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 |
|---|---|---|---|---|---|---|
| October 13, 2020 Filed Oct 14, 2020 21:18 UTC | SHIFT TECHNOLOGIES, INC. SFT · Entity 108083 | Exercise / conversionClass B Common Stock · Derivative | 3,228,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-031290 · ownership.xml · derivative · entry 5 COHEN DANIEL G · CIK 0001247745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 3,540,956 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: 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. F2 · price: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F2 · derivative.exercise_date: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F2 · derivative.expiration_date: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F4 · ownership.nature: 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. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 21:18 UTC | SHIFT TECHNOLOGIES, INC. SFT · Entity 108083 | Exercise / conversionClass B Common Stock · Derivative | 1,875,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-031290 · ownership.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 2,056,570 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: 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. F2 · price: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F2 · derivative.exercise_date: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F2 · derivative.expiration_date: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F3 · ownership.nature: 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. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 21:18 UTC | SHIFT TECHNOLOGIES, INC. SFT · Entity 108083 | Exercise / conversionClass A Common Stock | 3,540,956 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-031290 · ownership.xml · nonDerivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,540,956 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F4 · ownership.nature: 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. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 21:18 UTC | SHIFT TECHNOLOGIES, INC. SFT · Entity 108083 | Exercise / conversionClass A Common Stock | 2,056,570 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-031290 · ownership.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,431,570 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: On October 13, 2020, the issuer acquired Shift Technologies, Inc. ("Shift") by the merger (the "Merger") of IAC Merger Sub, Inc., a wholly-owned subsidiary of the issuer, with and into Shift, with Shift surviving as a wholly-owned subsidiary of the issuer. As a result of the Merger, each of the issuer's outstanding shares of Class B Common Stock converted automatically into 1.096837 shares of Class A Common Stock. F3 · ownership.nature: 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. Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 21:18 UTC | SHIFT TECHNOLOGIES, INC. SFT · Entity 108083 | GrantClass A Common Stock | 600,000 | $10.00 | $6,000,000.00 |
DisclosureSEC source: 0001213900-20-031290 · ownership.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 600,000 F1 · ownership.nature: 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. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 23:03 UTC | Perella Weinberg Partners FTIV · Entity 988 | PurchaseClass B Common Stock · Derivative | 100,000 | $0.00 | $320.00 |
DisclosureSEC source: 0001213900-20-030551 · ownership.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Advisors IV, LLC Disclosed balance after: 100,000 Underlying: Class A Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F7 · kind: Represents transfer of membership interests by Cohen Sponsor Interests IV, LLC to DGC Family FinTech Trust at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 23:03 UTC | Perella Weinberg Partners FTIV · Entity 988 | OtherClass B Common Stock · Derivative | 100,000 | $0.00 | $320.00 |
DisclosureSEC source: 0001213900-20-030551 · ownership.xml · derivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,210,000 Underlying: Class A Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to new members of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings IV, LLC and FinTech Masala Advisors IV, LLC, each of which is managed by Cohen Sponsor Interests IV, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests IV, LLC. F6 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests IV, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 23:03 UTC | Perella Weinberg Partners FTIV · Entity 988 | PurchaseClass B Common Stock · Derivative | 100,000 | $0.00 | $320.00 |
DisclosureSEC source: 0001213900-20-030551 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Advisors IV, LLC Disclosed balance after: 100,000 Underlying: Class A Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F5 · kind: Represents transfer of membership interests by Cohen Sponsor Interests IV, LLC to the reporting person at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 23:03 UTC | Perella Weinberg Partners FTIV · Entity 988 | OtherClass B Common Stock · Derivative | 100,000 | $0.00 | $320.00 |
