Welcome to our dedicated page for Cohen Company SEC filings (Ticker: COHN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Cohen & Company Inc (COHN) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. Cohen & Company is a Maryland corporation with its common stock listed on the NYSE American, and it reports under Commission File Number 1-32026. Its filings give detailed insight into the performance and structure of its Capital Markets, Asset Management, and Principal Investing segments.
Investors can review Current Reports on Form 8-K that Cohen & Company files to announce material events. Recent 8-K filings have covered quarterly financial results, including revenue, net income, and segment performance, as well as special common stock dividends. Other 8-Ks discuss SPAC-related transactions, such as business combination agreements and closings involving sponsored SPACs, the conversion and transfer restrictions of founder shares, and the impact of these transactions on the company’s holdings. Additional 8-Ks address items like amendments to loan agreements and the sale of legacy Alesco CDO management contracts.
Through this page, users can also locate references to the company’s periodic reports, such as Forms 10-Q and 10-K, which are cited in 8-Ks for more detailed financial statements, risk factors, and management’s discussion and analysis. These filings explain how Cohen & Company’s fixed income trading, new issue and advisory activities, asset management mandates, and principal investments contribute to its financial condition and results of operations.
Stock Titan enhances these documents with AI-powered summaries that highlight key points from lengthy filings, helping readers quickly understand the significance of earnings releases, special dividends, SPAC transactions, and financing arrangements. Real-time updates from EDGAR, combined with structured access to exhibits and Form 4 insider-related information where available, make this page a practical starting point for analyzing COHN’s regulatory disclosures.
Cohen & Co Inc. insider Mr. Cohen, who serves as Executive Chairman, director, and a 10% owner, reported an equity award and updated holdings. On 12/19/2025, he received 211,000 restricted membership units in Cohen & Company, LLC, a subsidiary, under the 2020 Long-Term Incentive Plan. The restrictions lapse in three equal parts on January 31, 2027, January 31, 2028, and January 31, 2029.
After each tranche vests, Mr. Cohen may have the units redeemed by the subsidiary for either cash or one share of Cohen & Co Inc. common stock for every ten units, at the company’s option. Following this grant, he reports 22,725,822 derivative securities held directly, 82,757 common shares held directly, and 80,000 common shares held indirectly through the EBC 2013 Family Trust, along with 5,252,002 membership units in the subsidiary owned by Cohen Bros. Financial, LLC, of which he is the sole member.
Cohen & Company Inc. director Ms. Liberto reported receiving an equity award of common stock in the company. On 12/19/2025, she was awarded 2,300 shares of Cohen & Company Inc. common stock, par value $0.01 per share, at a stated price of $0.00 per share. The award was granted under the Company's 2020 Long-Term Incentive Plan, as amended. Following this transaction, Ms. Liberto beneficially owned 17,938 shares of Cohen & Company Inc. common stock in direct ownership.
Cohen & Co Inc. reported an insider equity award for its Chief Executive Officer. On 12/19/2025, CEO Daniel Brafman received 211,000 restricted membership units in Cohen & Company, LLC under the company’s 2020 Long-Term Incentive Plan. These units vest in three equal installments on January 31, 2027, January 31, 2028 and January 31, 2029.
After each vesting date, Mr. Brafman may cause the LLC to redeem vested units for either cash or, at the company’s option, one share of common stock for every ten units. Following this award, he beneficially owns 315,702 shares of Cohen & Co Inc. common stock directly and 1,599,316 derivative securities linked to the company’s common stock.
Cohen & Co Inc. reported an equity award for Chief Accounting Officer Douglas Listman. On 12/19/2025, he acquired 12,000 shares of common stock at a price of $0.00 per share, reflecting a grant rather than an open-market purchase. After this transaction, he beneficially owned 32,186 common shares directly.
The award consists of restricted shares granted under the Company’s 2020 Long-Term Incentive Plan. The restrictions on these shares are scheduled to lapse in three equal installments, with one-third vesting on January 31, 2027, one-third on January 31, 2028, and the final third on January 31, 2029, aligning the officer’s compensation with longer-term company performance.
