10 unchanged sentences
Issuer Purchases of Equity Securities
−Removed: Cohen & Company Inc.
−Removed: 2020 Long-Term Incentive Plan (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on April 7, 2020).
−Removed: Small Business Association Note, dated May 4, 2020, issued by Cohen & Company, LLC to Fifth Third Bank, National Association, in the aggregate principal amount of $2,165,600 (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on May 7, 2020).
+Added: Total Number of Shares Purchased
+Added: Average Price Paid Per Share
+Added: Total Number of Shares Purchased as Part of Publicly Announced Plans or Programs
+Added: Maximum Dollar Value of Shares that May Yet be Purchased under the Plans or Programs (1)
+Added: July 1, 2020 to July 31, 2020
+Added: August 1, 2020 to August 31, 2020
+Added: September 1, 2020 to September 30, 2020
+Added: Amendment No.
+Added: 1 to Senior Promissory Note, dated September 25, 2020, by and between Cohen & Company Inc.
+Added: and the EBC 2013 Family Trust.
+Added: (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on September 29, 2020).
+Added: Amendment No.
+Added: 3 to Investment Agreement, dated September 25, 2020, by and between Cohen & Company, LLC and Cohen Bros.
+Added: Financial LLC.
+Added: (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed with the SEC on September 29, 2020).
+Added: Amendment No.
+Added: 1 to Securities Purchase Agreement, dated September 25, 2020, by and among Cohen & Company Inc., Cohen & Company, LLC, Daniel G.
+Added: Cohen and the DGC Family Fintech Trust.
+Added: (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed with the SEC on September 29, 2020).
+Added: Amendment No.
+Added: 4 to Amended and Restated Limited Liability Company Agreement, dated September 25, 2020, by and among each of the Members set forth on the signature pages thereto.
+Added: (incorporated by reference to Exhibit 10.4 to the Company’s Current Report on Form 8-K filed with the SEC on September 29, 2020).
+Added: Amendment No.
+Added: 1 to Convertible Senior Secured Promissory Note, dated September 25, 2020, by and between Cohen & Company, LLC and the DGC Family Fintech Trust.
+Added: (incorporated by reference to Exhibit 10.5 to the Company’s Current Report on Form 8-K filed with the SEC on September 29, 2020).
+Added: Amendment No.
+Added: 4 to Investment Agreement, dated October 9, 2020, by and between Cohen & Company, LLC and Cohen Bros.
+Added: Financial LLC.
+Added: (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on October 15, 2020).
+Added: Loan Agreement, dated October 28, 2020, by and among Cohen & Company Inc., Cohen & Company, LLC, J.V.B.
+Added: Financial Group Holdings, LP, J.V.B.
+Added: Financial Group, LLC, C&Co PrinceRidge Holdings, LP and Byline Bank(incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on October 30, 2020).
+Added: Revolving Note and Cash Subordination Agreement, dated October 28, 2020, by and between J.V.B.
+Added: Financial Group, LLC and Byline Bank (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed with the SEC on October 30, 2020).
Certification of the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, as amended.*
3 unchanged sentences
Interactive data files pursuant to Rule 405 of Regulation S-T:
−Removed: (i) the Consolidated Balance Sheets at June 30, 2020 and December 31, 2019 , (ii) the Consolidated Statements of Operations and Comprehensive Income (Loss) for the Three and Six Months Ended June 30, 2020 and 2019 , (iii) the Consolidated Statements of Changes in Equity for the Six Months Ended June 30, 2020 and 2019 , (iv) the Consolidated Statements of Cash Flows for the Six Months Ended June 30, 2020 and 2019 , and (v) Notes to Consolidated Financial Statements.**
+Added: (i) the Consolidated Balance Sheets at September 30, 2020 and December 31, 2019 , (ii) the Consolidated Statements of Operations and Comprehensive Income (Loss) for the Three and Nine Months Ended September 30, 2020 and 2019 , (iii) the Consolidated Statements of Changes in Equity for the Nine Months Ended September 30, 2020 and 2019 , (iv) the Consolidated Statements of Cash Flows for the Nine Months Ended September 30, 2020 and 2019 , and (v) Notes to Consolidated Financial Statements.**
Filed herewith.
3 unchanged sentences
/s/ LESTER R.
−Removed: August 7, 2020
+Added: November 6, 2020
Chief Executive Officer
1 unchanged sentence
/s/ JOSEPH W.
−Removed: August 7, 2020
+Added: November 6, 2020
Executive Vice President, Chief Financial Officer, and Treasurer
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.