Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Art Technology Acquisition Corp.ARTCU · Entity 9253 | Director · Chief Executive Officer · 10% owner | January 05, 2026 | January 06, 2026 |
| Bancorp, Inc.TBBK · Entity 4314 | Director | June 07, 2021 | June 08, 2021 |
| Cohen & Co Inc.COHN · Entity 7376 | Director · Executive Chairman · 10% owner | July 17, 2026 | July 17, 2026 |
| Cohen Circle Acquisition Corp. IICCIIU · Entity 5753 | Director | June 30, 2025 | June 30, 2025 |
| FINTECH ACQUISITION CORP VIFTVI · Entity 137246 | Chief Executive Officer | June 28, 2021 | July 19, 2021 |
| FTAC Hera Acquisition Corp.HERA · Entity 127894 | Director · President and CEO | March 09, 2021 | March 10, 2021 |
| FTAC Parnassus Acquisition Corp.FTPA · Entity 141210 | Director · 10% owner | March 16, 2021 | March 17, 2021 |
| FTAC ZEUS ACQUISITION CORP.ZING · Entity 133082 | Director · 10% owner | November 23, 2021 | November 24, 2021 |
| Fintech Acquisition Corp VFTCV · Entity 128691 | Chief Executive Officer | April 04, 2021 | October 15, 2021 |
| Fintech Acquisition Corp. IIIFTAC · Entity 145836 | 10% owner | October 16, 2020 | October 20, 2020 |
| INSU ACQUISITION CORP IIIIIII · Entity 144388 | Director | December 22, 2020 | December 24, 2020 |
| International Money Express, Inc.IMXI · Entity 5575 | Member 13d group owns over 10% | July 26, 2018 | July 30, 2018 |
| Paya Holdings Inc.PAYA · Entity 116479 | Member of 10% owner group | October 16, 2020 | October 16, 2020 |
| Perella Weinberg PartnersPWP · Entity 988 | Director | March 14, 2023 | March 16, 2023 |
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.
Art Technology Acquisition Corp.
Report date January 05, 2026 · Filed January 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Ordinary SharesSEC Table I · non-derivative | IndirectBy Art Technology Sponsor, LLC | 530,000 |
Reported balance
Holding disclosure · report date 2026-01-05 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 530,000 F1: These shares underlie 530,000 units of the issuer that Art Technology Sponsor, LLC has irrevocably committed to purchase. F2: The reporting person disclaims beneficial ownership of these securities, except to the extent of her 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. F3: These shares are held directly by the issuer's sponsors, Art Technology Sponsor, LLC and Art Technology Advisors, LLC, which are managed by the reporting person. |
| Class B Ordinary SharesSEC Table II · derivative / convertible security | IndirectBy Art Technology Sponsor, LLC | Not disclosed |
Reported balance
Holding disclosure · report date 2026-01-05 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F4: The Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2: The reporting person disclaims beneficial ownership of these securities, except to the extent of her 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. F8: Includes up to 1,100,000 shares that are subject to forfeiture in the event the underwriters of the issuer's initial public offering do not exercise in full their over-allotment option F3: These shares are held directly by the issuer's sponsors, Art Technology Sponsor, LLC and Art Technology Advisors, LLC, which are managed by the reporting person. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy Art Technology Sponsor, LLC | Not disclosed |
Reported balance
Holding disclosure · report date 2026-01-05 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F5: The warrants will become exercisable at the later of 30 days after the consummation of the issuer's initial business combination or 12 months from the completion of the issuer's initial public offering. F6: The warrants will expire five years after the consummation of the issuer's initial business combination or earlier upon redemption of all of the issuer's outstanding Class A ordinary shares or the issuer's liquidation. F2: The reporting person disclaims beneficial ownership of these securities, except to the extent of her 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. F7: These warrants underlie 530,000 units of the issuer that Art Technology Sponsor, LLC has irrevocably committed to purchase. F3: These shares are held directly by the issuer's sponsors, Art Technology Sponsor, LLC and Art Technology Advisors, LLC, which are managed by the reporting person. |
| Class B Ordinary SharesSEC Table II · derivative / convertible security | IndirectBy Art Technology Advisors, LLC | Not disclosed |
Reported balance
Holding disclosure · report date 2026-01-05 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F4: The Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2: The reporting person disclaims beneficial ownership of these securities, except to the extent of her 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. F8: Includes up to 1,100,000 shares that are subject to forfeiture in the event the underwriters of the issuer's initial public offering do not exercise in full their over-allotment option F3: These shares are held directly by the issuer's sponsors, Art Technology Sponsor, LLC and Art Technology Advisors, LLC, which are managed by the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares underlie 530,000 units of the issuer that Art Technology Sponsor, LLC has irrevocably committed to purchase.
F2: The reporting person disclaims beneficial ownership of these securities, except to the extent of her 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.
F3: These shares are held directly by the issuer's sponsors, Art Technology Sponsor, LLC and Art Technology Advisors, LLC, which are managed by the reporting person.
F4: The Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the issuer's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.
F5: The warrants will become exercisable at the later of 30 days after the consummation of the issuer's initial business combination or 12 months from the completion of the issuer's initial public offering.
F6: The warrants will expire five years after the consummation of the issuer's initial business combination or earlier upon redemption of all of the issuer's outstanding Class A ordinary shares or the issuer's liquidation.
F7: These warrants underlie 530,000 units of the issuer that Art Technology Sponsor, LLC has irrevocably committed to purchase.
F8: Includes up to 1,100,000 shares that are subject to forfeiture in the event the underwriters of the issuer's initial public offering do not exercise in full their over-allotment option
Bancorp, Inc.
Report date June 07, 2021 · Filed June 08, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 172,200 |
Reported balance
After 2021-06-07 transaction · row 1
1 source rowRow 1 · 2021-06-07 · Sale · Disposed 35,000 · Balance 172,200 F1: The Reporting Person sold 35,000 shares of common stock at prices ranging from $25.875 to $26.30 for an average price of $26.083. |
| Common StockSEC Table I · non-derivative | IndirectBy 401k plan account | 235 |
Reported balance
Holding disclosure · report date 2021-06-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 235 |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 30,000 |
Reported balance
Holding disclosure · report date 2021-06-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 30,000 F2: The Reporting Person disclaims beneficial ownership to these securities except to the extent of his proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person sold 35,000 shares of common stock at prices ranging from $25.875 to $26.30 for an average price of $26.083.
F2: The Reporting Person disclaims beneficial ownership to these securities except to the extent of his proportionate pecuniary interest therein.
Cohen & Co Inc.
Report date July 17, 2026 · Filed July 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 107,157 |
Reported balance
After 2026-07-17 transaction · row 1
1 source rowRow 1 · 2026-07-17 · Gift · Disposed 17,600 · Balance 107,157 |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy EBC 2013 Family Trust | 80,000 |
Reported balance
Holding disclosure · report date 2026-07-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 80,000 |
Cohen Circle Acquisition Corp. II
Report date June 30, 2025 · Filed June 30, 2025
This filing explicitly reported no securities owned.
