respect to Company Common Stock ("Company RSUs") held by the Reporting Person. Pursuant to the Merger Agreement, at the Effective Time, each Company RSU that was or became vested at the Effective Time in accordance with its terms was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company RSU immediately prior to the Effective Time and (ii) the Merger Consideration. |
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-03-01 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2023-03-01 · Disposition to issuer · Disposed 226,393 · Balance 0 F4: This line item represents unvested and outstanding Company RSUs held by the Reporting Person. Pursuant to the employment agreement between Parent and the Reporting Person at the Effective Time, each outstanding Company RSU that was not and did not become vested at the Effective Time in accordance with its terms was converted into a restricted stock unit with respect to Parent common stock determined by multiplying (i) the total number of shares underlying such Company RSU immediately prior to the Effective Time and (ii) the Exchange Ratio (as defined in the Merger Agreement), subject to such terms and conditions applicable to such Company RSU as set forth in the employment agreement. |
| Class A Common StockSEC Table I · non-derivative | Direct | 231,286 |
Reported balance
After 2023-03-01 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2023-03-01 · Grant · Acquired 231,286 · Balance 231,286 F5: Pursuant to the Merger Agreement, each award of restricted stock units with vesting subject to performance-based conditions ("Company PSUs") held by the Reporting Person at the Effective Time for which the applicable performance period was complete but had not yet been settled as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company PSU immediately prior to the Effective Time and (ii) the Merger Consideration. F6: Pursuant to the employment agreement between Parent and the Reporting Person, at the Effective Time, each Company PSU for which the applicable performance period was not complete as of immediately prior to the Effective Time was assumed by Parent, based on target level of performance and otherwise subject to such terms and conditions applicable to such Company PSU as set forth in the employment agreement, except that such assumed Company PSU shall (i) no longer be subject to performance conditions following the Effective Time and (ii) in respect of a number of Parent common shares determined by multiplying the total number of shares underlying under such Company immediately prior to the Effective Time and the Exchange Ratio. |
| Class A Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-03-01 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2023-03-01 · Disposition to issuer · Disposed 231,286 · Balance 0 F5: Pursuant to the Merger Agreement, each award of restricted stock units with vesting subject to performance-based conditions ("Company PSUs") held by the Reporting Person at the Effective Time for which the applicable performance period was complete but had not yet been settled as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company PSU immediately prior to the Effective Time and (ii) the Merger Consideration. F6: Pursuant to the employment agreement between Parent and the Reporting Person, at the Effective Time, each Company PSU for which the applicable performance period was not complete as of immediately prior to the Effective Time was assumed by Parent, based on target level of performance and otherwise subject to such terms and conditions applicable to such Company PSU as set forth in the employment agreement, except that such assumed Company PSU shall (i) no longer be subject to performance conditions following the Effective Time and (ii) in respect of a number of Parent common shares determined by multiplying the total number of shares underlying under such Company immediately prior to the Effective Time and the Exchange Ratio. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger, dated as of August 1, 2022 (the "Merger Agreement"), by and among The Toronto-Dominion Bank, a Canadian chartered bank ("Parent"), Crimson Holdings Acquisition Co., a Delaware corporation ("Merger Sub") and an indirect wholly owned subsidiary of Parent and Cowen Inc., a Delaware corporation (the "Company"), on March 1, 2023 (the "Effective Time"), Merger Sub merged with and into the Company with the Company continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").
F2: At the Effective Time, each share of Class A common stock, par value $0.01 per share, of the Company ("Class A Company Common Stock") issued and outstanding immediately prior to the Effective Time and each share of Class B common stock, par value $0.01 per share, of the Company (together with Class A Company Common Stock, "Company Common Stock") issued and outstanding immediately prior to the Effective Time (except for (i) shares of Company Common Stock owned by the Company or Parent (in each case, other than shares of Company Common Stock (A) held in trust accounts, managed accounts, mutual funds and the like, or otherwise held in a fiduciary or agency capacity, or (B) held, directly or indirectly, in respect of a debt previously contracted) and (ii) any shares of Company Common Stock with respect to which dissenters' rights have been exercised) was automatically canceled and converted into the right to receive $39.00 in cash, without interest (the "Merger Consideration").
F3: This line item represents outstanding restricted stock units with respect to Company Common Stock ("Company RSUs") held by the Reporting Person. Pursuant to the Merger Agreement, at the Effective Time, each Company RSU that was or became vested at the Effective Time in accordance with its terms was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company RSU immediately prior to the Effective Time and (ii) the Merger Consideration.
