Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Andover National CorpNONE · Entity 133182 | Director · Chief Executive Officer | November 23, 2021 | November 23, 2021 |
| COWEN INC.COWN · Entity 89620 | Director | June 19, 2018 | June 21, 2018 |
| POLARITYTE, INC.PTE · Entity 117561 | Director | October 01, 2022 | October 04, 2022 |
| Tempus Applied Solutions Holdings, Inc.TMPS · Entity 174367 | 10% owner | July 17, 2017 | July 18, 2017 |
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.
Andover National Corp
Report date November 23, 2021 · Filed November 23, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy Self as Trustee for The Peter A. Cohen Revocable Trust | 432,228 |
Reported balance
After 2021-11-23 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-11-23 · Sale · Disposed 20,299 · Balance 432,228 F1: On November 23, 2021, Mr. Cohen sold 20,299 shares of Class A Common Stock through The Peter A. Cohen Revocable Trust in a privately negotiated sale. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 23, 2021, Mr. Cohen sold 20,299 shares of Class A Common Stock through The Peter A. Cohen Revocable Trust in a privately negotiated sale.
COWEN INC.
Report date June 19, 2018 · Filed June 21, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 689,505 |
Ending reported balance
After 2018-06-21 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2018-06-19 · Sale · Disposed 4,090 · Balance 691,505 F1: 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 $15.00 to $15.30. 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. Row 2 · 2018-06-20 · Sale · Disposed 1,000 · Balance 690,505 F2: 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 $15.20 to $15.25. 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. Row 3 · 2018-06-21 · Sale · Disposed 1,000 · Balance 689,505 F3: 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 $15.00 to $15.05. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 $15.00 to $15.30. 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.
F2: 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 $15.20 to $15.25. 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.
F3: 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 $15.00 to $15.05. 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.
POLARITYTE, INC.
Report date October 01, 2022 · Filed October 04, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 58,143 |
Reported balance
After 2022-10-01 transaction · row 1
1 source rowRow 1 · 2022-10-01 · Grant · Acquired 50,900 · Balance 58,143 F1: Pursuant to the issuer's non-executive director compensation plan the reporting person was issued 50,900 Restricted Stock Units vesting in equal installments quarterly in arrears. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the issuer's non-executive director compensation plan the reporting person was issued 50,900 Restricted Stock Units vesting in equal installments quarterly in arrears.
Tempus Applied Solutions Holdings, Inc.
Report date July 17, 2017 · Filed July 18, 2017
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 | IndirectBy Cowen Investments LLC | 393,750 |
Reported balance
After 2017-07-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-07-17 · Sale · Disposed 248,002 · Balance 393,750 F1: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2017-12-13 | IndirectBy Cowen Investments LLC | 1,923,537 |
Reported balance
Holding disclosure · report date 2017-07-17 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 1,923,537 F1: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Light & Wonder, Inc.
Report date June 09, 2021 · Filed June 11, 2021
Section 16 reporting ended · disclosed 2021-06-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 295,553 |
Reported balance
After 2021-06-09 transaction · row 1
1 source rowRow 1 · 2021-06-09 · Exercise / conversion · Acquired 17,104 · Balance 295,553 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-06-09 · Exercise / conversion · Disposed 1,555 · Balance 0 F1: Represents vesting of the remaining restricted stock units granted on June 19, 2017 in connection with the conclusion of Mr. Cohen's service as a director on June 9, 2021. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-09 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-09 · Exercise / conversion · Disposed 1,394 · Balance 0 F2: Represents vesting of the remaining restricted stock units granted on June 13, 2018 in connection with the conclusion of Mr. Cohen's service as a director on June 9, 2021. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-09 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-06-09 · Exercise / conversion · Disposed 5,783 · Balance 0 F3: Represents vesting of the remaining restricted stock units granted on June 12, 2019 in connection with the conclusion of Mr. Cohen's service as a director on June 9, 2021. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-06-09 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-06-09 · Exercise / conversion · Disposed 8,372 · Balance 0 F4: Represents vesting of the restricted stock units granted on June 10, 2020 in connection with the conclusion of Mr. Cohen's service as a director on June 9, 2021. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents vesting of the remaining restricted stock units granted on June 19, 2017 in connection with the conclusion of Mr. Cohen's service as a director on June 9, 2021. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.
F2: Represents vesting of the remaining restricted stock units granted on June 13, 2018 in connection with the conclusion of Mr. Cohen's service as a director on June 9, 2021. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.