FINTECH ACQUISITION CORP VI
Report date June 28, 2021 · Filed July 19, 2021 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Cohen Sponsor Interests VI, LLC | 1,514,944 |
Reported balance
After 2021-06-28 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2021-06-28 · Other · Acquired 1,514,944 · Balance 1,514,944 F1: 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: Allocated to Cohen Sponsor Interests VI, LLC as a member of FinTech Investor Holdings VI, LLC and FinTech Masala Advisors VI, LLC. F3: 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. F4: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings VI, LLC and FinTech Masala Advisors VI, LLC, each of which is managed by Cohen Sponsor Interests VI, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests VI, LLC. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy FinTech Masala Advisors VI, LLC | 100,000 |
Reported balance
After 2021-06-28 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2021-06-28 · Other · Acquired 100,000 · Balance 100,000 F1: 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. F5: Allocated to the reporting person as a member of FinTech Masala Advisors VI, LLC. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy FinTech Masala Advisors VI, LLC | 100,000 |
Reported balance
After 2021-06-28 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2021-06-28 · Other · Acquired 100,000 · Balance 100,000 F1: 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. F7: Allocated to DGC Family FinTech Trust as a member of FinTech Masala Advisors VI, LLC. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy DGC Family FinTech Trust | 1,514,944 |
Reported balance
After 2021-06-28 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2021-06-28 · Other · Acquired 1,514,944 · Balance 1,514,944 F1: 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: Allocated to Cohen Sponsor Interests VI, LLC as a member of FinTech Investor Holdings VI, LLC and FinTech Masala Advisors VI, LLC. F4: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings VI, LLC and FinTech Masala Advisors VI, LLC, each of which is managed by Cohen Sponsor Interests VI, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests VI, LLC. F6: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests VI, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Allocated to Cohen Sponsor Interests VI, LLC as a member of FinTech Investor Holdings VI, LLC and FinTech Masala Advisors VI, LLC.
F3: 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.
F4: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings VI, LLC and FinTech Masala Advisors VI, LLC, each of which is managed by Cohen Sponsor Interests VI, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests VI, LLC.
F5: Allocated to the reporting person as a member of FinTech Masala Advisors VI, LLC.
F6: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests VI, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust.
F7: Allocated to DGC Family FinTech Trust as a member of FinTech Masala Advisors VI, LLC.
FTAC Hera Acquisition Corp.
Report date March 09, 2021 · Filed March 10, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B ordinary sharesSEC Table II · derivative / convertible security | IndirectBy FTAC Hera Advisors, LLC | 17,826,940 |
Reported balance
After 2021-03-09 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-03-09 · Other · Disposed 1,713,060 · Balance 17,826,940 F1: The Class B ordinary shares will automatically convert into Class A ordinary shares 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: Forfeiture and cancellation of Class B ordinary shares for no consideration because the underwriters' over-allotment option was not exercised in full. F3: 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. F4: These shares are held directly by the issuer's sponsor, FTAC Hera Advisors, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: The Class B ordinary shares will automatically convert into Class A ordinary shares 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: Forfeiture and cancellation of Class B ordinary shares for no consideration because the underwriters' over-allotment option was not exercised in full.
F3: 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.
F4: These shares are held directly by the issuer's sponsor, FTAC Hera Advisors, LLC.
FTAC Parnassus Acquisition Corp.
Report date March 16, 2021 · Filed March 17, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B ordinary sharesSEC Table II · derivative / convertible security | IndirectBy FTAC Parnassus Advisors, LLC | 7,083,333 |
Reported balance
After 2021-03-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-03-16 · Other · Disposed 100,000 · Balance 7,083,333 F1: The Class B ordinary shares will automatically convert into Class A ordinary shares 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: Forfeiture and cancellation of Class B ordinary shares for no consideration because the underwriters' over-allotment option was not exercised in full. F3: 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. F4: These shares are held directly by the issuer's sponsor, FTAC Parnassus Advisors, LLC, which is co-managed by the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: The Class B ordinary shares will automatically convert into Class A ordinary shares 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: Forfeiture and cancellation of Class B ordinary shares for no consideration because the underwriters' over-allotment option was not exercised in full.
F3: 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.
F4: These shares are held directly by the issuer's sponsor, FTAC Parnassus Advisors, LLC, which is co-managed by the reporting person.
FTAC ZEUS ACQUISITION CORP.
Report date November 23, 2021 · Filed November 24, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | IndirectBy FTAC Zeus Sponsor, LLC | 1,778,750 |
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 · Other · Acquired 78,750 · Balance 1,778,750 F1: Acquisition by FTAC Zeus Sponsor, LLC in connection with the full exercise of the underwriter's over-allotment option. F2: These shares underlie the same number of units of the issuer held by FTAC Zeus Sponsor, LLC. F3: These shares are held directly by the issuer's sponsors, FTAC Zeus Sponsor, LLC and FTAC Zeus Advisors, LLC, which are co-managed by the reporting person. As a result, all of the securities may be deemed to be beneficially held by the reporting person. 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. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy FTAC Zeus Sponsor, LLC | 889,375 |
Reported balance
After 2021-11-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-11-23 · Other · Acquired 39,375 · Balance 889,375 F1: Acquisition by FTAC Zeus Sponsor, LLC in connection with the full exercise of the underwriter's over-allotment option. F4: The warrants will become exercisable 30 days after the consummation of the issuer's initial business combination. F5: The warrants will expire five years after the consummation of the issuer's initial business combination or earlier upon redemption of all of the issuer's outstanding Class A common shares or the issuer's liquidation. F3: These shares are held directly by the issuer's sponsors, FTAC Zeus Sponsor, LLC and FTAC Zeus Advisors, LLC, which are co-managed by the reporting person. As a result, all of the securities may be deemed to be beneficially held by the reporting person. 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy FTAC Zeus Sponsor, LLC | 7,215,000 |
Reported balance
Holding disclosure · report date 2021-11-23 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 7,215,000 F6: 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. F7: Represents shares of Class B common stock held by the issuer's sponsors, FTAC Zeus Sponsor, LLC and FTAC Zeus Advisors, LLC, after full exercise of the underwriter's over-allotment option. F3: These shares are held directly by the issuer's sponsors, FTAC Zeus Sponsor, LLC and FTAC Zeus Advisors, LLC, which are co-managed by the reporting person. As a result, all of the securities may be deemed to be beneficially held by the reporting person. 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy FTAC Zeus Advisors, LLC | 6,794,583 |
Reported balance
Holding disclosure · report date 2021-11-23 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 6,794,583 F6: 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. F7: Represents shares of Class B common stock held by the issuer's sponsors, FTAC Zeus Sponsor, LLC and FTAC Zeus Advisors, LLC, after full exercise of the underwriter's over-allotment option. F3: These shares are held directly by the issuer's sponsors, FTAC Zeus Sponsor, LLC and FTAC Zeus Advisors, LLC, which are co-managed by the reporting person. As a result, all of the securities may be deemed to be beneficially held by the reporting person. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Acquisition by FTAC Zeus Sponsor, LLC in connection with the full exercise of the underwriter's over-allotment option.
F2: These shares underlie the same number of units of the issuer held by FTAC Zeus Sponsor, LLC.
F3: These shares are held directly by the issuer's sponsors, FTAC Zeus Sponsor, LLC and FTAC Zeus Advisors, LLC, which are co-managed by the reporting person. As a result, all of the securities may be deemed to be beneficially held by the reporting person. 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.
