Form D
View Original Filing
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
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)
Clarification of Response
Item 3. Related Persons
Name
KATHERINE E. DIETZE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
STEVEN KOTLER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
LAWRENCE E. LEIBOWITZ
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JEROME S. MARKOWITZ
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JACK H. NUSBAUM
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MARGARET L. POSTER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
DOUGLAS A. REDIKER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOSEPH R. WRIGHT
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOHN HOLMES
Address
subscription required
Relationship(s)
Clarification of Response
CHIEF OPERATING OFFICER
Item 3. Related Persons
Name
STEPHEN A. LASOTA
Address
subscription required
Relationship(s)
Clarification of Response
CHIEF FINANCIAL OFFICER
Item 3. Related Persons
Name
OWEN S. LITTMAN
Address
subscription required
Relationship(s)
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
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
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
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