Current Report Filing (8-k)
07 August 2020 - 10:17PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 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):
August 7, 2020
COHEN & COMPANY INC.
(Exact name of registrant as specified in
its charter)
Maryland
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1-32026
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16-1685692
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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Cira Centre
2929 Arch Street, Suite 1703
Philadelphia, Pennsylvania
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19104
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including
area code: (215) 701-9555
Not Applicable
(Former name or former address, if changed
since last report.)
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 (see General Instruction
A.2. below):
¨
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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¨
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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¨
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, par value $0.01 per share
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COHN
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The NYSE American Stock Exchange
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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 ¨
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. ¨
Item 2.02
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Results of Operations and Financial Condition.
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On August 7, 2020, Cohen & Company Inc., a Maryland
corporation (the “Company”), issued a press release announcing the Company’s financial results for the second
quarter ended June 30, 2020. A copy of the earnings release is attached to this report as Exhibit 99.1.
The information hereunder shall not be deemed to
be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or
otherwise subject to the liabilities of that section, nor shall it be incorporated by reference into a filing under the Securities
Act of 1933, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.
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Item
9.01
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Financial
Statements and Exhibits.
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(d) Exhibits.
*
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Filed electronically herewith.
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SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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COHEN & COMPANY INC.
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Date: August 7, 2020
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By:
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/s/ Joseph W. Pooler, Jr.
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Name:
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Joseph W. Pooler, Jr.
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Title:
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Executive Vice President, Chief Financial Officer and Treasurer
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