F4: The warrants will become exercisable 30 days after the consummation of the issuer's initial business combination.
F5: The warrants will expire five years after the consummation of the issuer's initial business combination or earlier upon redemption of all of the issuer's outstanding Class A common shares or the issuer's liquidation.
F6: 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.
F7: Represents shares of Class B common stock held by the issuer's sponsors, FTAC Zeus Sponsor, LLC and FTAC Zeus Advisors, LLC, after full exercise of the underwriter's over-allotment option.
Fintech Acquisition Corp V
Report date April 04, 2021 · Filed October 15, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Cohen Sponsor Interests IV, LLC | 1,363,222 |
Reported balance
After 2021-04-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-04-04 · Other · Disposed 33,334 · Balance 1,363,222 F1: 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: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F3: 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. F4: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings V, LLC and FinTech Masala Advisors V, LLC, each of which is managed by Cohen Sponsor Interests V, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests V, LLC. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy DGC Family FinTech Trust | 1,363,222 |
Reported balance
After 2021-04-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-04-04 · Other · Disposed 33,334 · Balance 1,363,222 F1: 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: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F3: 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. F4: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings V, LLC and FinTech Masala Advisors V, LLC, each of which is managed by Cohen Sponsor Interests V, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests V, LLC. F5: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests V, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy DGC Family FinTech Trust | 1,360,305 |
Reported balance
After 2021-10-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-10-13 · Other · Disposed 2,917 · Balance 1,360,305 F1: 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: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F3: 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. F4: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings V, LLC and FinTech Masala Advisors V, LLC, each of which is managed by Cohen Sponsor Interests V, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests V, LLC. F5: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests V, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Cohen Sponsor Interests V, LLC | 1,360,305 |
Reported balance
After 2021-10-13 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-10-13 · Other · Disposed 2,917 · Balance 1,360,305 F1: 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: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F3: 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. F4: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings V, LLC and FinTech Masala Advisors V, LLC, each of which is managed by Cohen Sponsor Interests V, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests V, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price.
F3: 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.
F4: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings V, LLC and FinTech Masala Advisors V, LLC, each of which is managed by Cohen Sponsor Interests V, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests V, LLC.
F5: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests V, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust.
Fintech Acquisition Corp. III
Report date October 16, 2020 · Filed October 20, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy Cohen Sponsor Interests III, LLC | 1,091,330 |
Reported balance
After 2020-10-16 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-10-16 · Exercise / conversion · Acquired 1,091,330 · Balance 1,091,330 F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. F7: 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. F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy DGC Family FinTech Trust | 1,091,330 |
Reported balance
After 2020-10-16 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-10-16 · Exercise / conversion · Acquired 1,091,330 · Balance 1,091,330 F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. F7: 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. F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. F6: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy DGC Family FinTech Trust | 300,000 |
Reported balance
After 2020-10-16 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 7 · 2020-10-16 · Grant · Acquired 300,000 · Balance 300,000 F7: 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. F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Betsy Z Cohen Trust dated 10/7/99 | 200,000 |
Reported balance
After 2020-10-16 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-10-16 · Grant · Acquired 200,000 · Balance 200,000 F7: 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Edward E Cohen Trust dated 10/7/99 | 200,000 |
Reported balance
After 2020-10-16 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2020-10-16 · Grant · Acquired 200,000 · Balance 200,000 F7: 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy The Betsy and Edward Cohen 2012 Grandchildren Trust dated 5/22/2012 | 150,000 |
Reported balance
After 2020-10-16 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2020-10-16 · Grant · Acquired 150,000 · Balance 150,000 F7: 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy The 2019 Grandchildren's Trust dated 6/26/2020 | 200,000 |
Reported balance
After 2020-10-16 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2020-10-16 · Grant · Acquired 200,000 · Balance 200,000 F7: 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. |
| Class A Common StockSEC Table I · non-derivative | Direct | 200,000 |
Reported balance
After 2020-10-16 transaction · row 8
1 source rowRow 8 · 2020-10-16 · Grant · Acquired 200,000 · Balance 200,000 |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Cohen Sponsor Interests III, LLC | 1,248,570 |
Reported balance
After 2020-10-16 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-10-16 · Other · Disposed 68,334 · Balance 1,248,570 F1: 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: Represents transfer of membership interests to other members of the issuer's sponsors at the original purchase price. F7: 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. F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Cohen Sponsor Interests III, LLC | 1,091,330 |
Reported balance
After 2020-10-16 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-10-16 · Other · Disposed 157,241 · Balance 1,091,330 F1: 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. F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination. F7: 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. F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Cohen Sponsor Interests III, LLC | 0 |
Reported balance
After 2020-10-16 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2020-10-16 · Exercise / conversion · Disposed 1,091,330 · Balance 0 F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy DGC Family FinTech Trust | 1,248,570 |
Reported balance
After 2020-10-16 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-10-16 · Other · Disposed 68,334 · Balance 1,248,570 F1: 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: Represents transfer of membership interests to other members of the issuer's sponsors at the original purchase price. F7: 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. F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. F6: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy DGC Family FinTech Trust | 1,091,330 |
Reported balance
After 2020-10-16 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2020-10-16 · Other · Disposed 157,241 · Balance 1,091,330 F1: 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. F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination. F7: 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. F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. F6: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy DGC Family FinTech Trust | 77,668 |
Reported balance
After 2020-10-16 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2020-10-16 · Other · Disposed 22,332 · Balance 77,668 F1: 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. F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination. F7: 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. F9: Allocated to DGC Family FinTech Trust as a member of FinTech Masala Advisors, LLC. F6: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy DGC Family FinTech Trust | 0 |
Reported balance
After 2020-10-16 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2020-10-16 · Exercise / conversion · Disposed 1,091,330 · Balance 0 F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. F6: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy FinTech Masala Advisors, LLC | 77,668 |
Reported balance
After 2020-10-16 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2020-10-16 · Other · Disposed 22,332 · Balance 77,668 F1: 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. F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination. F7: 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. F8: Allocated to the reporting person as a member of FinTech Masala Advisors, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Represents transfer of membership interests to other members of the issuer's sponsors at the original purchase price.
F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination.
F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date.
F5: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings III, LLC, FinTech Masala Advisors, LLC and 3FIII, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC.
F6: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust.
F7: 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.
F8: Allocated to the reporting person as a member of FinTech Masala Advisors, LLC.
F9: Allocated to DGC Family FinTech Trust as a member of FinTech Masala Advisors, LLC.
INSU ACQUISITION CORP III
Report date December 22, 2020 · Filed December 24, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Dioptra Advisors III, LLC | 5,865,000 |
Reported balance
After 2020-12-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-12-22 · Other · Disposed 23,333 · Balance 5,865,000 F1: 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: Forfeiture and cancellation of shares of Class B common stock for no consideration because the underwriters' over-allotment option was not exercised in full. F3: These securities are held directly by one of the issuer's sponsors, Insurance Acquisition Sponsor III, LLC or Dioptra Advisors III, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of the issuer's sponsors and the chairman of the board of Cohen & Company, 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Insurance Acquisition Sponsor III, LLC | 2,660,000 |
Reported balance
Holding disclosure · report date 2020-12-22 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 2,660,000 F1: 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. F3: These securities are held directly by one of the issuer's sponsors, Insurance Acquisition Sponsor III, LLC or Dioptra Advisors III, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of the issuer's sponsors and the chairman of the board of Cohen & Company, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Forfeiture and cancellation of shares of Class B common stock for no consideration because the underwriters' over-allotment option was not exercised in full.
