Cohen & Co Inc. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| DiMaio Jack | — | Award / Grant | 1,000 | — | — | 16,633 | Feb 3, 2021 |
| DAWSON G STEVEN | — | Award / Grant | 1,000 | — | — | 1,000 | Feb 3, 2021 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Award / Grant | 10,000 | — | — | 57,495 | Feb 3, 2021 |
| Brafman Lester Raymond | Chief Executive Officer | Award / Grant | 19,500 | — | — | 315,702 | Feb 3, 2021 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Tax Withholding | 5,954 | $17.25 | $102,707 | 47,495 | Feb 1, 2021 |
| Brafman Lester Raymond | Chief Executive Officer | Tax Withholding | 14,891 | $17.25 | $256,870 | 296,202 | Feb 1, 2021 |
| COHEN DANIEL G | Chairman and CE Europe | Purchase | 10,000 | $16.64 | $166,400 | 54,017 | Dec 4, 2020 |
| COHEN DANIEL G | Chairman and CE Europe | Gift | 20,096 | — | — | 44,017 | Nov 17, 2020 |
| Brafman Lester Raymond | Chief Executive Officer | Award / Grant | 200,000 | — | — | 311,093 | Oct 22, 2020 |
| COHEN DANIEL G | Chairman and CE Europe | Purchase | 2,500 | $19.62 | $49,050 | 78,740 | Aug 14, 2020 |
| DAWSON G STEVEN | — | Sale | 278 | $20.15 | $5,602 | 24,970 | Aug 13, 2020 |
| Brafman Lester Raymond | Chief Executive Officer | Purchase | 1,000 | $20.01 | $20,010 | 111,093 | Aug 13, 2020 |
| Brafman Lester Raymond | Chief Executive Officer | Award / Grant | 50,808 | — | — | 110,093 | Feb 13, 2020 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Award / Grant | 17,321 | — | — | 53,449 | Feb 13, 2020 |
| Brafman Lester Raymond | Chief Executive Officer | Tax Withholding | 10,252 | $3.50 | $35,882 | 59,285 | Jan 31, 2020 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Tax Withholding | 2,948 | $3.50 | $10,318 | 36,128 | Jan 31, 2020 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Sale | 1,000 | $4.50 | $4,500 | 39,076 | Nov 7, 2019 |
| COHEN DANIEL G | Chairman and CE Europe | Purchase | 76,240 | — | — | 76,240 | Oct 2, 2019 |
| Brafman Lester Raymond | Chief Executive Officer | Award / Grant | 27,500 | — | — | 69,537 | Feb 13, 2019 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Award / Grant | 9,375 | — | — | 40,076 | Feb 13, 2019 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Tax Withholding | 3,036 | $8.15 | $24,743 | 41,415 | Jan 31, 2019 |
| Listman Douglas | Chief Accounting Officer | Tax Withholding | 491 | $8.15 | $4,002 | 8,507 | Jan 31, 2019 |
| Brafman Lester Raymond | Chief Exectuive Officer | Tax Withholding | 7,119 | $8.15 | $58,020 | 42,037 | Jan 31, 2019 |
| Haraburda Jack | — | Disposition | 17,555 | $10.00 | $175,550 | 6,274 | Aug 29, 2018 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Award / Grant | 4,785 | — | — | 44,451 | Feb 21, 2018 |
| Brafman Lester Raymond | Chief Executive Officer | Award / Grant | 19,139 | — | — | 349,156 | Feb 21, 2018 |
| COHEN DANIEL G | Chairman and CE Europe | Award / Grant | 40,191 | — | — | 64,113 | Feb 21, 2018 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Tax Withholding | 4,233 | $9.92 | $41,991 | 39,666 | Jan 31, 2018 |
| Listman Douglas | Chief Accounting Officer | Tax Withholding | 444 | $9.92 | $4,404 | 8,998 | Jan 31, 2018 |
| Ricciardi Christopher | — | Purchase | 20,000 | $15.00 | $300,000 | 76,240 | Jan 4, 2018 |
| Ricciardi Stephanie | — | Purchase | 20,000 | $15.00 | $300,000 | 75,000 | Jan 4, 2018 |
| COHEN DANIEL G | Vice Chairman and CE Europe | Sale | 15,881 | $8.00 | $127,048 | 23,922 | Dec 19, 2017 |
| MCENTEE JAMES | — | Disposition | 27,346 | $10.00 | $273,460 | — | Dec 18, 2017 |
| SUBIN NEIL S | — | Award / Grant | 41,667 | — | — | 299,190 | Feb 17, 2017 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Award / Grant | 79,545 | — | — | 439,004 | Feb 17, 2017 |
| Listman Douglas | Chief Accounting Officer | Award / Grant | 25,000 | — | — | 94,420 | Feb 17, 2017 |
| Brafman Lester Raymond | Chief Executive Officer | Award / Grant | 136,364 | — | — | 3,300,171 | Feb 17, 2017 |
| MCENTEE JAMES | — | Award / Grant | 41,667 | — | — | 273,461 | Feb 17, 2017 |
| Liberto Diana Louise | — | Award / Grant | 41,667 | — | — | 103,395 | Feb 17, 2017 |
| Haraburda Jack | — | Award / Grant | 41,667 | — | — | 238,285 | Feb 17, 2017 |
| DiMaio Jack | — | Award / Grant | 41,667 | — | — | 156,332 | Feb 17, 2017 |
| DAWSON G STEVEN | — | Award / Grant | 41,667 | — | — | 103,395 | Feb 17, 2017 |
| Costello Thomas | — | Award / Grant | 41,667 | — | — | 238,485 | Feb 17, 2017 |
| Pooler Joseph W. Jr. | EVP, CFO and Treasurer | Tax Withholding | 27,396 | $1.27 | $34,793 | 359,459 | Jan 31, 2017 |
| Brafman Lester Raymond | Chief Executive Officer | Tax Withholding | 49,595 | $1.27 | $62,986 | 3,163,807 | Jan 31, 2017 |
| DAWSON G STEVEN | — | Award / Grant | 61,728 | — | — | 61,728 | Feb 12, 2016 |
| Liberto Diana Louise | — | Award / Grant | 61,728 | — | — | 61,728 | Feb 12, 2016 |
| SUBIN NEIL S | — | Award / Grant | 61,728 | — | — | 257,523 | Feb 12, 2016 |
| Costello Thomas | — | Award / Grant | 61,728 | — | — | 196,818 | Feb 12, 2016 |
| MCENTEE JAMES | — | Award / Grant | 61,728 | — | — | 231,794 | Feb 12, 2016 |