F4: This line item represents unvested and outstanding Company RSUs held by the Reporting Person. Pursuant to the employment agreement between Parent and the Reporting Person at the Effective Time, each outstanding Company RSU that was not and did not become vested at the Effective Time in accordance with its terms was converted into a restricted stock unit with respect to Parent common stock determined by multiplying (i) the total number of shares underlying such Company RSU immediately prior to the Effective Time and (ii) the Exchange Ratio (as defined in the Merger Agreement), subject to such terms and conditions applicable to such Company RSU as set forth in the employment agreement.
F5: Pursuant to the Merger Agreement, each award of restricted stock units with vesting subject to performance-based conditions ("Company PSUs") held by the Reporting Person at the Effective Time for which the applicable performance period was complete but had not yet been settled as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company PSU immediately prior to the Effective Time and (ii) the Merger Consideration.
F6: Pursuant to the employment agreement between Parent and the Reporting Person, at the Effective Time, each Company PSU for which the applicable performance period was not complete as of immediately prior to the Effective Time was assumed by Parent, based on target level of performance and otherwise subject to such terms and conditions applicable to such Company PSU as set forth in the employment agreement, except that such assumed Company PSU shall (i) no longer be subject to performance conditions following the Effective Time and (ii) in respect of a number of Parent common shares determined by multiplying the total number of shares underlying under such Company immediately prior to the Effective Time and the Exchange Ratio.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 01, 2023 Filed Mar 1, 2023 11:34 UTC | COWEN INC. COWN · Entity 89620 | Disposition to issuerClass A Common Stock | 231,286 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-003608 · form4-03012023_040334.xml · nonDerivative · entry 5 SOLOMON JEFFREY M · CIK 0001275922 · Director · CHAIR AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F5 · price: Pursuant to the Merger Agreement, each award of restricted stock units with vesting subject to performance-based conditions ("Company PSUs") held by the Reporting Person at the Effective Time for which the applicable performance period was complete but had not yet been settled as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company PSU immediately prior to the Effective Time and (ii) the Merger Consideration. F6 · price: Pursuant to the employment agreement between Parent and the Reporting Person, at the Effective Time, each Company PSU for which the applicable performance period was not complete as of immediately prior to the Effective Time was assumed by Parent, based on target level of performance and otherwise subject to such terms and conditions applicable to such Company PSU as set forth in the employment agreement, except that such assumed Company PSU shall (i) no longer be subject to performance conditions following the Effective Time and (ii) in respect of a number of Parent common shares determined by multiplying the total number of shares underlying under such Company immediately prior to the Effective Time and the Exchange Ratio. Read SEC document |
| March 01, 2023 Filed Mar 1, 2023 11:34 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 231,286 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-003608 · form4-03012023_040334.xml · nonDerivative · entry 4 SOLOMON JEFFREY M · CIK 0001275922 · Director · CHAIR AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,286 F5 · kind: Pursuant to the Merger Agreement, each award of restricted stock units with vesting subject to performance-based conditions ("Company PSUs") held by the Reporting Person at the Effective Time for which the applicable performance period was complete but had not yet been settled as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company PSU immediately prior to the Effective Time and (ii) the Merger Consideration. F6 · kind: Pursuant to the employment agreement between Parent and the Reporting Person, at the Effective Time, each Company PSU for which the applicable performance period was not complete as of immediately prior to the Effective Time was assumed by Parent, based on target level of performance and otherwise subject to such terms and conditions applicable to such Company PSU as set forth in the employment agreement, except that such assumed Company PSU shall (i) no longer be subject to performance conditions following the Effective Time and (ii) in respect of a number of Parent common shares determined by multiplying the total number of shares underlying under such Company immediately prior to the Effective Time and the Exchange Ratio. F5 · shares: Pursuant to the Merger Agreement, each award of restricted stock units with vesting subject to performance-based conditions ("Company PSUs") held by the Reporting Person at the Effective Time for which the applicable performance period was complete but had not yet been settled as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company PSU immediately prior to the Effective Time and (ii) the Merger Consideration. F6 · shares: Pursuant to the employment agreement between Parent and the Reporting Person, at the Effective Time, each Company PSU for which the applicable performance period was not complete as of immediately prior to the Effective Time was assumed by Parent, based on target level of performance and otherwise subject to such terms and conditions applicable to such Company PSU as set forth in the employment agreement, except that such assumed Company PSU shall (i) no longer be subject to performance conditions following the Effective Time and (ii) in respect of a number of Parent common shares determined by multiplying the total number of shares underlying under such Company immediately prior to the Effective Time and the Exchange Ratio. F5 · price: Pursuant to the Merger Agreement, each award of restricted stock units with vesting subject to performance-based conditions ("Company PSUs") held by