EBC 2013 FAMILY TRUST SECURITY AND PLEDGE AGREEMENTSecurity and Pledge Agreement • September 30th, 2013 • Cohen Daniel G • Security brokers, dealers & flotation companies • Florida
SECURITY AND PLEDGE AGREEMENT (the “Agreement”) dated as of the 24th day of September, 2013, by and between RAPHAEL LICHT, DANIEL G. COHEN and JEFFREY D. BLOMSTROM, as Trustees of a trust dated as of September 23, 2013, having EDWARD E. COHEN and BETSY Z. COHEN as the Grantors and known as the “EBC 2013 FAMILY TRUST” (the “Purchaser”), and EDWARD E. COHEN and BETSY Z. COHEN (collectively, the “Secured Party”).
VOTING AGREEMENTVoting Agreement • May 14th, 2013 • Cohen Daniel G • Security brokers, dealers & flotation companies • New York
THIS VOTING AGREEMENT, dated as of May 9, 2013 (this “Agreement”), is made by Daniel G. Cohen (the “Shareholder”) for the benefit of Institutional Financial Markets, Inc., a Maryland corporation (the “Company”), pursuant to the Securities Purchase Agreement (the “Securities Purchase Agreement”), dated of even date herewith, by and among the Company, Mead Park Holdings, LP, and Mead Park Capital Partners LLC (the “Buyer”). Capitalized terms used but not defined herein shall have the meanings given to such terms in the Securities Purchase Agreement.
AMENDMENT NO. 1 TO CONVERTIBLE SENIOR PROMISSORY NOTEConvertible Senior Promissory Note • September 26th, 2018 • Cohen Daniel G • Security brokers, dealers & flotation companies • New York
THIS AMENDMENT NO. 1 TO CONVERTIBLE SENIOR PROMISSORY NOTE (this “Amendment”), dated as of the 25th day of September, 2018 (the “Effective Date”), is entered into by and between Cohen & Company Inc. (formerly Institutional Financial Markets, Inc.), a Maryland corporation (the “Company”), and the EBC 2013 Family Trust (the “Noteholder”). Capitalized terms used herein but otherwise not defined shall have the meanings ascribed to such terms in the Note (as defined below).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • January 6th, 2020 • Cohen Daniel G • Security brokers, dealers & flotation companies • Delaware
This SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of December 30, 2019 (the “Effective Date”), is entered into by and among Cohen & Company Inc., a Maryland corporation (“Parent”), Cohen & Company, LLC, a Delaware limited liability company and a subsidiary of Parent (the “Operating LLC”), Daniel G. Cohen, an individual (“Mr. Cohen”), and The DGC Family Fintech Trust, a trust established by Mr. Cohen (the “DGC Trust” and together with Mr. Cohen, “Buyer”). Each of Parent, the Operating LLC, Mr. Cohen and the DGC Trust may be referred to herein, individually, as a “Party,” and, collectively, as the “Parties.”
PURCHASE AGREEMENTPurchase Agreement • October 4th, 2019 • Cohen Daniel G • Security brokers, dealers & flotation companies • New York
This PURCHASE AGREEMENT (this “Agreement”), dated as of October 2, 2019 (the “Effective Date”), is entered into by and among Cohen Bros. Financial, LLC, a Delaware limited liability company (“Buyer”), Christopher Ricciardi, an individual (“C. Ricciardi”), and Stephanie Ricciardi, an individual (“S. Ricciardi”). C. Ricciardi and S. Ricciardi may be referred to herein, individually, as a “Seller” and, together, as “Sellers.”