F3: Represents vesting of the remaining restricted stock units granted on June 12, 2019 in connection with the conclusion of Mr. Cohen's service as a director on June 9, 2021. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.
F4: Represents vesting of the restricted stock units granted on June 10, 2020 in connection with the conclusion of Mr. Cohen's service as a director on June 9, 2021. The award has fully vested. Each unit converted into a share of common stock on a one-for-one basis.
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 |
|---|---|---|---|---|---|---|
| May 02, 2018 Filed May 3, 2018 17:06 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 6,500 | $15.45 | $100,450.35 |
DisclosureSEC source: 0001179110-18-006167 · edgar.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 787,375 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $15.30 to $15.55. 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 |
| May 01, 2018 Filed May 3, 2018 17:06 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 4,000 | $15.18 | $60,712.80 |
DisclosureSEC source: 0001179110-18-006167 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 793,875 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $15.10 to $15.45. 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 |
| April 30, 2018 Filed Apr 30, 2018 17:29 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 6,000 | $15.58 | $93,475.80 |
DisclosureSEC source: 0001179110-18-005953 · edgar.xml · nonDerivative · entry 3 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 797,875 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · 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 $15.50 to $15.95. 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 |
| April 27, 2018 Filed Apr 30, 2018 17:29 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 6,500 | $16.04 | $104,262.60 |
DisclosureSEC source: 0001179110-18-005953 · edgar.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 803,875 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $15.90 to $16.25. 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 |
| April 26, 2018 Filed Apr 30, 2018 17:29 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 6,500 | $16.03 | $104,212.55 |
DisclosureSEC source: 0001179110-18-005953 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 810,375 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $15.75 to $16.50. 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 |
| April 25, 2018 Filed Apr 25, 2018 16:49 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 4,000 | $15.23 | $60,900.00 |
DisclosureSEC source: 0001179110-18-005870 · edgar.xml · nonDerivative · entry 3 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 816,875 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · 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 $15.15 to $15.30. 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 |
| April 24, 2018 Filed Apr 25, 2018 16:49 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 4,502 | $15.31 | $68,909.86 |
DisclosureSEC source: 0001179110-18-005870 · edgar.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 820,875 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $15.15 to $15.45. 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 |
| April 23, 2018 Filed Apr 25, 2018 16:49 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 8,000 | $15.13 | $121,007.20 |
DisclosureSEC source: 0001179110-18-005870 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 825,377 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $15.00 to $15.25. 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 |
| April 20, 2018 Filed Apr 20, 2018 17:26 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 8,000 | $15.13 | $121,059.20 |
DisclosureSEC source: 0001179110-18-005808 · edgar.xml · nonDerivative · entry 3 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 833,377 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · 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 $15.05 to $15.30. 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 |
| April 19, 2018 Filed Apr 20, 2018 17:26 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 8,000 | $15.09 | $120,712.80 |
DisclosureSEC source: 0001179110-18-005808 · edgar.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 841,377 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $15.00 to $15.20. 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 |
| April 18, 2018 Filed Apr 20, 2018 17:26 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 8,000 | $15.03 | $120,213.60 |
DisclosureSEC source: 0001179110-18-005808 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 849,377 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $14.90 to $15.15. 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 |
| April 17, 2018 Filed Apr 17, 2018 16:54 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 8,000 | $14.96 | $119,670.40 |
DisclosureSEC source: 0001179110-18-005708 · edgar.xml · nonDerivative · entry 3 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 857,377 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · 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 $14.80 to $15.05. 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 |
| April 16, 2018 Filed Apr 17, 2018 16:54 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 4,000 | $14.68 | $58,725.20 |
DisclosureSEC source: 0001179110-18-005708 · edgar.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 865,377 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $14.60 to $14.75. 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 |
| April 13, 2018 Filed Apr 17, 2018 16:54 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 4,500 | $14.68 | $66,051.00 |
DisclosureSEC source: 0001179110-18-005708 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 869,377 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $14.55 to $15.00. 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 |
| April 12, 2018 Filed Apr 12, 2018 16:47 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 4,000 | $14.63 | $58,500.00 |