the Reporting Person at the Effective Time for which the applicable performance period was complete but had not yet been settled as of immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company PSU immediately prior to the Effective Time and (ii) the Merger Consideration. F6 · price: Pursuant to the employment agreement between Parent and the Reporting Person, at the Effective Time, each Company PSU for which the applicable performance period was not complete as of immediately prior to the Effective Time was assumed by Parent, based on target level of performance and otherwise subject to such terms and conditions applicable to such Company PSU as set forth in the employment agreement, except that such assumed Company PSU shall (i) no longer be subject to performance conditions following the Effective Time and (ii) in respect of a number of Parent common shares determined by multiplying the total number of shares underlying under such Company immediately prior to the Effective Time and the Exchange Ratio. Read SEC document |
| March 01, 2023 Filed Mar 1, 2023 11:34 UTC | COWEN INC. COWN · Entity 89620 | Disposition to issuerClass A Common Stock | 226,393 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-23-003608 · form4-03012023_040334.xml · nonDerivative · entry 3 SOLOMON JEFFREY M · CIK 0001275922 · Director · CHAIR AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F4 · price: This line item represents unvested and outstanding Company RSUs held by the Reporting Person. Pursuant to the employment agreement between Parent and the Reporting Person at the Effective Time, each outstanding Company RSU that was not and did not become vested at the Effective Time in accordance with its terms was converted into a restricted stock unit with respect to Parent common stock determined by multiplying (i) the total number of shares underlying such Company RSU immediately prior to the Effective Time and (ii) the Exchange Ratio (as defined in the Merger Agreement), subject to such terms and conditions applicable to such Company RSU as set forth in the employment agreement. F4 · balance_after: This line item represents unvested and outstanding Company RSUs held by the Reporting Person. Pursuant to the employment agreement between Parent and the Reporting Person at the Effective Time, each outstanding Company RSU that was not and did not become vested at the Effective Time in accordance with its terms was converted into a restricted stock unit with respect to Parent common stock determined by multiplying (i) the total number of shares underlying such Company RSU immediately prior to the Effective Time and (ii) the Exchange Ratio (as defined in the Merger Agreement), subject to such terms and conditions applicable to such Company RSU as set forth in the employment agreement. Read SEC document |
| March 01, 2023 Filed Mar 1, 2023 11:34 UTC | COWEN INC. COWN · Entity 89620 | Disposition to issuerClass A Common Stock | 64,967 | $39.00 | $2,533,713.00 |
DisclosureSEC source: 0001415889-23-003608 · form4-03012023_040334.xml · nonDerivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Director · CHAIR AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · price: This line item represents outstanding restricted stock units with respect to Company Common Stock ("Company RSUs") held by the Reporting Person. Pursuant to the Merger Agreement, at the Effective Time, each Company RSU that was or became vested at the Effective Time in accordance with its terms was canceled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the number of shares of Company Common Stock subject to such Company RSU immediately prior to the Effective Time and (ii) the Merger Consideration. Read SEC document |
| March 01, 2023 Filed Mar 1, 2023 11:34 UTC | COWEN INC. COWN · Entity 89620 | Disposition to issuerClass A Common Stock | 603,687 | $39.00 | $23,543,793.00 |
DisclosureSEC source: 0001415889-23-003608 · form4-03012023_040334.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CHAIR AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of August 1, 2022 (the "Merger Agreement"), by and among The Toronto-Dominion Bank, a Canadian chartered bank ("Parent"), Crimson Holdings Acquisition Co., a Delaware corporation ("Merger Sub") and an indirect wholly owned subsidiary of Parent and Cowen Inc., a Delaware corporation (the "Company"), on March 1, 2023 (the "Effective Time"), Merger Sub merged with and into the Company with the Company continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). F2 · price: At the Effective Time, each share of Class A common stock, par value $0.01 per share, of the Company ("Class A Company Common Stock") issued and outstanding immediately prior to the Effective Time and each share of Class B common stock, par value $0.01 per share, of the Company (together with Class A Company Common Stock, "Company Common Stock") issued and outstanding immediately prior to the Effective Time (except for (i) shares of Company Common Stock owned by the Company or Parent (in each case, other than shares of Company Common Stock (A) held in trust accounts, managed accounts, mutual funds and the like, or otherwise held in a fiduciary or agency capacity, or (B) held, directly or indirectly, in respect of a debt previously contracted) and (ii) any shares of Company Common Stock with respect to which dissenters' rights have been exercised) was automatically canceled and converted into the right to receive $39.00 in cash, without interest (the "Merger Consideration"). Read SEC document |
| December 21, 2022 Filed Dec 21, 2022 16:22 UTC | COWEN INC. COWN · Entity 89620 | GiftClass A Common Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-012883 · form4-12212022_091241.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CHAIR AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 895,047 F1 · kind: The reported transaction was a gift by the reporting person to a charitable fund. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 16:25 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 22,426 | $38.59 | $865,419.34 |
DisclosureSEC source: 0001415889-22-012065 · form4-12052022_041201.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CHAIR AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 995,047 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| September 01, 2022 Filed Sep 6, 2022 16:10 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 23,753 | $38.46 | $913,540.38 |