F3: These securities are held directly by one of the issuer's sponsors, Insurance Acquisition Sponsor III, LLC or Dioptra Advisors III, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of the issuer's sponsors and the chairman of the board of Cohen & Company, 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.
International Money Express, Inc.
Report date July 26, 2018 · Filed July 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Cohen Sponsor Interests II, LLC | 281,736 |
Last balance in matching sequence
After 2018-07-26 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2018-07-26 · Other · Disposed 100,000 · Balance 387,689 F1: Transferred in connection with the closing of the merger contemplated by the Agreement and Plan of Merger, dated as of December 19, 2017, by and among the Issuer, FinTech II Merger Sub Inc., FinTech II Merger Sub 2 LLC, Intermex Holdings II, Inc. and SPC Intermex Representative LLC for no consideration. F2: 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 purposes of Section 16 or for any other purpose. Row 2 · 2018-07-26 · Sale · Disposed 105,953 · Balance 281,736 F2: 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 purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 652,827 |
Reported balance
Holding disclosure · report date 2018-07-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 652,827 |
| Common StockSEC Table I · non-derivative | IndirectBy DGC Family FinTech Trust | 653,407 |
Reported balance
Holding disclosure · report date 2018-07-26 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 653,407 |
| Common StockSEC Table I · non-derivative | IndirectBy FinTech Investor Holdings II, LLC | 365,000 |
Reported balance
Holding disclosure · report date 2018-07-26 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 365,000 F2: 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 purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Transferred in connection with the closing of the merger contemplated by the Agreement and Plan of Merger, dated as of December 19, 2017, by and among the Issuer, FinTech II Merger Sub Inc., FinTech II Merger Sub 2 LLC, Intermex Holdings II, Inc. and SPC Intermex Representative LLC for no consideration.
F2: 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 purposes of Section 16 or for any other purpose.
Paya Holdings Inc.
Report date October 16, 2020 · Filed October 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Cohen Sponsor Interests III, LLC | 1,091,330 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,091,330 F1: These shares are held directly by FinTech Investor Holdings III, LLC, 3FIII, LLC and FinTech Masala Advisors, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy DGC Family FinTech Trust | 1,091,330 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,091,330 F1: These shares are held directly by FinTech Investor Holdings III, LLC, 3FIII, LLC and FinTech Masala Advisors, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC. F2: 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. F3: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Common StockSEC Table I · non-derivative | IndirectBy DGC Family FinTech Trust | 77,668 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 77,668 F2: 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. F5: Allocated to DGC Family FinTech Trust as a member of FinTech Masala Advisors, LLC. F3: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Common StockSEC Table I · non-derivative | IndirectBy DGC Family FinTech Trust | 300,000 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 300,000 F2: 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. F3: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. |
| Common StockSEC Table I · non-derivative | IndirectBy FinTech Masala Advisors, LLC | 77,668 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 77,668 F2: 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. F4: Allocated to the reporting person as a member of FinTech Masala Advisors, LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy Betsy Z Cohen Trust dated 10/7/99 | 200,000 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 200,000 F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy Edward E Cohen Trust dated 10/7/99 | 200,000 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 200,000 F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy The Betsy and Edward Cohen 2012 Grandchildren Trust dated 5/22/2012 | 150,000 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 150,000 F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy The 2019 Grandchildren's Trust dated 6/26/2020 | 200,000 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 200,000 F2: 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. |
| Common StockSEC Table I · non-derivative | Direct | 200,000 |
Reported balance
Holding disclosure · report date 2020-10-16 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 200,000 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held directly by FinTech Investor Holdings III, LLC, 3FIII, LLC and FinTech Masala Advisors, LLC, each of which is managed by Cohen Sponsor Interests III, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests III, LLC.
F2: 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.
F3: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust.
F4: Allocated to the reporting person as a member of FinTech Masala Advisors, LLC.
F5: Allocated to DGC Family FinTech Trust as a member of FinTech Masala Advisors, LLC.
Perella Weinberg Partners
Report date March 14, 2023 · Filed March 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy FinTech Masala Holdings, LLC | 524,873 |
Reported balance
After 2023-03-14 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2023-03-14 · Sale · Disposed 13,409 · Balance 524,873 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.00 to $9.23, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy FinTech Masala Holdings, LLC | 524,873 |
Reported balance
After 2023-03-14 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2023-03-14 · Sale · Disposed 13,409 · Balance 524,873 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.00 to $9.23, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy FinTech Masala Holdings, LLC | 133,603 |
Reported balance
Holding disclosure · report date 2023-03-14 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 133,603 F7: Represents shares held directly by Holdings and Masala, each of which is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Holdings and Masala, 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. |
| Class A Common StockSEC Table I · non-derivative | Direct | 80,852 |
Reported balance
Holding disclosure · report date 2023-03-14 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 80,852 |
| Class A Common StockSEC Table I · non-derivative | IndirectBy FinTech Masala Advisors IV, LLC | 11,951 |
Reported balance
Holding disclosure · report date 2023-03-14 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 11,951 F4: Represents shares held directly by Masala. The reporting person is a member of Masala. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala, 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy FinTech Masala Advisors IV, LLC | 11,951 |
Reported balance
Holding disclosure · report date 2023-03-14 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 11,951 F5: Represents shares held directly by Masala. The Trust is a member of Masala. The children of the reporting person are beneficiaries of the Trust. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy DGC Family FinTech Trust | 57,923 |
Reported balance
Holding disclosure · report date 2023-03-14 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 57,923 F6: Represents shares held directly by the Trust. The children of the reporting person are beneficiaries of the Trust. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy DGC Family FinTech Trust | 133,602 |
Reported balance
Holding disclosure · report date 2023-03-14 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 133,602 F8: Represents shares held directly by Holdings and Masala, each of which is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. The Trust owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.00 to $9.23, inclusive. The reporting person undertakes to provide to 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 range set forth above.
F2: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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.
F3: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose.
F4: Represents shares held directly by Masala. The reporting person is a member of Masala. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala, 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.
F5: Represents shares held directly by Masala. The Trust is a member of Masala. The children of the reporting person are beneficiaries of the Trust. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose.
F6: Represents shares held directly by the Trust. The children of the reporting person are beneficiaries of the Trust.
F7: Represents shares held directly by Holdings and Masala, each of which is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Holdings and Masala, 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.
