person · Reporting owner

SOLOMON JEFFREY M

Disclosed activity across 5 companies

Tapewire entity: 116234
SEC CIK: 0001275922

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 rows Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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

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Purchases/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 29, 2019 Filed Oct 17, 2019 16:13 UTC	DermTech, Inc. DMTK · Entity 89998	PurchaseOrdinary Shares	100	$10.32	$1,032.00	Disclosure SEC source: 0001466538-19-000100 · wf-form4_157134315368545.xml · nonDerivative · entry 1 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: 610,800 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
March 11, 2019 Filed Mar 13, 2019 16:10 UTC	COWEN INC. COWN · Entity 89620	Tax withholdingClass A Common Stock	28,383	$14.45	$410,134.35	Disclosure SEC source: 0001179110-19-003786 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 758,994 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
February 20, 2019 Filed Feb 22, 2019 16:43 UTC	COWEN INC. COWN · Entity 89620	GrantClass A Common Stock	160,867	Not disclosed	Not disclosed	Disclosure SEC source: 0001179110-19-002343 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 787,377 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, 2019, 12.5% on May 15, 2020, 25% on May 15, 2021, 25% on May 15, 2022 and 25% on May 15, 2023. Read SEC document
December 03, 2018 Filed Dec 6, 2018 16:44 UTC	COWEN INC. COWN · Entity 89620	Tax withholdingClass A Common Stock	9,019	$15.91	$143,492.29	Disclosure SEC source: 0001179110-18-013530 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 626,510 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
June 01, 2018 Filed Jun 5, 2018 16:37 UTC	COWEN INC. COWN · Entity 89620	Tax withholdingClass A Common Stock	1,754	$15.15	$26,573.10	Disclosure SEC source: 0001179110-18-008078 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 635,529 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, 2018 Filed May 17, 2018 16:35 UTC	COWEN INC. COWN · Entity 89620	Tax withholdingClass A Common Stock	12,676	$15.70	$199,013.20	Disclosure SEC source: 0001179110-18-007031 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 637,283 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 12, 2018 Filed Mar 13, 2018 16:30 UTC	COWEN INC. COWN · Entity 89620	Tax withholdingClass A Common Stock	28,380	$14.40	$408,672.00	Disclosure SEC source: 0001179110-18-004151 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 649,959 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
February 21, 2018 Filed Feb 23, 2018 17:51 UTC	COWEN INC. COWN · Entity 89620	GrantClass A Common Stock	73,670	Not disclosed	Not disclosed	Disclosure SEC source: 0001179110-18-002786 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 678,339 F1 · price: Grant of restricted stock units for no monetary consideration. The restricted stock units will vest with respect to 25% on December 1, 2018, 25% on December 1, 2019, 25% on December 1, 2020 and 25% on December 1, 2021. Read SEC document
June 01, 2017 Filed Jun 5, 2017 16:44 UTC	COWEN INC. COWN · Entity 89620	Tax withholdingClass A Common Stock	2,770	$15.15	$41,965.50	Disclosure SEC source: 0001179110-17-008541 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 604,669 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, 2017 Filed May 17, 2017 16:23 UTC	COWEN INC. COWN · Entity 89620	Tax withholdingClass A Common Stock	34,755	$15.00	$521,325.00	Disclosure SEC source: 0001179110-17-007414 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 607,439 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, 2017 Filed Mar 14, 2017 16:59 UTC	COWEN INC. COWN · Entity 89620	Tax withholdingClass A Common Stock	5,873	$13.40	$78,698.20	Disclosure SEC source: 0001179110-17-004560 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 642,194 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
February 27, 2017 Filed Mar 1, 2017 16:26 UTC	COWEN INC. COWN · Entity 89620	GrantClass A Common Stock	22,083	Not disclosed	Not disclosed	Disclosure SEC source: 0001179110-17-003480 · edgar.xml · nonDerivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 648,067 F3 · price: Grant of restricted stock units for no monetary consideration. The restricted stock units will vest on March 10, 2021. Read SEC document
February 27, 2017 Filed Mar 1, 2017 16:26 UTC	COWEN INC. COWN · Entity 89620	GrantClass A Common Stock	35,805	Not disclosed	Not disclosed	Disclosure SEC source: 0001179110-17-003480 · edgar.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625,984 F1 · price: Grant of restricted stock units for no monetary consideration. The restricted stock units will vest with respect to 15% on June 1, 2017, 10% on June 1, 2018, 25% on June 1, 2019, 25% on June 1, 2020 and 25% on June 1, 2021. F2 · balance_after: The number of securities shown in this report reflects a one-for-four reverse split of the Issuer's Class A Common Stock that occurred on December 2, 2016, including the reporting person's receipt of any cash in lieu of fractional shares. Read SEC document
January 31, 2017 Filed Feb 1, 2017 16:25 UTC	Affinity Gaming NONE · Entity 179284	Disposition to issuerStock Option (Right to Buy) · Derivative	80,000	$5.35 Strike: $12.00	$428,000.00	Disclosure SEC source: 0001104659-17-005809 · a4.xml · derivative · entry 2 SOLOMON JEFFREY M · CIK 0001275922 · Senior VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 80,000 shares Expires 2021-03-16 F2 · security: 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 · price: 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. F3 · derivative.exercise_date: 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. F3 · balance_after: 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. Read SEC document
January 31, 2017 Filed Feb 1, 2017 16:25 UTC	Affinity Gaming NONE · Entity 179284	Disposition to issuerCommon Stock	33,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-17-005809 · a4.xml · nonDerivative · entry 1 SOLOMON JEFFREY M · CIK 0001275922 · Senior VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: 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. F1 · price: 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. 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.