DisclosureSEC source: 0001415889-22-009349 · form4-09062022_010920.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CHAIR AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,017,473 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 16:10 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 26 | $26.52 | $689.52 |
DisclosureSEC source: 0001179110-22-002193 · edgar.xml · nonDerivative · entry 4 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041,226 F4 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 16:10 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 50 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-22-002193 · edgar.xml · nonDerivative · entry 3 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041,252 F3 · price: Grant of Cowen stock for no monetary consideration. The stock award was settled and delivered on March 10, 2022. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 16:10 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 57,176 | $36.10 | $2,064,053.60 |
DisclosureSEC source: 0001179110-22-002193 · edgar.xml · nonDerivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,041,202 F2 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the settlement of performance shares, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| March 10, 2022 Filed Mar 14, 2022 16:10 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 112,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-22-002193 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,098,378 F1 · price: On April 1, 2019, the Reporting Person was granted a performance share award consisting of 56,000 target shares, with the number of shares to be delivered upon settlement based on the attainment of certain performance metrics. In accordance with the performance share award agreement, 112,000 shares which represented the maximum payout under the performance share award agreement, were settled and delivered to the Reporting Person on March 10, 2022. Read SEC document |
| February 18, 2022 Filed Feb 22, 2022 16:10 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 112,360 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-22-001489 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 986,378 F1 · price: Grant of restricted stock units for no monetary consideration. The restricted stock units will vest with respect to 12.5% on September 1, 2022; 12.5% on June 1, 2023; 25% on June 1, 2024; 25% on June 1, 2025; and 25% on June 1, 2026. Read SEC document |
| December 01, 2021 Filed Dec 2, 2021 16:42 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 33,127 | $35.12 | $1,163,420.24 |
DisclosureSEC source: 0001179110-21-010519 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 874,018 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| September 01, 2021 Filed Sep 2, 2021 16:43 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 7,954 | $36.44 | $289,843.76 |
DisclosureSEC source: 0001179110-21-008541 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 907,145 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| July 28, 2021 Filed Jul 29, 2021 16:31 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 2,868 | $40.00 | $114,720.00 |
DisclosureSEC source: 0001179110-21-007724 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 915,099 F1 · kind: The shares of common stock were sold pursuant to a 10b5-1 trading plan. Read SEC document |
| July 14, 2021 Filed Jul 15, 2021 19:16 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 6,363 | $40.55 | $257,989.74 |
DisclosureSEC source: 0001179110-21-007504 · edgar.xml · nonDerivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 917,967 F1 · kind: The shares of common stock were sold pursuant to a 10b5-1 trading plan. F3 · price: The price is the weighted average sale price of the aggregate number of shares that were sold by the reporting person. The shares were sold in multiple transactions at prices ranging from $40.00 to $41.48. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| July 13, 2021 Filed Jul 15, 2021 19:16 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 15,769 | $40.12 | $632,701.16 |
DisclosureSEC source: 0001179110-21-007504 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,330 F1 · kind: The shares of common stock were sold pursuant to a 10b5-1 trading plan. F2 · price: The price is the weighted average sale price of the aggregate number of shares that were sold by the reporting person. The shares were sold in multiple transactions at prices ranging from $40.00 to $40.96. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 16:46 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 4,385 | $40.39 | $177,110.15 |
DisclosureSEC source: 0001179110-21-006338 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 940,099 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| May 17, 2021 Filed May 18, 2021 16:20 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 19,694 | $41.27 | $812,771.38 |
DisclosureSEC source: 0001179110-21-005496 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 944,484 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 16:21 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 10,840 | $42.17 | $457,122.80 |
DisclosureSEC source: 0001179110-21-003346 · edgar.xml · nonDerivative · entry 3 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 964,178 F3 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 16:21 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 50 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-21-003346 · edgar.xml · nonDerivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 975,018 F2 · price: Grant of Cowen stock for no monetary consideration. The stock award was settled and delivered on March 10, 2021. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 16:21 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 52,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-21-003346 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 974,968 F1 · shares: On March 15, 2016, the Reporting Person was granted a performance share award consisting of 29,166 target shares, with the number of shares to be delivered upon settlement based on the attainment of certain performance metrics. In accordance with the performance share award agreement, 52,500 shares which represented the maximum payout under the performance share award agreement, were settled and delivered to the Reporting Person on March 10, 2021. F1 · price: On March 15, 2016, the Reporting Person was granted a performance share award consisting of 29,166 target shares, with the number of shares to be delivered upon settlement based on the attainment of certain performance metrics. In accordance with the performance share award agreement, 52,500 shares which represented the maximum payout under the performance share award agreement, were settled and delivered to the Reporting Person on March 10, 2021. Read SEC document |