F8: Represents shares held directly by Holdings and Masala, each of which is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. The Trust owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Metromile, LLC
Report date December 30, 2020 · Filed February 10, 2021
Section 16 reporting ended · disclosed 2021-02-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectBy Insurance Acquisition Sponsor II, LLC | 2,841,000 |
Reported balance
After 2021-02-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-02-09 · Exercise / conversion · Acquired 2,388,500 · Balance 2,841,000 F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. F5: These shares are held directly by one of Insurance Acquisition Sponsor II, LLC, Dioptra Advisors II, LLC or INSU PIPE Sponsor II, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of Insurance Acquisition Sponsor II, LLC and Dioptra Advisors II, LLC and the chairman of the board of Cohen & Company, 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy Dioptra Advisors II, LLC | 4,281,167 |
Reported balance
After 2021-02-09 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-02-09 · Exercise / conversion · Acquired 4,281,167 · Balance 4,281,167 F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. F5: These shares are held directly by one of Insurance Acquisition Sponsor II, LLC, Dioptra Advisors II, LLC or INSU PIPE Sponsor II, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of Insurance Acquisition Sponsor II, LLC and Dioptra Advisors II, LLC and the chairman of the board of Cohen & Company, 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectBy INSU PIPE Sponsor II, LLC | 2,500,000 |
Reported balance
After 2021-02-09 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2021-02-09 · Grant · Acquired 2,500,000 · Balance 2,500,000 F5: These shares are held directly by one of Insurance Acquisition Sponsor II, LLC, Dioptra Advisors II, LLC or INSU PIPE Sponsor II, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of Insurance Acquisition Sponsor II, LLC and Dioptra Advisors II, LLC and the chairman of the board of Cohen & Company, 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy DioptraAdvisors II, LLC | 5,036,667 |
Reported balance
After 2020-12-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-12-30 · Other · Disposed 500,000 · Balance 5,036,667 F1: 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: Represents shares of Class B common stock transferred by Dioptra Advisors II, LLC to Insurance Acquisition Sponsor II, LLC for no consideration. F5: These shares are held directly by one of Insurance Acquisition Sponsor II, LLC, Dioptra Advisors II, LLC or INSU PIPE Sponsor II, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of Insurance Acquisition Sponsor II, LLC and Dioptra Advisors II, LLC and the chairman of the board of Cohen & Company, 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Insurance Acquisition Sponsor II, LLC | 2,810,000 |
Reported balance
After 2020-12-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-12-30 · Other · Acquired 500,000 · Balance 2,810,000 F1: 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: Represents shares of Class B common stock transferred by Dioptra Advisors II, LLC to Insurance Acquisition Sponsor II, LLC for no consideration. F5: These shares are held directly by one of Insurance Acquisition Sponsor II, LLC, Dioptra Advisors II, LLC or INSU PIPE Sponsor II, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of Insurance Acquisition Sponsor II, LLC and Dioptra Advisors II, LLC and the chairman of the board of Cohen & Company, 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Insurance Acquisition Sponsor II, LLC | 2,388,500 |
Reported balance
After 2021-02-09 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-02-09 · Other · Disposed 421,500 · Balance 2,388,500 F1: 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. F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination. F5: These shares are held directly by one of Insurance Acquisition Sponsor II, LLC, Dioptra Advisors II, LLC or INSU PIPE Sponsor II, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of Insurance Acquisition Sponsor II, LLC and Dioptra Advisors II, LLC and the chairman of the board of Cohen & Company, 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Insurance Acquisition Sponsor II, LLC | 0 |
Reported balance
After 2021-02-09 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-02-09 · Exercise / conversion · Disposed 2,388,500 · Balance 0 F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Dioptra Advisors II, LLC | 4,281,167 |
Reported balance
After 2021-02-09 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2021-02-09 · Other · Disposed 755,500 · Balance 4,281,167 F1: 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. F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination. F5: These shares are held directly by one of Insurance Acquisition Sponsor II, LLC, Dioptra Advisors II, LLC or INSU PIPE Sponsor II, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of Insurance Acquisition Sponsor II, LLC and Dioptra Advisors II, LLC and the chairman of the board of Cohen & Company, 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy Dioptra Advisors II, LLC | 0 |
Reported balance
After 2021-02-09 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2021-02-09 · Exercise / conversion · Disposed 4,281,167 · Balance 0 F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Represents shares of Class B common stock transferred by Dioptra Advisors II, LLC to Insurance Acquisition Sponsor II, LLC for no consideration.
F3: Represents shares of Class B common stock forfeited to the issuer for no consideration in connection with the issuer's initial business combination.
F4: The shares of Class B common stock automatically converted into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis and have no expiration date.
F5: These shares are held directly by one of Insurance Acquisition Sponsor II, LLC, Dioptra Advisors II, LLC or INSU PIPE Sponsor II, LLC, each of which is managed by Cohen & Company, LLC. The reporting person is the chief executive officer of each of Insurance Acquisition Sponsor II, LLC and Dioptra Advisors II, LLC and the chairman of the board of Cohen & Company, 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.
SHIFT TECHNOLOGIES, INC.
Report date October 13, 2020 · Filed October 14, 2020
Section 16 reporting ended · disclosed 2020-10-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 600,000 |
Reported balance
After 2020-10-13 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-10-13 · Grant · Acquired 600,000 · Balance 600,000 F1: These shares are held directly by INSU Pipe Sponsor, LLC, which is managed by Cohen & Company, LLC (the "Manager"). The reporting person is the chief executive officer of INSU Pipe Sponsor, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 2,431,570 |
Reported balance
After 2020-10-13 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-10-13 · Exercise / conversion · Acquired 2,056,570 · Balance 2,431,570 F2: 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, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F3: These shares are held directly by Insurance Acquisition Sponsor, LLC, which is managed by the Manager. The reporting person is the chief executive officer of Insurance Acquisition Sponsor, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,540,956 |
Reported balance
After 2020-10-13 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-10-13 · Exercise / conversion · Acquired 3,540,956 · Balance 3,540,956 F2: 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, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F4: These shares are held directly by Dioptra Advisors, LLC, which is managed by the Manager. The reporting person is the chief executive officer of Dioptra Advisors, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-10-13 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-10-13 · Exercise / conversion · Disposed 1,875,000 · Balance 0 F2: 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, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F3: These shares are held directly by Insurance Acquisition Sponsor, LLC, which is managed by the Manager. The reporting person is the chief executive officer of Insurance Acquisition Sponsor, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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. |
| Class B Common StockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2020-10-13 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-10-13 · Exercise / conversion · Disposed 3,228,333 · Balance 0 F2: 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, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F4: These shares are held directly by Dioptra Advisors, LLC, which is managed by the Manager. The reporting person is the chief executive officer of Dioptra Advisors, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-10-13 | IndirectSee footnote | 187,500 |
Reported balance
Holding disclosure · report date 2020-10-13 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 187,500 F5: These warrants are held directly by Insurance Acquisition Sponsor, LLC, which is managed by the Manager. The reporting person is the chief executive officer of Insurance Acquisition Sponsor, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are held directly by INSU Pipe Sponsor, LLC, which is managed by Cohen & Company, LLC (the "Manager"). The reporting person is the chief executive officer of INSU Pipe Sponsor, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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: 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, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock.
F3: These shares are held directly by Insurance Acquisition Sponsor, LLC, which is managed by the Manager. The reporting person is the chief executive officer of Insurance Acquisition Sponsor, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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.
F4: These shares are held directly by Dioptra Advisors, LLC, which is managed by the Manager. The reporting person is the chief executive officer of Dioptra Advisors, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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.
