Notice of Proposed Sale · 144
Cohen & Company Inc
COHNNYSE_AMERICANEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- Cohen & Co Inc.
- Issuer CIK
- 0001270436
- SEC file number
- 001-32026
- Phone
- 215-701-9555
- Person for whose account securities are to be sold
- Pooler Joseph W. Jr.
- Relationships to issuer
- Officer
- Street
- CIRA CENTRE, 2929 ARCH STREET
- Street (continued)
- 17TH FLOOR
- City
- PHILADELPHIA
- State / country code
- PA
- Postal code
- 19104-2870
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 1,500 | 16,871.76 | 3,228,970 | 08/06/2026 | NYSE | Wells Fargo Clearing Services |
Broker / market maker — proposed row 1, entry 1
- Name
- Wells Fargo Clearing Services
- Street
- 1 North Jefferson Avenue
- City
- St. Louis
- State / country code
- MO
- Postal code
- 63103
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 01/31/2021 | Executive Compensation | Issuer | 1,500 | N | 01/31/2021 | N/A |
Sales reported in the preceding three months
| Seller | Security | Sale date | Amount sold | Gross proceeds |
|---|---|---|---|---|
| Joseph Pooler | Cohen & Co., Inc. | 08/05/2026 | 7,295 | 84,408.84 |
Seller — prior-sale row 1, entry 1
- Name
- Joseph Pooler
- Street
- Cira Centre
- Street (continued)
- 2929 Arch Street 17th Floor
- City
- Philadelphia
- State / country code
- PA
- Postal code
- 19104
Prior-sale reporting
- Nothing to report for the preceding three months
- N
Remarks
Shares that were sold were acquired on 01/31/2021, 01/31/2022, 01/31/2024 and 01/31/2025.
Notice signature
- Notice date
- 08/06/2026
- Signed
- Joseph W Pooler Jr.
Company context
Cohen & Company is a financial services company specializing in an expanding range of capital markets and asset management services. Cohen & Company’s operating segments are Capital Markets, Asset Management, and Principal Investing. The Capital Markets segment consists of sales, trading, gestation repo financing, new issue placements in corporate and securitized products, underwriting, and advisory services, operating primarily through Cohen & Company’s subsidiaries, Cohen & Company Securities, LLC (“Cohen Securities”) in the United States and Cohen & Company Financial (Europe) S.A. in Europe. A division of Cohen Securities, Cohen & Company Capital Markets (“CCM”) is the Company’s full-service boutique investment bank providing capital markets and SPAC advisory services to corporations, financial sponsors, investors, and institutions. The Capital Markets business segment also includes investment returns on financial instruments that the Company has received as consideration for investment banking and new issue services provided by CCM. The Asset Management segment manages and services assets through investment funds, managed accounts, joint ventures, and collateralized debt obligations. As of June 30, 2026, the Company had approximately $1.3 billion of assets under management in primarily fixed income assets in a variety of asset classes including European bank and insurance trust preferred securities, debt issued by small and medium sized European, U.S., and Bermudian insur