| February 22, 2021 Filed Feb 23, 2021 16:16 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 65,000 | $37.19 | $2,417,142.00 |
DisclosureSEC source: 0001179110-21-002111 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chair and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 922,468 F1 · kind: The shares of common stock were sold pursuant to a 10b5-1 trading plan that was established in connection with Mr. Solomon's long-term tax planning strategy. The 10b5-1 trading plan has been terminated as all shares of common stock subject to the plan have been sold. F2 · price: The price is the weighted average sale price of the aggregate number of shares that were sold by the reporting person. The shares were sold in multiple transactions at prices ranging from $35.77 to $37.98. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| February 17, 2021 Filed Feb 18, 2021 16:21 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 175,717 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-21-001865 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 987,468 F1 · price: Grant of restricted stock units for no monetary consideration. The restricted stock units will vest with respect to 25% on December 1, 2021, 25% on December 1, 2022, 25% on December 1, 2023 and 25% on December 1, 2024. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 16:10 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 16,973 | $24.58 | $417,196.34 |
DisclosureSEC source: 0001179110-20-011607 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 811,751 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 16:14 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 10,014 | $22.09 | $221,209.26 |
DisclosureSEC source: 0001179110-20-010810 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 828,724 F1 · price: The price is the weighted average sale price of the aggregate number of shares that were sold by the reporting person. The shares were sold in multiple transactions at prices ranging from $21.90 to $22.245. The reporting person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 01, 2020 Filed Jun 2, 2020 17:11 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 4,384 | $13.05 | $57,211.20 |
DisclosureSEC source: 0001179110-20-006815 · edgar.xml · nonDerivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 838,738 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| May 15, 2020 Filed Jun 2, 2020 17:11 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 9,847 | $11.77 | $115,899.19 |
DisclosureSEC source: 0001179110-20-006815 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 843,122 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 16:18 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 25,954 | $12.18 | $316,119.72 |
DisclosureSEC source: 0001179110-20-003558 · edgar.xml · nonDerivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 852,969 F2 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock and performance shares, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| March 10, 2020 Filed Mar 12, 2020 16:18 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 18,248 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-20-003558 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 878,923 F1 · shares: On March 15, 2016 the Reporting Person was granted a performance share award consisting of 29,167 shares, based on the attainment of certain performance metrics. On March 10, 2020, 18,248 shares under this grant vested and were paid on a one-for-one basis in common shares. F1 · price: On March 15, 2016 the Reporting Person was granted a performance share award consisting of 29,167 shares, based on the attainment of certain performance metrics. On March 10, 2020, 18,248 shares under this grant vested and were paid on a one-for-one basis in common shares. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 07:57 UTC | COWEN INC. COWN · Entity 89620 | PurchaseClass A Common Stock | 10,000 | $12.13 | $121,305.00 |
DisclosureSEC source: 0001179110-20-003446 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 860,675 Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:18 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 129,931 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-20-002021 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 850,675 F1 · price: Grant of restricted stock units for no monetary consideration. The restricted stock units will vest with respect to 12.5% on December 1, 2020, 12.5% on September 1, 2021, 25% on September 1, 2022, 25% on September 1, 2023 and 25% on September 1, 2024. Read SEC document |
| December 02, 2019 Filed Dec 3, 2019 16:11 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 9,019 | $15.32 | $138,171.08 |
DisclosureSEC source: 0001179110-19-012232 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 720,744 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| September 03, 2019 Filed Sep 4, 2019 16:10 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 9,847 | $15.61 | $153,711.67 |