DisclosureSEC source: 0001179110-18-005605 · edgar.xml · nonDerivative · entry 3 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 873,877 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · 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 $14.50 to $14.75. 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 |
| April 11, 2018 Filed Apr 12, 2018 16:47 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 4,000 | $14.51 | $58,050.00 |
DisclosureSEC source: 0001179110-18-005605 · edgar.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 877,877 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $14.40 to $14.60. 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 |
| April 10, 2018 Filed Apr 12, 2018 16:47 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 4,000 | $14.44 | $57,752.80 |
DisclosureSEC source: 0001179110-18-005605 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 881,877 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $14.15 to $14.60. 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 |
| April 09, 2018 Filed Apr 9, 2018 16:53 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 2,000 | $14.21 | $28,410.00 |
DisclosureSEC source: 0001179110-18-005498 · edgar.xml · nonDerivative · entry 3 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 885,877 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F4 · 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 $14.05 to $14.35. 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 |
| April 06, 2018 Filed Apr 9, 2018 16:53 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 1,000 | $14.18 | $14,175.00 |
DisclosureSEC source: 0001179110-18-005498 · edgar.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 887,877 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $14.00 to $14.30. 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 |
| April 05, 2018 Filed Apr 9, 2018 16:53 UTC | COWEN INC. COWN · Entity 89620 | SaleClass A Common Stock | 1,000 | $14.20 | $14,200.00 |
DisclosureSEC source: 0001179110-18-005498 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 888,877 F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. 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 $14.00 to $14.35. 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 |
| March 29, 2018 Filed Apr 2, 2018 20:33 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | SaleClass A Common Stock | 500 | $41.60 | $20,800.00 |
DisclosureSEC source: 0000750004-18-000045 · wf-form4_152270119084000.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,986 Read SEC document |
| March 29, 2018 Filed Apr 2, 2018 20:33 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | SaleClass A Common Stock | 9,000 | $41.21 | $370,890.00 |
DisclosureSEC source: 0000750004-18-000045 · wf-form4_152270119084000.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,486 F1 · price: The transaction was executed in multiple trades at prices ranging from $40.60 to $41.55. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. Read SEC document |
| March 07, 2018 Filed Mar 7, 2018 23:04 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | SaleClass A Common Stock | 5,000 | $41.54 | $207,700.00 |
DisclosureSEC source: 0000750004-18-000013 · wf-form4_152046386970321.xml · nonDerivative · entry 3 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,486 F3 · price: The transaction was executed in multiple trades at prices ranging from $41.50 to $41.60. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. Read SEC document |
| March 06, 2018 Filed Mar 7, 2018 23:04 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | SaleClass A Common Stock | 5,016 | $40.70 | $204,151.20 |
DisclosureSEC source: 0000750004-18-000013 · wf-form4_152046386970321.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,486 F2 · price: The transaction was executed in multiple trades at prices ranging from $40.60 to $40.80. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. Read SEC document |
| March 05, 2018 Filed Mar 7, 2018 23:04 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | SaleClass A Common Stock | 20,049 | $40.80 | $817,999.20 |
DisclosureSEC source: 0000750004-18-000013 · wf-form4_152046386970321.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,502 F1 · price: The transaction was executed in multiple trades at prices ranging from $40.45 to $40.90. The price reported above reflects the weighted average sale price. Details regarding aggregated sales transactions will be provided upon request by the Commission staff, the issuer or a security holder of the issuer. Read SEC document |
| December 27, 2017 Filed Dec 29, 2017 16:07 UTC | COWEN INC. COWN · Entity 89620 | Disposition to issuerClass A Common Stock | 251,127 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-015937 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 889,877 F1 · kind: Represents shares underlying previously granted RSUs that were cancelled and settled for an aggregate amount of $3,575,622 in cash pursuant to the Transition Agreement, dated as of November 30, 2017, between the Reporting Person and the Company, in connection with the Reporting Person's resignation as the Company's CEO as of December 27, 2017. F1 · price: Represents shares underlying previously granted RSUs that were cancelled and settled for an aggregate amount of $3,575,622 in cash pursuant to the Transition Agreement, dated as of November 30, 2017, between the Reporting Person and the Company, in connection with the Reporting Person's resignation as the Company's CEO as of December 27, 2017. Read SEC document |
| July 17, 2017 Filed Jul 18, 2017 17:05 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | SaleCommon Stock | 248,002 | $0.31 | $78,071.03 |
DisclosureSEC source: 0000921895-17-001930 · form408339004_07182017.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 393,750 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| July 13, 2017 Filed Jul 14, 2017 17:27 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | SaleCommon Stock | 100,000 | $0.31 | $30,780.00 |