DisclosureSEC source: 0001213900-20-030551 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests IV, LLC Disclosed balance after: 1,210,000 Underlying: Class A Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to new members of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings IV, LLC and FinTech Masala Advisors IV, LLC, each of which is managed by Cohen Sponsor Interests IV, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests IV, LLC. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:26 UTC | Perella Weinberg Partners FTIV · Entity 988 | OtherClass B Common Stock · Derivative | 1,306,667 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-029634 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,306,667 Underlying: Class A Common Stock · 1,306,667 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Allocated to Cohen Sponsor Interests IV, LLC as a member of FinTech Investor Holdings IV, LLC and FinTech Masala Advisors IV, LLC. F2 · price: Allocated to Cohen Sponsor Interests IV, LLC as a member of FinTech Investor Holdings IV, LLC and FinTech Masala Advisors IV, LLC. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings IV, LLC and FinTech Masala Advisors IV, LLC, each of which is managed by Cohen Sponsor Interests IV, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests IV, LLC. F5 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests IV, LLC. The children of the reporting person are the beneficiaries of DGC Family FinTech Trust. Read SEC document |
| September 29, 2020 Filed Oct 1, 2020 21:26 UTC | Perella Weinberg Partners FTIV · Entity 988 | OtherClass B Common Stock · Derivative | 1,306,667 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-20-029634 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests IV, LLC Disclosed balance after: 1,306,667 Underlying: Class A Common Stock · 1,306,667 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Allocated to Cohen Sponsor Interests IV, LLC as a member of FinTech Investor Holdings IV, LLC and FinTech Masala Advisors IV, LLC. F2 · price: Allocated to Cohen Sponsor Interests IV, LLC as a member of FinTech Investor Holdings IV, LLC and FinTech Masala Advisors IV, LLC. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: These shares are held directly by the issuer's sponsors, FinTech Investor Holdings IV, LLC and FinTech Masala Advisors IV, LLC, each of which is managed by Cohen Sponsor Interests IV, LLC. The reporting person is an indirect owner of Cohen Sponsor Interests IV, LLC. Read SEC document |
| August 14, 2020 Filed Aug 17, 2020 18:10 UTC | Cohen & Co Inc. COHN · Entity 7376 | PurchaseCommon Stock, par value $0.01 per share | 2,500 | $19.62 | $49,047.50 |
DisclosureSEC source: 0001104659-20-096023 · a4.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Bros. Financial, LLC Disclosed balance after: 78,740 Read SEC document |
| June 12, 2020 Filed Jun 15, 2020 20:18 UTC | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 60,000 | $8.96 | $537,474.00 |
DisclosureSEC source: 0001295401-20-000056 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 60,000 F1 · price: The Reporting Person was sold 60,000 shares of common stock at prices ranging from $8.911 to $9.203 for an average price of $8.9579. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership to these securities except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| May 20, 2020 Filed May 21, 2020 21:27 UTC | Bancorp, Inc. TBBK · Entity 4314 | GrantCommon Stock | 36,026 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001295401-20-000040 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · EVP and Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,429 F1 · price: The Reporting Person was granted restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. upon vesting. The restricted stock units shall vest in three equal installments over a period of two years and nine months from the date of grant, with the first installment vesting on the first anniversary of the date of grant, the second installment on the second anniversary thereafter, and the third installment 9 months after the second installment. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 3,334 | $0.00 | $9.34 |
DisclosureSEC source: 0001213900-20-006014 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,316,903 Underlying: Class A Common Stock · 3,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests by another member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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. F5 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors. Read SEC document |
| March 09, 2020 Filed Mar 11, 2020 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 3,334 | $0.00 | $9.34 |
DisclosureSEC source: 0001213900-20-006014 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests III, LLC Disclosed balance after: 1,316,903 Underlying: Class A Common Stock · 3,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests by another member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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. Read SEC document |
| February 26, 2020 Filed Feb 26, 2020 21:05 UTC | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 25,000 | $13.41 | $335,367.50 |