DisclosureSEC source: 0001179110-19-010049 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 729,763 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| July 22, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | SaleOrdinary Shares | 100 | $10.40 | $1,040.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 14 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 622,762 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · kind: The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| July 22, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | SaleOrdinary Shares | 100 | $10.36 | $1,036.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 13 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 622,862 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · kind: The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| July 22, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | SaleOrdinary Shares | 100 | $10.34 | $1,034.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 12 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 622,962 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F3 · kind: The sales by Reporting Persons on 7/22/19 of 100 Ordinary Shares at $10.34, 100 Ordinary Shares at $10.36 and 100 Ordinary Shares at $10.40, as reported herein, were in each case matchable under Section 16(b) of the Exchange Act of 1934, as amended, with the purchase by the Reporting Persons of 300 Ordinary Shares at a price of $10.2450 on 4/30/19. The Reporting Persons have delivered a payment to the Issuer in the amount of $36.50, which represents the full amount of the profit realized in connection with these short-swing transactions. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| June 28, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 100 | $10.40 | $1,040.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 11 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 623,062 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| June 27, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 200 | $10.38 | $2,076.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 10 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 622,962 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| June 04, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 100 | $10.39 | $1,039.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 9 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 622,762 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| June 04, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 1,000 | $10.35 | $10,350.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 8 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 622,662 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| June 03, 2019 Filed Jun 4, 2019 16:31 UTC | COWEN INC. COWN · Entity 89620 | GiftClass A Common Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-007111 · edgar.xml · nonDerivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 739,610 F2 · kind: The reported transaction was a gift by the reporting person to a non-profit organization. Read SEC document |
| June 03, 2019 Filed Jun 4, 2019 16:31 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 4,384 | $15.15 | $66,417.60 |
DisclosureSEC source: 0001179110-19-007111 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 754,610 F1 · shares: Represents shares of the Issuer's Class A common stock withheld to satisfy tax withholding obligations upon the vesting of restricted stock, in accordance with the terms of the related grant agreement, which was approved by the board of directors of the Issuer in accordance with Rule 16b-3 promulgated under the Securities Exchange Act of 1934. Read SEC document |
| May 31, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 1,500 | $10.34 | $15,510.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 7 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 621,662 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| May 30, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 100 | $10.34 | $1,034.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 6 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 620,162 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| April 30, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 300 | $10.34 | $3,102.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 5 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 620,062 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| April 30, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 6,836 | $10.30 | $70,410.80 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 4 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 619,762 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| April 30, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 1,726 | $10.29 | $17,760.54 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 3 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 612,926 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
| April 30, 2019 Filed Oct 17, 2019 16:13 UTC | DermTech, Inc. DMTK · Entity 89998 | PurchaseOrdinary Shares | 400 | $10.25 | $4,098.00 |
DisclosureSEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 2 COWEN INC. · CIK 0001466538 · 10% owner Cowen Investments II LLC · CIK 0001771946 · 10% owner COWEN AND COMPANY, LLC · CIK 0000048966 · 10% owner Cowen Holdings, Inc. · CIK 0001355007 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner SOLOMON JEFFREY M · CIK 0001275922 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen and Company, LLC Disclosed balance after: 611,200 F1 · security: This Form 4 is filed jointly by Cowen Inc., Cowen Investments II LLC ("Cowen Investments II"), Cowen and Company, LLC ("Cowen and Company"), Cowen Holdings, Inc. ("Cowen Holdings"), RCG LV Pearl LLC ("RCG") and Jeffrey M. Solomon (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group that collectively beneficially owns more than 10% of Constellation Alpha Capital Corp.'s (the "Issuer") outstanding ordinary shares. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. F2 · balance_after: Represents securities owned directly by Cowen and Company. As the sole member of Cowen and Company, Cowen Holdings may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of Cowen Holdings, RCG may be deemed to beneficially own the securities owned directly by Cowen and Company. As the sole member of RCG, Cowen Inc. may be deemed to beneficially own the securities owned directly by Cowen and Company. As Chief Executive Officer of Cowen Inc., Mr. Solomon may be deemed to beneficially own the securities owned directly by Cowen and Company. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.