AMENDMENT NO. 3 TO INVESTMENT AGREEMENTInvestment Agreement • September 29th, 2020 • Cohen & Co Inc. • Security brokers, dealers & flotation companies • New York
THIS AMENDMENT NO. 3 TO INVESTMENT AGREEMENT (this “Amendment”), dated as of September 25, 2020 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and Cohen Bros. Financial LLC, a Delaware limited liability company (“Investor”). Capitalized terms used herein but otherwise not defined shall have the meanings ascribed to such terms in the Investment Agreement (as defined below).
COHEN & COMPANY, LLC AMENDMENT NO. 4 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENTLimited Liability Company Agreement • September 29th, 2020 • Cohen & Co Inc. • Security brokers, dealers & flotation companies • Delaware
THIS AMENDMENT NO. 4 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT of Cohen & Company, LLC, dated as of September 25, 2020 (“Amendment No. 4”), is entered into by and among each of the Members set forth on the signature pages hereto.
AMENDMENT NO. 1 TO SENIOR PROMISSORY NOTESenior Promissory Note • September 29th, 2020 • Cohen & Co Inc. • Security brokers, dealers & flotation companies • New York
THIS AMENDMENT NO. 1 TO SENIOR PROMISSORY NOTE (this “Amendment”), dated as of September 25, 2020 (the “Effective Date”), is entered into by and between Cohen & Company 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).
AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • September 29th, 2020 • Cohen & Co Inc. • Security brokers, dealers & flotation companies • Delaware
THIS AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT (this “Amendment”), dated as of September 25, 2020 (the “Effective Date”), is entered into by and among Cohen & Company Inc., a Maryland corporation (the “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 (“DGC Trust”). Each of Parent, the Operating LLC, Mr. Cohen and the DGC Trust may be referred to herein as a “Party,” and, collectively, as the “Parties.” Capitalized terms used herein but not defined shall have the meanings ascribed to such terms in the Purchase Agreement (as defined below).
AMENDMENT NO. 1 TO CONVERTIBLE SENIOR SECURED PROMISSORY NOTEConvertible Senior Secured Promissory Note • September 29th, 2020 • Cohen & Co Inc. • Security brokers, dealers & flotation companies • New York
THIS AMENDMENT NO. 1 TO CONVERTIBLE SENIOR SECURED PROMISSORY NOTE (this “Amendment”), dated as of September 25, 2020 (the “Effective Date”), is entered into by and between Cohen & Company, LLC, a Delaware limited liability company (the “Company”), and the DGC Family Fintech Trust (the “Noteholder”), a trust established by Daniel G. Cohen (“Mr. Cohen”). Each of the Company and the DGC Trust may be referred to herein as a “Party,” and, together, as the “Parties.”
