SEC Info - Cowen Inc. - ‘8-K’ for 1/26/21

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Cowen Inc. – ‘8-K’ for 1/26/21

On: Tuesday, 1/26/21, at 4:11pm ET · For: 1/26/21 · Accession #: 1466538-21-4 · File #: 1-34516

  As Of               Filer                 Filing    For·On·As Docs:Size

 1/26/21  Cowen Inc.                        8-K:8,9     1/26/21   13:260K

Current Report — Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     29K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML      9K 
 9: R1          Document and Entity Information                     HTML     54K 
11: XML         IDEA XML File -- Filing Summary                      XML     12K 
 8: XML         XBRL Instance -- cown-20210126_htm                   XML     31K 
10: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 4: EX-101.CAL  XBRL Calculations -- cown-20210126_cal               XML      7K 
 5: EX-101.DEF  XBRL Definitions -- cown-20210126_def                XML     46K 
 6: EX-101.LAB  XBRL Labels -- cown-20210126_lab                     XML     94K 
 7: EX-101.PRE  XBRL Presentations -- cown-20210126_pre              XML     45K 
 3: EX-101.SCH  XBRL Schema -- cown-20210126                         XSD     14K 
12: JSON        XBRL Instance as JSON Data -- MetaLinks               15±    22K 
13: ZIP         XBRL Zipped Folder -- 0001466538-21-000004-xbrl      Zip     18K

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

iX: C: C:

cown-20210126

i 0001466538 i FALSE00014665382021-01-262021-01-260001466538exch:XNMSus-gaap:CommonClassAMember2021-01-262021-01-260001466538cown:A2027NotesMemberexch:XNMS2021-01-262021-01-260001466538cown:A2033NotesMemberexch:XNMS2021-01-262021-01-26

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM i 8-K

Current Report

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): i January 26, 2021

i COWEN INC.

(Exact Name of Registrant as Specified in Charter)

i Delaware

i 001-34516

i 27-0423711

(State or Other Jurisdiction of Incorporation)

(Commission File Number)

(I.R.S. Employer

Identification No.)

i 599 Lexington Avenue

i New York, i NY i 10022

(Address of Principal Executive Offices and Zip Code)

Registrant’s telephone number, including area code: ( i 212) i 845-7900

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


i ☐			Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


i ☐			Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


i ☐			Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


i ☐			Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company i ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of Each Class

Trading Symbol

Name of Exchange on Which Registered

i Class A Common Stock, par value $0.01 per share

i COWN

i The Nasdaq Global Market

i 7.35% Senior Notes due 2027

i COWNZ

i The Nasdaq Global Market

i 7.75% Senior Notes due 2033

i COWNL

i The Nasdaq Global Market

Item 8.01 Other Events.

On January 26, 2021, Cowen Inc. (the “Company”) issued a press release announcing that the Company’s Board of Directors has declared a quarterly cash dividend of $14.06 per share on the Company’s 5.625% Series A Cumulative Perpetual Convertible Preferred Stock. The dividend payment will be made on February 16, 2021, to the holders of record at the close of business on February 1, 2021.

A copy of the press release is attached hereto at Exhibit 99.1.

Item 9.01. Financial Statements and Exhibits.


(d)						Exhibit

99.1						Press Release issued by the Company on January 26, 2021.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

COWEN INC.


Dated: January 26, 2021	By:	/s/ *Owen S. Littman*
	Name:	Owen S. Littman
	Title:	General Counsel

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

	2/16/21	4, SC 13G/A
	2/1/21
Filed on / For Period end:	1/26/21
		List all Filings

3 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/04/21  Cowen Inc.                        S-8         8/04/21    3:140K
 2/26/21  Cowen Inc.                        S-3/A                  3:623K                                   Toppan Merrill/FA
 2/26/21  Cowen Inc.                        S-3/A                  3:623K                                   Toppan Merrill/FA

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Filing Submission 0001466538-21-000004 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Cowen Inc. – ‘8-K’ for 1/26/21

On: Tuesday, 1/26/21, at 4:11pm ET · For: 1/26/21 · Accession #: 1466538-21-4 · File #: 1-34516

Previous ‘8-K’: ‘8-K’ on / for 10/27/20 · Next: ‘8-K’ on / for 2/11/21 · Latest: ‘8-K’ on / for 3/1/23 · 3 References: By: Cowen Inc. – ‘S-8’ on 8/4/21 By: Cowen Inc. – ‘S-3/A’ on 2/26/21 By: Cowen Inc. – ‘S-3/A’ on 2/26/21

Current Report — Form 8-KFiling Table of Contents

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

Dates Referenced Herein and Documents Incorporated by Reference

3 Subsequent Filings that Reference this Filing

Previous ‘8-K’: ‘8-K’ on / for 10/27/20 · Next: ‘8-K’ on / for 2/11/21 · Latest: ‘8-K’ on / for 3/1/23 · 3 References:

Current Report — Form 8-K
Filing Table of Contents