Pooler Joseph W. Jr.

SEC source: 0001104659-26-092781 · tm2622615-1_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,278

F2 · price: These shares were sold in multiple transactions, each at a price of $15.00.

SEC source: 0001104659-26-092781 · tm2622615-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,778

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.50 to $12.50, inclusive. The reporting person undertakes to provide to Cohen & Company Inc., any security holder of Cohen & Company Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

SEC source: 0001104659-26-033174 · tm269582-1_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,073

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.01 to $15.6735, inclusive.

SEC source: 0001104659-26-033174 · tm269582-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,778

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.1383 to $17.1839, inclusive. The reporting person undertakes to provide to Cohen & Company Inc., any security holder of Cohen & Company Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

SEC source: 0001104659-26-024700 · tm267923-3_4seq1.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock, par value $0.01 per share · 16,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Mr. Pooler was awarded 160,000 restricted membership units, designated as LTIP Units ("LTIP Units"), in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's 2020 Long-Term Incentive Plan, as amended (the "Plan"). The LTIP Units are intended to qualify as profits interests for U.S. federal income tax purposes. The LTIP Units are scheduled to vest as follows: 20% of the LTIP Units will vest on each of the first, second, third, fourth and fifth anniversaries of the date the LTIP Units were granted, in each case, subject to Mr. Pooler's continued service on the vesting date.

F2 · derivative.exercise_price: Following the expiration of the restrictions on the applicable LTIP Units, Mr. Pooler may, subject to the terms and conditions of the Plan and the Operating LLC's limited liability company agreement, convert the LTIP Units into units of membership of the Operating LLC ("Units") on a one-for-one basis. Upon Mr. Pooler's conversion (if any) of LTIP Units into Units, Mr. Pooler may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F1 · derivative.exercise_date: Mr. Pooler was awarded 160,000 restricted membership units, designated as LTIP Units ("LTIP Units"), in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's 2020 Long-Term Incentive Plan, as amended (the "Plan"). The LTIP Units are intended to qualify as profits interests for U.S. federal income tax purposes. The LTIP Units are scheduled to vest as follows: 20% of the LTIP Units will vest on each of the first, second, third, fourth and fifth anniversaries of the date the LTIP Units were granted, in each case, subject to Mr. Pooler's continued service on the vesting date.

F2 · derivative.exercise_date: Following the expiration of the restrictions on the applicable LTIP Units, Mr. Pooler may, subject to the terms and conditions of the Plan and the Operating LLC's limited liability company agreement, convert the LTIP Units into units of membership of the Operating LLC ("Units") on a one-for-one basis. Upon Mr. Pooler's conversion (if any) of LTIP Units into Units, Mr. Pooler may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F1 · derivative.expiration_date: Mr. Pooler was awarded 160,000 restricted membership units, designated as LTIP Units ("LTIP Units"), in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's 2020 Long-Term Incentive Plan, as amended (the "Plan"). The LTIP Units are intended to qualify as profits interests for U.S. federal income tax purposes. The LTIP Units are scheduled to vest as follows: 20% of the LTIP Units will vest on each of the first, second, third, fourth and fifth anniversaries of the date the LTIP Units were granted, in each case, subject to Mr. Pooler's continued service on the vesting date.

F2 · derivative.expiration_date: Following the expiration of the restrictions on the applicable LTIP Units, Mr. Pooler may, subject to the terms and conditions of the Plan and the Operating LLC's limited liability company agreement, convert the LTIP Units into units of membership of the Operating LLC ("Units") on a one-for-one basis. Upon Mr. Pooler's conversion (if any) of LTIP Units into Units, Mr. Pooler may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

F1 · derivative.underlying_shares: Mr. Pooler was awarded 160,000 restricted membership units, designated as LTIP Units ("LTIP Units"), in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's 2020 Long-Term Incentive Plan, as amended (the "Plan"). The LTIP Units are intended to qualify as profits interests for U.S. federal income tax purposes. The LTIP Units are scheduled to vest as follows: 20% of the LTIP Units will vest on each of the first, second, third, fourth and fifth anniversaries of the date the LTIP Units were granted, in each case, subject to Mr. Pooler's continued service on the vesting date.

F2 · derivative.underlying_shares: Following the expiration of the restrictions on the applicable LTIP Units, Mr. Pooler may, subject to the terms and conditions of the Plan and the Operating LLC's limited liability company agreement, convert the LTIP Units into units of membership of the Operating LLC ("Units") on a one-for-one basis. Upon Mr. Pooler's conversion (if any) of LTIP Units into Units, Mr. Pooler may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units.