DisclosureSEC source: 0001247745-20-000001 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,403 F1 · price: Reporting Person sold a total of 25,000 shares at a prices ranging from $13.00 to $13.53 for an average price of $13.41469. Read SEC document |
| February 26, 2020 Filed Mar 2, 2020 21:26 UTC Amendment | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 25,000 | $13.41 | $335,367.50 |
DisclosureSEC source: 0001295401-20-000021 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,403 F1 · price: Reporting Person sold a total of 25,000 shares at a prices ranging from $13.00 to $13.53 for an average price of $13.41469. Read SEC document |
| February 13, 2020 Filed Feb 13, 2020 20:47 UTC | Cohen & Co Inc. COHN · Entity 7376 | GrantCohen & Company, LLC Membership Units · Derivative | 508,080 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-020134 · a4.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,859,355 Underlying: Common Stock, par value $0.01 per share · 50,808 shares Expires not disclosed F1 · derivative.exercise_price: Mr. Cohen was awarded 508,080 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2021 and expire with respect to the remaining half of the Units on January 31, 2022. Following the expiration of the applicable restrictions on the 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 508,080 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2021 and expire with respect to the remaining half of the Units on January 31, 2022. Following the expiration of the applicable restrictions on the 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 508,080 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2021 and expire with respect to the remaining half of the Units on January 31, 2022. Following the expiration of the applicable restrictions on the 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 508,080 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2021 and expire with respect to the remaining half of the Units on January 31, 2022. Following the expiration of the applicable restrictions on the 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 30, 2019 Filed Jan 2, 2020 21:30 UTC | Cohen & Co Inc. COHN · Entity 7376 | GrantCohen & Company, LLC Membership Units · Derivative | 12,549,273 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-000362 · a4.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,801,275 Underlying: Common Stock, par value $0.01 per share · 1,254,927 shares Expires not disclosed F1 · derivative.exercise_price: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation. F2 · derivative.exercise_price: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote. F1 · price: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation. F2 · price: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote. F1 · derivative.exercise_date: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation. F2 · derivative.exercise_date: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote. F1 · derivative.expiration_date: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation. F2 · derivative.expiration_date: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote. F1 · derivative.underlying_shares: Mr. Cohen purchased from (i) Cohen & Company, LLC (the "Operating LLC"), a subsidiary of Cohen & Co Inc. (the "Company"), 12,549,273 newly issued units of membership interests in the Operating LLC (the "LLC Units"); (ii) the Company 12,549,273 shares of newly issued Series F Voting Non-Convertible Preferred Stock of the Company, par value $0.001 per share ("Series F Stock"). In consideration of the issuance of the LLC Units and the shares of Series F Stock, Mr. Cohen transferred to the Operating LLC 370,881 shares of the common stock, par value $0.0001 per share ("IMXI Common Stock"), of International Money Express, Inc. (formerly FinTech Acquisition Corp. II), a Delaware corporation. F2 · derivative.underlying_shares: In accordance with the purchase agreement pursuant to which Mr. Cohen purchased the LLC Units and the shares of Series F Stock, until the Company's stockholders approve the issuance of the shares of Common Stock into which the LLC Units are redeemable, Mr. Cohen may not redeem the LLC Units if such redemption would result in the Company issuing a number of shares of Common Stock that, when aggregated with any shares of Common Stock previously issued in connection with a redemption of the LLC Units, equals or exceeds 133,447 shares of Common Stock. The Series F Stock do not have any economic rights, but each share of Series F Stock entitles the holder thereof to one vote for every ten shares held and the holders of Series F Stock will vote together with the holders of Common Stock on all matters properly submitted for their vote. Read SEC document |
| November 25, 2019 Filed Nov 26, 2019 21:04 UTC | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 30,000 | $10.79 | $323,562.00 |
DisclosureSEC source: 0001295401-19-000074 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,403 F1 · price: Reporting Person sold a total of 30,000 shares at prices ranging from $10.72 to $10.89 for an average price of $10.78545. Read SEC document |
| November 25, 2019 Filed Mar 2, 2020 21:23 UTC Amendment | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 30,000 | $10.79 | $323,562.00 |