Cohen & Company Inc. executive Joseph W. Pooler, Jr., who serves as EVP, CFO and Treasurer, reported an equity grant from the company. On December 19, 2025, he was awarded 15,500 restricted shares of common stock at a price of $0.00 per share under the company’s 2020 Long-Term Incentive Plan. Following this grant, he beneficially owns 82,942 shares of Cohen & Company common stock on a direct basis.
The restrictions on the 15,500 restricted shares are scheduled to lapse in equal installments over three years. One-third of the award will vest on January 31, 2027, another third on January 31, 2028, and the final third on January 31, 2029, aligning the executive’s compensation with longer-term company performance.
Cohen & Company Inc.12/19/2025, he was granted 2,300 shares of Cohen & Company Inc. common stock, par value $0.01 per share, under the Company’s 2020 Long-Term Incentive Plan, as amended. The award was recorded at a price of $0.00 per share, reflecting a stock grant rather than a purchase for cash. Following this transaction, Mr. Haraburda beneficially owned 13,884 shares of Cohen & Company Inc. common stock, held as a direct ownership position.
Cohen & Company Inc. reported receiving 2,151,666 Class B ordinary shares of Columbus Circle Capital Corp. I through a sponsor distribution made on December 3, 2025 for no consideration. The distribution came from Columbus Circle 1 Sponsor Corp, which transferred a total of 8,245,833 Class B ordinary shares and 265,000 private placement units to its members and certain related members.
The Class B ordinary shares will automatically convert into Class A ordinary shares upon the issuer’s initial business combination and are subject to time- and price-based vesting and a six-month transfer lock-up after that closing under existing agreements. Following the transaction, Cohen & Company entities beneficially owned 2,239,166 Class B ordinary shares, including 87,500 shares held by the sponsor over which Cohen & Company, LLC has voting and investment discretion, while both Cohen and Cohen LLC disclaim beneficial ownership beyond any pecuniary interest.
Cohen & Company Inc. reported the closing of a previously announced SPAC business combination involving Columbus Circle Capital Corp. I and ProCap BTC, LLC, with ProCap Financial, Inc. as the go-forward company. At closing on December 5, 2025, the SPAC and ProCap BTC merged into subsidiaries of ProCap Financial, whose common stock and warrants began trading on The Nasdaq Global Market under the symbols “BRR” and “BRRWW” on December 8, 2025.
The SPAC sponsor, in which Cohen’s operating subsidiary is the managing member, had held 8,333,333 founder shares that were converted into ProCap Financial common stock. These ProCap Shares are subject to transfer restrictions that end at the earlier of the second anniversary of closing, the stock trading at or above $10.21 for 20 days within 30 trading days, or Bitcoin’s volume‑weighted average price reaching $140,000 over a specified 120‑hour period. Cohen’s Operating LLC received approximately 2,150,000 ProCap Financial shares, and certain executives and key employees also received shares previously held by the sponsor.
Lester R. Brafman has filed Amendment No. 5 to his Schedule 13D for Cohen & Co Inc., updating his reported ownership of the company’s common stock. He now reports beneficial ownership of 315,702 shares, representing 15.51% of the outstanding common stock, based on 2,035,863 shares outstanding as of November 28, 2025.
The filing explains that this total includes 40,000 restricted shares granted under the company’s 2020 Long-Term Incentive Plan, whose restrictions will expire on January 31, 2026. When those restrictions lapse, Brafman will have full voting and dispositive power over these 40,000 shares, and he is therefore deemed the beneficial owner of them within 60 days of the filing date.
Daniel G. Cohen reports an updated beneficial ownership position in Cohen & Company Inc., reflecting control of 4,375,648 shares of common stock, or 77.41% of the class based on the company’s stated share count and redeemable units. This includes shares he holds directly, through entities he controls, and through family trusts.
The update also captures equity awards granted under the 2020 Long-Term Incentive Plan. A total of 1,011,000 restricted LLC units will have restrictions lapse on January 31, 2026, allowing redemption into 101,100 shares of common stock at a 10-to-1 unit-to-share ratio. Because these units are redeemable within 60 days of the reporting date, the related shares are treated as beneficially owned, further consolidating Cohen’s majority position.