F5: These warrants are held directly by Insurance Acquisition Sponsor, LLC, which is managed by the Manager. The reporting person is the chief executive officer of Insurance Acquisition Sponsor, LLC and the chairman of the board of the Manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of its 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.
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 |
|---|---|---|---|---|---|---|
| July 17, 2026 Filed Jul 17, 2026 20:05 UTC | Cohen & Co Inc. COHN · Entity 7376 | GiftCommon Stock, par value $0.01 per share | 17,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-084618 · tm2620778-1_4seq1.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 107,157 Read SEC document |
| April 23, 2026 Filed Apr 24, 2026 15:14 UTC | Cohen & Co Inc. COHN · Entity 7376 | GiftCommon Stock, par value $0.01 per share | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-048375 · tm2612603-1_4seq1.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,757 Read SEC document |
| March 30, 2026 Filed Mar 31, 2026 18:12 UTC | Cohen & Co Inc. COHN · Entity 7376 | GiftCommon Stock, par value $0.01 per share | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-037588 · tm2610124-1_4seq1.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,757 Read SEC document |
| March 06, 2026 Filed Mar 6, 2026 21:05 UTC | Cohen & Co Inc. COHN · Entity 7376 | GrantCohen & Company, LLC LTIP Units · Derivative | 2,888,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-024693 · tm267923-1_4seq1.xml · derivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,888,000 Underlying: Common Stock, par value $0.01 per share · 288,800 shares Expires not disclosed F1 · derivative.exercise_price: Mr. Cohen was awarded 2,888,000 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: 50% of the LTIP Units will vest on the third anniversary of the date the LTIP Units were granted and the remaining 50% of the LTIP Units will vest on the sixth anniversary of the date the LTIP Units were granted, in each case, subject to Mr. Cohen's continued service on the vesting date. F2 · derivative.exercise_price: Following the expiration of the restrictions on the applicable LTIP Units, Mr. Cohen 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. Cohen's conversion (if any) of LTIP Units into Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen was awarded 2,888,000 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: 50% of the LTIP Units will vest on the third anniversary of the date the LTIP Units were granted and the remaining 50% of the LTIP Units will vest on the sixth anniversary of the date the LTIP Units were granted, in each case, subject to Mr. Cohen's continued service on the vesting date. F2 · derivative.exercise_date: Following the expiration of the restrictions on the applicable LTIP Units, Mr. Cohen 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. Cohen's conversion (if any) of LTIP Units into Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen was awarded 2,888,000 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: 50% of the LTIP Units will vest on the third anniversary of the date the LTIP Units were granted and the remaining 50% of the LTIP Units will vest on the sixth anniversary of the date the LTIP Units were granted, in each case, subject to Mr. Cohen's continued service on the vesting date. F2 · derivative.expiration_date: Following the expiration of the restrictions on the applicable LTIP Units, Mr. Cohen 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. Cohen's conversion (if any) of LTIP Units into Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen was awarded 2,888,000 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: 50% of the LTIP Units will vest on the third anniversary of the date the LTIP Units were granted and the remaining 50% of the LTIP Units will vest on the sixth anniversary of the date the LTIP Units were granted, in each case, subject to Mr. Cohen's continued service on the vesting date. F2 · derivative.underlying_shares: Following the expiration of the restrictions on the applicable LTIP Units, Mr. Cohen 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. Cohen's conversion (if any) of LTIP Units into Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. Read SEC document |
| February 03, 2026 Filed Feb 5, 2026 14:21 UTC | Cohen & Co Inc. COHN · Entity 7376 | Exercise / conversionCohen & Company, LLC Membership Units · Derivative | 463,915 | $1.95 | $905,098.17 |
DisclosureSEC source: 0001104659-26-010706 · tm265017-2_4seq1.xml · derivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,261,907 Underlying: Common Stock, par value $0.01 per share · 46,391 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: Mr. Cohen redeemed 463,915 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $905,098.17, or $1.951 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2026, of 1,011,001 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen redeemed 463,915 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $905,098.17, or $1.951 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2026, of 1,011,001 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen redeemed 463,915 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $905,098.17, or $1.951 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2026, of 1,011,001 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen redeemed 463,915 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $905,098.17, or $1.951 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2026, of 1,011,001 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. Read SEC document |
| December 30, 2025 Filed Dec 31, 2025 19:52 UTC | Cohen & Co Inc. COHN · Entity 7376 | GiftCommon Stock, par value $0.01 per share | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-125585 · tm2534529-1_4seq1.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,757 Read SEC document |
| December 19, 2025 Filed Dec 19, 2025 14:15 UTC | Cohen & Co Inc. COHN · Entity 7376 | GrantCohen & Company, LLC Membership Units · Derivative | 211,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-122817 · tm2533886-7_4seq1.xml · derivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,725,822 Underlying: Common Stock, par value $0.01 per share · 21,100 shares Expires not disclosed F1 · derivative.exercise_price: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2027, January 31, 2028 and January 31, 2029. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2027, January 31, 2028 and January 31, 2029. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2027, January 31, 2028 and January 31, 2029. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2027, January 31, 2028 and January 31, 2029. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F2 · ownership.direct: 5,252,002 membership units in the Operating LLC are owned by Cohen Bros. Financial, LLC, a Delaware limited liability company of which Mr. Cohen is the sole member. Read SEC document |
| February 05, 2025 Filed Feb 5, 2025 21:52 UTC | Cohen & Co Inc. COHN · Entity 7376 | Exercise / conversionCohen & Company, LLC Membership Units · Derivative | 460,679 | $0.99 | $456,532.89 |
DisclosureSEC source: 0001104659-25-009721 · tm255519-1_4seq1.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,514,822 Underlying: Common Stock, par value $0.01 per share · 46,067 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: Mr. Cohen redeemed 460,679 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $456,533.10, or $0.991 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2025, of 1,011,001 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen redeemed 460,679 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $456,533.10, or $0.991 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2025, of 1,011,001 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen redeemed 460,679 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $456,533.10, or $0.991 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2025, of 1,011,001 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen redeemed 460,679 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $456,533.10, or $0.991 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2025, of 1,011,001 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. Read SEC document |
| December 20, 2024 Filed Dec 20, 2024 21:12 UTC | Cohen & Co Inc. COHN · Entity 7376 | GrantCohen & Company, LLC Membership Units · Derivative | 211,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-130818 · tm2431772-2_4seq1.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,975,501 Underlying: Common Stock, par value $0.01 per share · 21,100 shares Expires not disclosed F1 · derivative.exercise_price: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2026, January 31, 2027 and January 31, 2028. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2026, January 31, 2027 and January 31, 2028. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2026, January 31, 2027 and January 31, 2028. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2026, January 31, 2027 and January 31, 2028. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F2 · ownership.direct: 5,252,002 membership units in the Operating LLC are owned by Cohen Bros. Financial, LLC, a Delaware limited liability company of which Mr. Cohen is the sole member. Read SEC document |
| July 01, 2024 Filed Jul 2, 2024 20:15 UTC | Cohen & Co Inc. COHN · Entity 7376 | GiftCommon Stock, par value $0.01 per share | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-077353 · tm2418742-1_4seq1.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,017 Read SEC document |
| February 01, 2024 Filed Feb 2, 2024 21:16 UTC | Cohen & Co Inc. COHN · Entity 7376 | Exercise / conversionCohen & Company, LLC Membership Units · Derivative | 443,474 | $0.71 | $315,310.01 |