DisclosureSEC source: 0001295401-20-000020 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,403 F1 · price: Reporting Person sold a total of 30,000 shares at a prices ranging from $10.72 to $10.89 for an average price of $10.78545. Read SEC document |
| November 21, 2019 Filed Nov 22, 2019 21:34 UTC | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 23,890 | $10.69 | $255,493.99 |
DisclosureSEC source: 0001295401-19-000072 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,403 F1 · price: Reporting Person sold a total of 23,890 shares at prices ranging from $10.64 to $10.79 for an average price of $10.69461. Read SEC document |
| November 20, 2019 Filed Nov 20, 2019 21:58 UTC | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 26,000 | $10.84 | $281,788.00 |
DisclosureSEC source: 0001295401-19-000068 · primary_doc.xml · nonDerivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,293 F3 · price: Reporting Person sold a total of 26,000 shares at prices ranging from $10.73 to $10.94 for an average price of $10.838. Read SEC document |
| November 19, 2019 Filed Nov 20, 2019 21:58 UTC | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 19,757 | $10.88 | $214,877.13 |
DisclosureSEC source: 0001295401-19-000068 · primary_doc.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,293 F2 · price: Reporting Person sold a total of 19,757 shares at prices ranging from $10.72 to $11.01 for an average price of $10.876. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:58 UTC | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 8,929 | $10.96 | $97,861.84 |
DisclosureSEC source: 0001295401-19-000068 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,050 F1 · price: Reporting Person sold a total of 8,929 shares at prices ranging from $10.95 to $11.09 for an average price of $10.96. Read SEC document |
| November 12, 2019 Filed Nov 12, 2019 21:01 UTC | Bancorp, Inc. TBBK · Entity 4314 | SaleCommon Stock | 21,314 | $11.47 | $244,507.81 |
DisclosureSEC source: 0001295401-19-000065 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,979 F1 · price: Reporting Person sold a total of 21,314 shares at prices ranging from $11.41 to $11.52 for an average price of $11.47172. Read SEC document |
| October 02, 2019 Filed Oct 4, 2019 10:01 UTC | Cohen & Co Inc. COHN · Entity 7376 | PurchaseCohen & Company, LLC Membership Units · Derivative | 268,445 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053028 · a4.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Bros. Financial, LLC Disclosed balance after: 5,252,002 Underlying: Common Stock, par value $0.01 per share · 26,845 shares Expires not disclosed F2 · derivative.exercise_price: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units. F1 · shares: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260. F1 · price: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260. F2 · derivative.exercise_date: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units. F2 · derivative.expiration_date: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units. F2 · derivative.underlying_shares: Cohen Bros. may cause the Operating LLC to redeem these Units at any time for, at the Company's option, (i) cash, or (ii) one share of Common Stock for every ten Units. Read SEC document |
| October 02, 2019 Filed Oct 4, 2019 10:01 UTC | Cohen & Co Inc. COHN · Entity 7376 | PurchaseCommon Stock, par value $0.01 per share | 76,240 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-19-053028 · a4.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Bros. Financial, LLC Disclosed balance after: 76,240 F1 · shares: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260. F1 · price: Cohen Bros. Financial, LLC, a Delaware limited liability company of which the reporting person is the sole member ("Cohen Bros."), purchased pursuant to a privately negotiated transaction (i) 76,240 shares of the common stock, par value $0.01 per share ("Common Stock"), of Cohen & Company Inc. (the "Company"), and (ii) 268,445 membership units ("Units") in Cohen & Company, LLC, a majority owned subsidiary of the Company (the "Operating LLC"), for an aggregate purchase price of $1,546,260. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 21:04 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 6,667 | $0.00 | $18.67 |
DisclosureSEC source: 0001213900-19-010806 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,313,569 Underlying: Class A Common Stock · 6,667 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. F5 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors. Read SEC document |
| June 12, 2019 Filed Jun 14, 2019 21:04 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 6,667 | $0.00 | $18.67 |
DisclosureSEC source: 0001213900-19-010806 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests III, LLC Disclosed balance after: 1,313,569 Underlying: Class A Common Stock · 6,667 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. Read SEC document |
| May 20, 2019 Filed May 20, 2019 20:56 UTC | Bancorp, Inc. TBBK · Entity 4314 | Tax withholdingCommon Stock | 236 | $9.64 | $2,275.04 |
DisclosureSEC source: 0001295401-19-000051 · primary_doc.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,293 F1 · kind: Shares were sold to pay the taxes due on the vesting of restricted stock units. F3 · price: Reporting Person sold a total of 236 shares at prices ranging from $9.63 to $9.73 for an average price of $9.64. Read SEC document |
