Form D · Investment Banking
COWEN INC.
New York, NY · CIK 0001466538
Offering snapshot reported May 28, 2019 · SEC filing
- Reported sold
- $53M Indefinite offering
- Investors reported
- 21 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 1, 2019 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 28, 2019 | Initial | $53,000,000 | No comparison | 21 | SEC filing |
Offering details
- Securities
- Debt
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1.24M (estimated)
- Finders' fees
- $0
- Form D file number
- 021-340489
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Sandler, O'Neill & Partners, L.P. | 23328 | Sandler, O'Neill & Partners, L.P. · CRD 23328 |
| Keefe, Bruyette & Woods, Inc. | 481 | Keefe, Bruyette & Woods, Inc. · CRD 481 |
Source: Form D, filed May 28, 2019. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No matching detailed fund disclosure was found in the latest imported ADV filings. This does not establish that the issuer has no adviser.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Brett Barth | Director |
| Katherine E. Dietze | Director |
| John Holmes | Executive |
| Steven Kotler | Director |
| Stephen A. Lasota | Executive |
| Lawrence E. Leibowitz | Director |
| Owen S. Littman | Executive |
| Jerome S. Markowitz | Director |
| Jack H. Nusbaum | Director |
| Margaret L. Poster | Director |
| Douglas A. Rediker | Director |
| Jeffrey M. Solomon | Director, Executive |
| Joseph R. Wright | Director |
Issuer details
Industry: Investment Banking (See others in industry)
Address:
599 Lexington Avenue, 20 Th Floor
New York, NY, 10022
Phone: 212-845-7900
New York, NY, 10022
Phone: 212-845-7900