Form D

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
COWEN INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

  • COWEN GROUP, INC.
  • LEXINGTONPARK PARENT CORP
Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK, NY 10022
Phone Number: subscription required

Item 3. Related Persons

Name
JEFFREY M. SOLOMON
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response
CHIEF EXECUTIVE OFFICER AND DIRECTOR

Item 3. Related Persons

Name
BRETT BARTH
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
KATHERINE E. DIETZE
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
STEVEN KOTLER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
LAWRENCE E. LEIBOWITZ
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JEROME S. MARKOWITZ
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JACK H. NUSBAUM
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
MARGARET L. POSTER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
DOUGLAS A. REDIKER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JOSEPH R. WRIGHT
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JOHN HOLMES
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF OPERATING OFFICER

Item 3. Related Persons

Name
STEPHEN A. LASOTA
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
CHIEF FINANCIAL OFFICER

Item 3. Related Persons

Name
OWEN S. LITTMAN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response
GENERAL COUNSEL AND SECRETARY

Item 4. Industry Group

INVESTMENT BANKING

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
DECLINE TO DISCLOSE

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

New Notice
Date of First Sale in this Offering:
05/01/2019

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
No

Item 9. Type(s) of Securities Offered

  • Debt

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
0

Item 12. Sales Compensation

Recipient
SANDLER, O'NEILL PARTNERS, L.P.
Recipient CRD Number
23328
(Associated) Broker or Dealer)
SANDLER, O'NEILL PARTNERS, L.P.
(Associated) Broker or Dealer CRD Number
23328
Address
1251 AVENUE OF THE AMERICAS
6TH FLOOR
NEW YORK, NY 10020
States of Solicitation
  • ALL STATES

Item 12. Sales Compensation

Recipient
KEEFE, BRUYETTE WOODS, INC.
Recipient CRD Number
481
(Associated) Broker or Dealer)
KEEFE, BRUYETTE WOODS, INC.
(Associated) Broker or Dealer CRD Number
481
Address
787 SEVENTH AVENUE
4TH FLOOR
NEW YORK, NY 10019
States of Solicitation
  • ALL STATES

Item 13. Offering and Sales Amounts

Total Offering Amount
INDEFINITE
Total Amount Sold
53000000
Total Remaining to be Sold
INDEFINITE
Clarification of Response

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
21

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
1235000.0 Is an estimate
Finders' Fees
0.0
Clarification of Response

Item 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response

Signature and Submission

Issuer Name
COWEN INC.
Issuer Signature
OWEN S. LITMAN
Signer Name
OWEN S. LITMAN
Signer Title
SEE EXPALNATION IN ITEM 3
Signature Date
05/28/2019

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