| May 17, 2019 Filed May 20, 2019 20:56 UTC | Bancorp, Inc. TBBK · Entity 4314 | Tax withholdingCommon Stock | 1,230 | $9.75 | $11,992.50 |
DisclosureSEC source: 0001295401-19-000051 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,529 F1 · kind: Shares were sold to pay the taxes due on the vesting of restricted stock units. F2 · price: Reporting Person sold a total of 1,230 shares at prices ranging from $9.84 to $9.65 for an average price of $9.75. Read SEC document |
| May 16, 2019 Filed May 17, 2019 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | PurchaseClass B Common Stock · Derivative | 100,000 | $0.00 | $280.00 |
DisclosureSEC source: 0001213900-19-009110 · ownership.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Advisors, LLC Disclosed balance after: 100,000 Underlying: Class A Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F5 · kind: Represents transfer of membership interests by Cohen Sponsor Interests III, LLC at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. Read SEC document |
| May 16, 2019 Filed May 17, 2019 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 100,000 | $0.00 | $280.00 |
DisclosureSEC source: 0001213900-19-009110 · ownership.xml · derivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,320,236 Underlying: Class A Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to new members of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. F6 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors. Read SEC document |
| May 16, 2019 Filed May 17, 2019 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | PurchaseClass B Common Stock · Derivative | 100,000 | $0.00 | $280.00 |
DisclosureSEC source: 0001213900-19-009110 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By FinTech Masala Advisors, LLC Disclosed balance after: 100,000 Underlying: Class A Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F5 · kind: Represents transfer of membership interests by Cohen Sponsor Interests III, LLC at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. Read SEC document |
| May 16, 2019 Filed May 17, 2019 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 100,000 | $0.00 | $280.00 |
DisclosureSEC source: 0001213900-19-009110 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests III, LLC Disclosed balance after: 1,320,236 Underlying: Class A Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to new members of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. Read SEC document |
| April 22, 2019 Filed Apr 22, 2019 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 3,334 | $0.00 | $9.34 |
DisclosureSEC source: 0001213900-19-006887 · ownership.xml · derivative · entry 4 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,420,236 Underlying: Class A Common Stock · 3,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F5 · kind: Represents transfer of membership interests by another member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. F6 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors. Read SEC document |
| April 22, 2019 Filed Apr 22, 2019 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 2,500 | $0.00 | $7.00 |
DisclosureSEC source: 0001213900-19-006887 · ownership.xml · derivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,416,902 Underlying: Class A Common Stock · 2,500 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. F6 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors. Read SEC document |
| April 22, 2019 Filed Apr 22, 2019 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 3,334 | $0.00 | $9.34 |
DisclosureSEC source: 0001213900-19-006887 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests III, LLC Disclosed balance after: 1,420,236 Underlying: Class A Common Stock · 3,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F5 · kind: Represents transfer of membership interests by another member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. Read SEC document |
| April 22, 2019 Filed Apr 22, 2019 21:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 2,500 | $0.00 | $7.00 |
DisclosureSEC source: 0001213900-19-006887 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests III, LLC Disclosed balance after: 1,416,902 Underlying: Class A Common Stock · 2,500 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. Read SEC document |
| February 13, 2019 Filed Feb 15, 2019 21:31 UTC | Cohen & Co Inc. COHN · Entity 7376 | GrantCohen & Company, LLC Membership Units · Derivative | 550,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-009056 · a4.xml · derivative · entry 3 COHEN DANIEL G · CIK 0001247745 · Director · Chairman and CE Europe · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,533,557 Underlying: Common Stock, par value $0.01 per share · 55,000 shares Expires not disclosed F1 · derivative.exercise_price: Mr. Cohen was awarded 550,000 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a majority owned subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2020 and expire with respect to the remaining half of the Units on January 31, 2021. Following the expiration of the applicable restrictions on the 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 