DisclosureSEC source: 0001104659-24-010046 · tm244928-2_4seq1.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,764,501 Underlying: Common Stock, par value $0.01 per share · 44,347 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: Mr. Cohen redeemed 443,474 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $315,310, or $0.711 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2024, of 940,669 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen redeemed 443,474 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $315,310, or $0.711 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2024, of 940,669 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen redeemed 443,474 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $315,310, or $0.711 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2024, of 940,669 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen redeemed 443,474 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $315,310, or $0.711 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2024, of 940,669 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. Read SEC document |
| December 21, 2023 Filed Dec 21, 2023 21:19 UTC | Cohen & Co Inc. COHN · Entity 7376 | GrantCohen & Company, LLC Membership Units · Derivative | 211,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-128230 · tm2333248-4_4seq1.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,207,975 Underlying: Common Stock, par value $0.01 per share · 21,100 shares Expires not disclosed F1 · derivative.exercise_price: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2025, January 31, 2026 and January 31, 2027. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2025, January 31, 2026 and January 31, 2027. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2025, January 31, 2026 and January 31, 2027. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2025, January 31, 2026 and January 31, 2027. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F2 · ownership.direct: 5,252,002 membership units in the Operating LLC are owned by Cohen Bros. Financial, LLC, a Delaware limited liability company of which Mr. Cohen is the sole member. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 21:07 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 13,409 | $9.08 | $121,753.72 |
DisclosureSEC source: 0001777835-23-000066 · wf-form4_167900086438564.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 524,873 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.00 to $9.23, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 21:07 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 13,409 | $9.08 | $121,753.72 |
DisclosureSEC source: 0001777835-23-000066 · wf-form4_167900086438564.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 524,873 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.00 to $9.23, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| March 10, 2023 Filed Mar 13, 2023 21:48 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 6,667 | $9.06 | $60,403.02 |
DisclosureSEC source: 0001777835-23-000064 · wf-form4_167874410746179.xml · nonDerivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 538,282 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.00 to $9.18, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| March 10, 2023 Filed Mar 13, 2023 21:48 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 6,667 | $9.06 | $60,403.02 |
DisclosureSEC source: 0001777835-23-000064 · wf-form4_167874410746179.xml · nonDerivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 538,282 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.00 to $9.18, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 21:48 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 784 | $9.75 | $7,644.00 |
DisclosureSEC source: 0001777835-23-000064 · wf-form4_167874410746179.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 544,949 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.75 to $9.76, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| March 09, 2023 Filed Mar 13, 2023 21:48 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 784 | $9.75 | $7,644.00 |
DisclosureSEC source: 0001777835-23-000064 · wf-form4_167874410746179.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 544,949 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.75 to $9.76, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 21:44 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 11,725 | $10.01 | $117,367.25 |
DisclosureSEC source: 0001777835-23-000045 · wf-form4_167787984731751.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 545,733 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.00 to $10.12, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 21:44 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 11,725 | $10.01 | $117,367.25 |
DisclosureSEC source: 0001777835-23-000045 · wf-form4_167787984731751.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 545,733 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.00 to $10.12, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 28, 2023 Filed Mar 1, 2023 01:01 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 11,433 | $10.22 | $116,845.26 |
DisclosureSEC source: 0001777835-23-000032 · wf-form4_167763243077574.xml · nonDerivative · entry 6 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 557,458 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.15 to $10.27, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 28, 2023 Filed Mar 1, 2023 01:01 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 11,433 | $10.22 | $116,845.26 |
DisclosureSEC source: 0001777835-23-000032 · wf-form4_167763243077574.xml · nonDerivative · entry 5 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 557,458 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.15 to $10.27, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 27, 2023 Filed Mar 1, 2023 01:01 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 5,057 | $10.20 | $51,581.40 |
DisclosureSEC source: 0001777835-23-000032 · wf-form4_167763243077574.xml · nonDerivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 568,891 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.15 to $10.25, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 27, 2023 Filed Mar 1, 2023 01:01 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 5,057 | $10.20 | $51,581.40 |
DisclosureSEC source: 0001777835-23-000032 · wf-form4_167763243077574.xml · nonDerivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 568,891 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.15 to $10.25, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 24, 2023 Filed Mar 1, 2023 01:01 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 13,333 | $10.15 | $135,329.95 |
DisclosureSEC source: 0001777835-23-000032 · wf-form4_167763243077574.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 573,948 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.10 to $10.23, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 24, 2023 Filed Mar 1, 2023 01:01 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 13,333 | $10.15 | $135,329.95 |
DisclosureSEC source: 0001777835-23-000032 · wf-form4_167763243077574.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 573,948 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.10 to $10.23, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 23, 2023 Filed Feb 24, 2023 02:05 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 447 | $10.54 | $4,711.38 |
DisclosureSEC source: 0001777835-23-000020 · wf-form4_167720430570332.xml · nonDerivative · entry 6 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 587,281 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.50 to $10.59, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 23, 2023 Filed Feb 24, 2023 02:05 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 447 | $10.54 | $4,711.38 |
DisclosureSEC source: 0001777835-23-000020 · wf-form4_167720430570332.xml · nonDerivative · entry 5 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 587,281 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.50 to $10.59, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 22, 2023 Filed Feb 24, 2023 02:05 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 8,143 | $10.60 | $86,315.80 |
DisclosureSEC source: 0001777835-23-000020 · wf-form4_167720430570332.xml · nonDerivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 587,728 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.60 to $10.65, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 22, 2023 Filed Feb 24, 2023 02:05 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 8,143 | $10.60 | $86,315.80 |
DisclosureSEC source: 0001777835-23-000020 · wf-form4_167720430570332.xml · nonDerivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 587,728 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.60 to $10.65, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 21, 2023 Filed Feb 24, 2023 02:05 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 5,484 | $10.73 | $58,843.32 |
DisclosureSEC source: 0001777835-23-000020 · wf-form4_167720430570332.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 595,871 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.60 to $10.875, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 21, 2023 Filed Feb 24, 2023 02:05 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 5,484 | $10.73 | $58,843.32 |
DisclosureSEC source: 0001777835-23-000020 · wf-form4_167720430570332.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 595,871 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.60 to $10.875, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 17, 2023 Filed Feb 17, 2023 22:15 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 83,334 | $10.89 | $907,507.26 |
DisclosureSEC source: 0001777835-23-000009 · wf-form4_167667212027457.xml · nonDerivative · entry 6 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 601,355 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.75 to $10.92, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 17, 2023 Filed Feb 17, 2023 22:15 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 83,334 | $10.89 | $907,507.26 |
DisclosureSEC source: 0001777835-23-000009 · wf-form4_167667212027457.xml · nonDerivative · entry 5 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 601,355 F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.75 to $10.92, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 16, 2023 Filed Feb 17, 2023 22:15 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 23,333 | $10.93 | $255,029.69 |