DisclosureSEC source: 0000921895-17-001921 · form408339004_07142017.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 641,752 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| July 12, 2017 Filed Jul 14, 2017 17:27 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | SaleCommon Stock | 500,000 | $0.21 | $105,700.00 |
DisclosureSEC source: 0000921895-17-001921 · form408339004_07142017.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 741,752 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| July 11, 2017 Filed Jul 11, 2017 18:46 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | SaleCommon Stock | 122,363 | $0.32 | $38,654.47 |
DisclosureSEC source: 0000921895-17-001901 · form408339004_07112017.xml · nonDerivative · entry 3 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 1,241,752 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| July 10, 2017 Filed Jul 11, 2017 18:46 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | SaleCommon Stock | 133,202 | $0.37 | $49,204.82 |
DisclosureSEC source: 0000921895-17-001901 · form408339004_07112017.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 1,364,115 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| July 07, 2017 Filed Jul 11, 2017 18:46 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | SaleCommon Stock | 194,349 | $0.39 | $76,456.90 |
DisclosureSEC source: 0000921895-17-001901 · form408339004_07112017.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 1,497,317 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| June 29, 2017 Filed Jun 30, 2017 16:05 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | OtherSeries A-3 Warrant · Derivative | 65,625 | $0.00 Strike: $0.08 | $0.00 |
DisclosureSEC source: 0000921895-17-001868 · form408339004_06302017.xml · derivative · entry 4 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 0 Underlying: Common Stock or Series A Convertible Preferred Stock · 65,625 shares Expires 2020-07-31 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| June 29, 2017 Filed Jun 30, 2017 16:05 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | OtherSeries A-2 Warrant · Derivative | 328,125 | $0.00 Strike: $0.08 | $0.00 |
DisclosureSEC source: 0000921895-17-001868 · form408339004_06302017.xml · derivative · entry 3 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 0 Underlying: Common Stock or Series A Convertible Preferred Stock · 328,125 shares Expires 2020-07-31 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| June 29, 2017 Filed Jun 30, 2017 16:05 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | OtherCommon Stock | 65,625 | $0.08 | $5,250.00 |
DisclosureSEC source: 0000921895-17-001868 · form408339004_06302017.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 1,691,666 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| June 29, 2017 Filed Jun 30, 2017 16:05 UTC | Tempus Applied Solutions Holdings, Inc. TMPS · Entity 174367 | OtherCommon Stock | 328,125 | $0.08 | $26,250.00 |
DisclosureSEC source: 0000921895-17-001868 · form408339004_06302017.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · 10% owner Cowen Investments LLC · CIK 0001657385 · 10% owner RCG LV Pearl LLC · CIK 0001613404 · 10% owner COWEN INC. · CIK 0001466538 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Cowen Investments LLC Disclosed balance after: 1,626,041 F1 · security: This Form 4 is filed jointly by Cowen Investments LLC ("Cowen Investments"), RCG LV Pearl LLC ("RCG"), Cowen Inc. ("Cowen Inc.") and Peter A. Cohen (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 the Issuer's 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 · ownership.direct: Represents securities owned directly by Cowen Investments. 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 the Chairman and Chief Executive Officer of Cowen Inc., Mr. Cohen may be deemed to beneficially own the securities owned directly by Cowen Investments. Read SEC document |
| June 19, 2017 Filed Jun 21, 2017 20:33 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | GrantRestricted Stock Units · Derivative | 6,219 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000164 · wf-form4_149807720788314.xml · derivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,219 Underlying: Common Stock · 6,219 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units are scheduled to vest beginning on June 19, 2018 as to 1,554 shares. The balance of the award is scheduled to vest in three equal installments as to 1,555 shares on each of June 19, 2019, 2020 and 2021. Each unit converts into a share of common stock on a one-for-one basis. F1 · derivative.exercise_date: The restricted stock units are scheduled to vest beginning on June 19, 2018 as to 1,554 shares. The balance of the award is scheduled to vest in three equal installments as to 1,555 shares on each of June 19, 2019, 2020 and 2021. Each unit converts into a share of common stock on a one-for-one basis. F1 · derivative.expiration_date: The restricted stock units are scheduled to vest beginning on June 19, 2018 as to 1,554 shares. The balance of the award is scheduled to vest in three equal installments as to 1,555 shares on each of June 19, 2019, 2020 and 2021. Each unit converts into a share of common stock on a one-for-one basis. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 22:58 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | Exercise / conversionRestricted Stock Units · Derivative | 4,338 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000143 · wf-form4_149791308748345.xml · derivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,015 Underlying: Common Stock · 4,338 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on June 15, 2016. The balance of the award is scheduled to vest on June 15, 2018 (4,338 shares), 2019 (4,338 shares) and 2020 (4,339 shares). Each unit converts into a share of common stock on a one-for-one basis. F1 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on June 15, 2016. The balance of the award is scheduled to vest on June 15, 2018 (4,338 shares), 2019 (4,338 shares) and 2020 (4,339 shares). Each unit converts into a share of common stock on a one-for-one basis. F1 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on June 15, 2016. The balance of the award is scheduled to vest on June 15, 2018 (4,338 shares), 2019 (4,338 shares) and 2020 (4,339 shares). Each unit converts into a share of common stock on a one-for-one basis. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 22:58 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | Exercise / conversionClass A Common Stock | 4,338 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000143 · wf-form4_149791308748345.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,551 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 11, 2017 Filed Jun 13, 2017 20:37 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | Exercise / conversionRestricted Stock Units · Derivative | 3,495 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000125 · wf-form4_149738622535799.xml · derivative · entry 4 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,495 Underlying: Common Stock · 3,495 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on June 11, 2014. The balance of the award is scheduled to vest on June 11, 2018. Each unit converts into a share of common stock on a one-for-one basis. F2 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on June 11, 2014. The balance of the award is scheduled to vest on June 11, 2018. Each unit converts into a share of common stock on a one-for-one basis. F2 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on June 11, 2014. The balance of the award is scheduled to vest on June 11, 2018. Each unit converts into a share of common stock on a one-for-one basis. Read SEC document |
| June 11, 2017 Filed Jun 13, 2017 20:37 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | Exercise / conversionClass A Common Stock | 3,495 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000125 · wf-form4_149738622535799.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,213 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 10, 2017 Filed Jun 13, 2017 20:37 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | Exercise / conversionRestricted Stock Units · Derivative | 2,484 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000125 · wf-form4_149738622535799.xml · derivative · entry 3 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,969 Underlying: Common Stock · 2,484 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on June 10, 2015. The balance of the award is scheduled to vest on June 10, 2018 (2,484 shares) and 2019 (2,485 shares). Each unit converts into a share of common stock on a one-for-one basis. F1 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on June 10, 2015. The balance of the award is scheduled to vest on June 10, 2018 (2,484 shares) and 2019 (2,485 shares). Each unit converts into a share of common stock on a one-for-one basis. F1 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on June 10, 2015. The balance of the award is scheduled to vest on June 10, 2018 (2,484 shares) and 2019 (2,485 shares). Each unit converts into a share of common stock on a one-for-one basis. Read SEC document |
| June 10, 2017 Filed Jun 13, 2017 20:37 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | Exercise / conversionClass A Common Stock | 2,484 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000125 · wf-form4_149738622535799.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,718 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 04, 2017 Filed Jun 6, 2017 21:55 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | Exercise / conversionRestricted Stock Units · Derivative | 1,725 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000109 · wf-form4_149678608672031.xml · derivative · entry 2 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,725 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents vesting of one-fourth of restricted stock units granted on June 4, 2013. The award has fully vested. Each unit converts into a share of common stock on a one-for-one basis. F1 · derivative.exercise_date: Represents vesting of one-fourth of restricted stock units granted on June 4, 2013. The award has fully vested. Each unit converts into a share of common stock on a one-for-one basis. F1 · derivative.expiration_date: Represents vesting of one-fourth of restricted stock units granted on June 4, 2013. The award has fully vested. Each unit converts into a share of common stock on a one-for-one basis. Read SEC document |
| June 04, 2017 Filed Jun 6, 2017 21:55 UTC | Light & Wonder, Inc. SGMS · Entity 9758 | Exercise / conversionClass A Common Stock | 1,725 | $0.00 | $0.00 |
DisclosureSEC source: 0000750004-17-000109 · wf-form4_149678608672031.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 278,234 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 16:43 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 2,998 | $15.15 | $45,419.70 |
DisclosureSEC source: 0001179110-17-008539 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,141,004 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 16:20 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 19,030 | $15.00 | $285,450.00 |
DisclosureSEC source: 0001179110-17-007405 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,144,002 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 16:57 UTC | COWEN INC. COWN · Entity 89620 | Tax withholdingClass A Common Stock | 27,539 | $13.40 | $369,022.60 |
DisclosureSEC source: 0001179110-17-004556 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,163,032 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 16:25 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 37,855 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-003479 · edgar.xml · nonDerivative · entry 2 COHEN PETER A · CIK 0001042589 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,190,571 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 16:25 UTC | COWEN INC. COWN · Entity 89620 | GrantClass A Common Stock | 35,805 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-003479 · edgar.xml · nonDerivative · entry 1 COHEN PETER A · CIK 0001042589 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,152,716 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.