550,000 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a majority owned subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2020 and expire with respect to the remaining half of the Units on January 31, 2021. Following the expiration of the applicable restrictions on the 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 550,000 restricted membership units ("Units") in Cohen & Company, LLC (the "Operating LLC"), a majority owned subsidiary of Cohen & Co Inc. (the "Company"), under the Company's Second Amended and Restated 2010 Long-Term Incentive Plan, as amended. The restrictions expire with respect to half of the Units on January 31, 2020 and expire with respect to the remaining half of the Units on January 31, 2021. Following the expiration of the applicable restrictions on the 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 · balance_after: 4,983,557 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. F2 · ownership.direct: 4,983,557 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 11, 2019 Filed Feb 11, 2019 22:53 UTC | Bancorp, Inc. TBBK · Entity 4314 | Tax withholdingCommon Stock | 9,740 | $8.51 | $82,887.40 |
DisclosureSEC source: 0001295401-19-000014 · primary_doc.xml · nonDerivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,759 F2 · kind: Shares were sold to pay the taxes due on the vesting of restricted stock units. F4 · price: The Reporting Person sold a total of 9,740 shares at prices ranging from $8.47 to $8.56 for an average price of $8.51. Read SEC document |
| February 11, 2019 Filed Feb 11, 2019 22:53 UTC | Bancorp, Inc. TBBK · Entity 4314 | GrantCommon Stock | 23,337 | $0.00 | $0.00 |
DisclosureSEC source: 0001295401-19-000014 · primary_doc.xml · nonDerivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,499 F1 · price: The Reporting Person was granted restricted stock units, each of which represents the right to receive one share of common stock of The Bancorp, Inc. upon vesting. The restricted stock units shall vest in three equal installments over a period of three years with the first installment vesting on the first anniversary of the date of grant. Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 22:07 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 3,334 | $0.00 | $9.34 |
DisclosureSEC source: 0001213900-19-000760 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,419,402 Underlying: Class A Common Stock · 3,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors. Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 22:07 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 3,334 | $0.00 | $9.34 |
DisclosureSEC source: 0001213900-19-000760 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests III, LLC Disclosed balance after: 1,419,402 Underlying: Class A Common Stock · 3,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. Read SEC document |
| January 08, 2019 Filed Jan 10, 2019 22:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 3,334 | $0.00 | $9.34 |
DisclosureSEC source: 0001213900-19-000541 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,422,736 Underlying: Class A Common Stock · 3,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors. Read SEC document |
| January 08, 2019 Filed Jan 10, 2019 22:02 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 3,334 | $0.00 | $9.34 |
DisclosureSEC source: 0001213900-19-000541 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests III, LLC Disclosed balance after: 1,422,736 Underlying: Class A Common Stock · 3,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfer of membership interests to a new member of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. Read SEC document |
| December 14, 2018 Filed Dec 18, 2018 22:25 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 28,334 | $0.00 | $79.34 |
DisclosureSEC source: 0001213900-18-017522 · ownership.xml · derivative · entry 2 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By DGC Family FinTech Trust Disclosed balance after: 1,426,070 Underlying: Class A Common Stock · 28,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfers of membership interests to new members of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: DGC Family FinTech Trust is an indirect owner of Cohen Sponsor Interests III, LLC, a member of each of the issuer's sponsors. Read SEC document |
| December 14, 2018 Filed Dec 18, 2018 22:25 UTC | Fintech Acquisition Corp. III FTAC · Entity 145836 | OtherClass B Common Stock · Derivative | 28,334 | $0.00 | $79.34 |
DisclosureSEC source: 0001213900-18-017522 · ownership.xml · derivative · entry 1 COHEN DANIEL G · CIK 0001247745 · Chief Executive Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Cohen Sponsor Interests III, LLC Disclosed balance after: 1,426,070 Underlying: Class A Common Stock · 28,334 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F2 · kind: Represents transfers of membership interests to new members of the issuer's sponsors at the original purchase price. F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date. F3 · balance_after: 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 · ownership.nature: 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 the reporting person. 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.