SEC source: 0001104659-26-010708 · tm265017-3_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,891

F1 · shares: Represents shares of common stock of Cohen & Company Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2026, of 15,500 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's 2020 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-25-122813 · tm2533886-3_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,942

F1 · shares: Mr. Pooler was awarded 15,500 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's 2020 Long-Term Incentive Plan. The restrictions expire with respect to one-third of the Restricted Shares on each of January 31, 2027, January 31, 2028 and January 31, 2029.

SEC source: 0001213900-25-118863 · ownership.xml · derivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Class A ordinary shares · 150,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents the distribution for no consideration by Columbus Circle 1 Sponsor Corp LLC (the "Sponsor") to the Reporting Person of 150,000 Class B ordinary shares, in connection with a distribution of Columbus Circle Capital Corp I's (the "Issuer") securities held by the Sponsor to members of Columbus Circle 1E Sponsor Corporation LLC, a member of the Sponsor. The Class B ordinary shares have no expiration date. The Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination and are subject to certain time and price vesting conditions pursuant to the Sponsor Letter Agreement, effective as of December 3, 2025, by and between the Sponsor and ProCap Financial, Inc.

F1 · kind: Represents the distribution for no consideration by Columbus Circle 1 Sponsor Corp LLC (the "Sponsor") to the Reporting Person of 150,000 Class B ordinary shares, in connection with a distribution of Columbus Circle Capital Corp I's (the "Issuer") securities held by the Sponsor to members of Columbus Circle 1E Sponsor Corporation LLC, a member of the Sponsor. The Class B ordinary shares have no expiration date. The Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination and are subject to certain time and price vesting conditions pursuant to the Sponsor Letter Agreement, effective as of December 3, 2025, by and between the Sponsor and ProCap Financial, Inc.

F1 · derivative.exercise_date: Represents the distribution for no consideration by Columbus Circle 1 Sponsor Corp LLC (the "Sponsor") to the Reporting Person of 150,000 Class B ordinary shares, in connection with a distribution of Columbus Circle Capital Corp I's (the "Issuer") securities held by the Sponsor to members of Columbus Circle 1E Sponsor Corporation LLC, a member of the Sponsor. The Class B ordinary shares have no expiration date. The Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination and are subject to certain time and price vesting conditions pursuant to the Sponsor Letter Agreement, effective as of December 3, 2025, by and between the Sponsor and ProCap Financial, Inc.

F1 · derivative.expiration_date: Represents the distribution for no consideration by Columbus Circle 1 Sponsor Corp LLC (the "Sponsor") to the Reporting Person of 150,000 Class B ordinary shares, in connection with a distribution of Columbus Circle Capital Corp I's (the "Issuer") securities held by the Sponsor to members of Columbus Circle 1E Sponsor Corporation LLC, a member of the Sponsor. The Class B ordinary shares have no expiration date. The Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination and are subject to certain time and price vesting conditions pursuant to the Sponsor Letter Agreement, effective as of December 3, 2025, by and between the Sponsor and ProCap Financial, Inc.

F1 · ownership.direct: Represents the distribution for no consideration by Columbus Circle 1 Sponsor Corp LLC (the "Sponsor") to the Reporting Person of 150,000 Class B ordinary shares, in connection with a distribution of Columbus Circle Capital Corp I's (the "Issuer") securities held by the Sponsor to members of Columbus Circle 1E Sponsor Corporation LLC, a member of the Sponsor. The Class B ordinary shares have no expiration date. The Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Issuer's initial business combination and are subject to certain time and price vesting conditions pursuant to the Sponsor Letter Agreement, effective as of December 3, 2025, by and between the Sponsor and ProCap Financial, Inc.

SEC source: 0001104659-25-009675 · tm255519-3_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,442

F1 · shares: Represents shares of common stock of Cohen & Company Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2025, of 15,500 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's 2020 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-24-130830 · tm2431772-8_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,285

F1 · shares: Mr. Pooler was awarded 15,500 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's 2020 Long-Term Incentive Plan. The restrictions expire with respect to one-third of the Restricted Shares on each of January 31, 2026, January 31, 2027 and January 31, 2028.

SEC source: 0001104659-24-070038 · tm2416842-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,785

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.42 to $11.75, inclusive. The reporting person undertakes to provide to Cohen & Company Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-24-010049 · tm244928-4_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,785

F1 · shares: Represents shares of common stock of Cohen & Company Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2024, of 10,333 shares of restricted stock granted to the reporting person by the Company pursuant the Company's 2020 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-23-128242 · tm2333248-8_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,137

F1 · shares: Mr. Pooler was awarded 15,500 shares of restricted common stock of Cohen & Company Inc. (the "Company") under the Company's 2020 Long-Term Incentive Plan, as amended. The restrictions expire with respect to one-third of the shares on each of January 31, 2025, January 31, 2026 and January 31, 2027.