DisclosureSEC source: 0001777835-23-000009 · wf-form4_167667212027457.xml · nonDerivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 684,689 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.86 to $11.07, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 16, 2023 Filed Feb 17, 2023 22:15 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 23,333 | $10.93 | $255,029.69 |
DisclosureSEC source: 0001777835-23-000009 · wf-form4_167667212027457.xml · nonDerivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 684,689 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.86 to $11.07, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 22:15 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 14,245 | $11.12 | $158,404.40 |
DisclosureSEC source: 0001777835-23-000009 · wf-form4_167667212027457.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 708,022 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $11.05 to $11.25, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 22:15 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 14,245 | $11.12 | $158,404.40 |
DisclosureSEC source: 0001777835-23-000009 · wf-form4_167667212027457.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 708,022 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $11.05 to $11.25, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| February 01, 2023 Filed Feb 2, 2023 21:07 UTC | Cohen & Co Inc. COHN · Entity 7376 | Exercise / conversionCohen & Company, LLC Membership Units · Derivative | 479,380 | $0.88 | $420,895.64 |
DisclosureSEC source: 0001104659-23-009895 · tm235302-2_4seq1.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,996,975 Underlying: Common Stock, par value $0.01 per share · 47,938 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: Mr. Cohen redeemed 479,380 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $420,896.04, or $0.878 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2023, of 967,830 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen redeemed 479,380 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $420,896.04, or $0.878 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2023, of 967,830 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen redeemed 479,380 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $420,896.04, or $0.878 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2023, of 967,830 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen redeemed 479,380 membership units (the "Units") of Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), for an aggregate of $420,896.04, or $0.878 per Unit, in order to fund certain tax liabilities incurred by Mr. Cohen in connection with the vesting, on January 31, 2023, of 967,830 restricted Units granted to Mr. Cohen under the Company's 2020 Long-Term Incentive Plan, as amended. In accordance with the Operating LLC's Amended and Restated Limited Liability Company Agreement, as amended, Mr. Cohen had the right to redeem the Units at any time for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. Read SEC document |
| December 20, 2022 Filed Dec 20, 2022 15:45 UTC | Cohen & Co Inc. COHN · Entity 7376 | GrantCohen & Company, LLC Membership Units · Derivative | 211,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-128505 · tm2232831-1_4seq1.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director · Executive Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,476,355 Underlying: Common Stock, par value $0.01 per share · 21,100 shares Expires not disclosed F1 · derivative.exercise_price: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2024, January 31, 2025 and January 31, 2026. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.exercise_date: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2024, January 31, 2025 and January 31, 2026. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.expiration_date: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2024, January 31, 2025 and January 31, 2026. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F1 · derivative.underlying_shares: Mr. Cohen was awarded 211,000 restricted membership units ("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 restrictions expire with respect to one-third of the Units on each of January 31, 2024, January 31, 2025 and January 31, 2026. Following the expiration of the restrictions on the applicable Units, Mr. Cohen may cause the Operating LLC to redeem such Units at any time thereafter for, at the Company's option, (i) cash or (ii) one share of the Company's common stock for every ten Units. F2 · ownership.direct: 5,252,002 membership units in the Operating LLC are owned by Cohen Bros. Financial, LLC, a Delaware limited liability company of which Mr. Cohen is the sole member. Read SEC document |
| December 14, 2022 Filed Dec 16, 2022 01:02 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 14,998 | $9.53 | $142,930.94 |
DisclosureSEC source: 0001777835-22-000105 · wf-form4_167115252128774.xml · nonDerivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 722,267 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.40 to $9.67, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| December 14, 2022 Filed Dec 16, 2022 01:02 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 14,998 | $9.53 | $142,930.94 |
DisclosureSEC source: 0001777835-22-000105 · wf-form4_167115252128774.xml · nonDerivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 722,267 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.40 to $9.67, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| December 13, 2022 Filed Dec 16, 2022 01:02 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 10,002 | $9.67 | $96,719.34 |
DisclosureSEC source: 0001777835-22-000105 · wf-form4_167115252128774.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 737,265 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.61 to $9.82, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| December 13, 2022 Filed Dec 16, 2022 01:02 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 10,002 | $9.67 | $96,719.34 |
DisclosureSEC source: 0001777835-22-000105 · wf-form4_167115252128774.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 737,265 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $9.61 to $9.82, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| November 10, 2022 Filed Nov 14, 2022 22:09 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 17,374 | $8.60 | $149,416.40 |
DisclosureSEC source: 0001777835-22-000098 · wf-form4_166846375691518.xml · nonDerivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 747,267 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $8.435 to $8.86, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| November 10, 2022 Filed Nov 14, 2022 22:09 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 17,374 | $8.60 | $149,416.40 |
DisclosureSEC source: 0001777835-22-000098 · wf-form4_166846375691518.xml · nonDerivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 747,267 F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $8.435 to $8.86, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| November 09, 2022 Filed Nov 14, 2022 22:09 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 7,626 | $8.30 | $63,295.80 |
DisclosureSEC source: 0001777835-22-000098 · wf-form4_166846375691518.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 764,641 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $8.25 to $8.44, inclusive. The reporting person undertakes to provide to 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 range set forth above. F3 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| November 09, 2022 Filed Nov 14, 2022 22:09 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 7,626 | $8.30 | $63,295.80 |
DisclosureSEC source: 0001777835-22-000098 · wf-form4_166846375691518.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 764,641 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $8.25 to $8.44, inclusive. The reporting person undertakes to provide to 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 range set forth above. F2 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. Read SEC document |
| August 26, 2022 Filed Aug 31, 2022 00:34 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 100 | $7.76 | $776.00 |
DisclosureSEC source: 0001777835-22-000070 · wf-form4_166190603445930.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 772,267 F2 · ownership.nature: Represents shares held directly by Masala LLC, Holdings, and Masala. Manager HoldCo is the sole member of Masala LLC. Each of Holdings and Masala is managed by Manager, which, in turn, is indirectly owned by Manager HoldCo. DGC Family FinTech Trust (the "Trust") owns one-third of Manager HoldCo. The amount reported consists of the Trust's pecuniary interest therein. Each of the reporting person and the Trust disclaims beneficial ownership of any other securities held directly by Holdings and Masala, except to the extent of his or its respective pecuniary interest therein, and this report shall not be deemed an admission that the reporting person or the Trust is the beneficial owner of such securities for any other purpose. Read SEC document |
| August 26, 2022 Filed Aug 31, 2022 00:34 UTC | Perella Weinberg Partners PWP · Entity 988 | SaleClass A Common Stock | 100 | $7.76 | $776.00 |
DisclosureSEC source: 0001777835-22-000070 · wf-form4_166190603445930.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Holdings, LLC Disclosed balance after: 772,267 F1 · ownership.nature: Represents shares held directly by FinTech Masala, LLC ("Masala LLC"), FinTech Investor Holdings IV, LLC ("Holdings"), and FinTech Masala Advisors IV, LLC ("Masala"). FinTech Masala Holdings, LLC ("Manager HoldCo") is the sole member of Masala LLC. Each of Holdings and Masala is managed by Cohen Sponsor Interests IV, LLC ("Manager"), which, in turn, is indirectly owned by Manager HoldCo. The reporting person owns one-third of Manager HoldCo. The amount reported consists of the reporting person's pecuniary interest therein. The reporting person disclaims beneficial ownership of any other securities held directly by Masala LLC, 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. 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.