SEC source: 0001104659-23-010479 · tm235302-3_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,637

F1 · shares: Represents shares of common stock of Cohen & Company Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2023, of 10,166 shares of restricted stock granted to the reporting person by the Company pursuant the Company's 2020 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-22-128510 · tm2232831-5_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,016

F1 · shares: Mr. Pooler was awarded 15,500 shares of restricted common stock of Cohen & Company Inc. (the "Company") under the Company's 2020 Long-Term Incentive Plan, as amended. The restrictions expire with respect to one-third of the shares on each of January 31, 2024, January 31, 2025 and January 31, 2026.

SEC source: 0001104659-22-010991 · tm225288-2_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,516

F1 · shares: Represents shares of common stock of Cohen & Company Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2022, of 13,660 shares of restricted stock granted to the reporting person by the Company, 8,660 of which were granted pursuant to the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended, and 5,000 of which were granted pursuant the Company's 2020 Long-Term Incentive Plan, as amended.

SEC source: 0001104659-21-151792 · tm2135843-4_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,995

F1 · shares: Mr. Pooler was awarded 15,500 restricted shares of common stock (the "Restricted Shares") of Cohen & Company Inc. under the Company's 2020 Long-Term Incentive Plan, as amended. The restrictions expire with respect to one-third of the Restricted Shares on each of January 31, 2023, January 31, 2024 and January 31, 2025.

SEC source: 0001104659-21-071749 · tm2117460-1_4seq1.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,495

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.52 to $24.72, inclusive.

SEC source: 0001104659-21-071749 · tm2117460-1_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,743

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.52 to $24.51, inclusive.

SEC source: 0001104659-21-071749 · tm2117460-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,495

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.56 to $26.35, inclusive. The reporting person undertakes to provide to Cohen & Company Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (3) and (4) to this Form 4.

SEC source: 0001104659-21-012272 · tm215252-5_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,495

F1 · shares: Mr. Pooler was awarded 10,000 restricted shares of common stock (the "Restricted Shares") of Cohen & Co Inc. (the "Company") under the Company's 2020 Long-Term Incentive Plan. The restrictions expire with respect to one-half of the Restricted Shares on each of January 31, 2022 and January 31, 2023.

SEC source: 0001104659-21-011557 · tm215252-2_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,495

F1 · shares: Represents shares of common stock of Cohen & Co Inc. (the "Company") withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on January 31, 2021, of 7,394 shares of restricted stock granted to the reporting person by the Company pursuant to the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended.

SEC source: 0001213900-20-044492 · ownership.xml · derivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dioptra Advisors III, LLC

Disclosed balance after: 30,000

Underlying: Class A common stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F2 · kind: Allocated to the reporting person as a member of Dioptra Advisors III, LLC.

F3 · shares: The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

F2 · price: Allocated to the reporting person as a member of Dioptra Advisors III, LLC.

F1 · derivative.exercise_date: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F1 · derivative.expiration_date: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

SEC source: 0001213900-20-031305 · ownership.xml · derivative · entry 2

Pooler Joseph W. Jr. · CIK 0001478247 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 30,000 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: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, the outstanding shares of Class B Common Stock beneficially owned by the reporting person converted automatically into shares of Class A Common Stock on a one-for-one basis.

F1 · price: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, the outstanding shares of Class B Common Stock beneficially owned by the reporting person converted automatically into shares of Class A Common Stock on a one-for-one basis.

F1 · derivative.exercise_date: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, the outstanding shares of Class B Common Stock beneficially owned by the reporting person converted automatically into shares of Class A Common Stock on a one-for-one basis.

F1 · derivative.expiration_date: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, the outstanding shares of Class B Common Stock beneficially owned by the reporting person converted automatically into shares of Class A Common Stock on a one-for-one basis.

SEC source: 0001213900-20-031305 · ownership.xml · nonDerivative · entry 1

Pooler Joseph W. Jr. · CIK 0001478247 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,000

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 · kind: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, the outstanding shares of Class B Common Stock beneficially owned by the reporting person converted automatically into shares of Class A Common Stock on a one-for-one basis.

F2 · ownership.nature: These shares are held directly by Dioptra Advisors, LLC. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

SEC source: 0001213900-20-025878 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Dioptra Advisors II, LLC

Disclosed balance after: 30,000

Underlying: Class A common stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F2 · kind: Allocated to the reporting person as a member of Dioptra Advisors II, LLC.

F3 · shares: The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

F2 · price: Allocated to the reporting person as a member of Dioptra Advisors II, LLC.

F1 · derivative.exercise_date: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F1 · derivative.expiration_date: 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 on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,449

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,128

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,076

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,076

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,415

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,451

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,666

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,004

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,459

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