Cohen & Co Inc. Contracts & Agreements

207 Contracts & Agreements
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Filed
Master Transaction Agreement, dated March 13, 2025, by and between Cohen and Company Financial Management, LLC and HCMC III, LLC
Management Agreements
Cohen & Co Inc.
Capital Markets
2025
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
Cohen & Co Inc.
Capital Markets
2025
Redemption Agreement, dated September 23, 2024 and effective September 1, 2024, by and between Cohen & Company, LLC and JKD Capital Partners I LTD
Cohen & Co Inc.
Capital Markets
NY
2024
Senior Promissory Note, dated September 1, 2024, issued by Cohen & Company, LLC to JKD Capital Partners I LTD in the aggregate principal amount of $5,145,926.67
Note Agreements
Cohen & Co Inc.
Capital Markets
2024
Second Amendment to Third Amended and Restated Loan Agreement, dated June 18, 2024, by and between J.V.B. Financial Group, LLC and Byline Bank
Loan Agreements
Cohen & Co Inc.
Capital Markets
IL
2024
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
Cohen & Co Inc.
Capital Markets
2024
Supplemental Indenture No. 1 to Junior Subordinated Indenture, dated January 26, 2024, by and between Cohen & Company Inc. and Wells Fargo Bank, N.A
Indenture Agreements
Cohen & Co Inc.
Capital Markets
NY
2024
Amendment No. 1 to Amended and Restated Senior Promissory Note, dated January 5, 2024, by and between Cohen & Company, LLC and JKD Capital Partners I LTD
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2024
Section 382 Rights Agreement, dated as of January 2, 2024, between Cohen & Company Inc. and Computershare Inc
Cohen & Co Inc.
Capital Markets
MD
2024
First Amendment to Third Amended and Restated Loan Agreement, dated December 22, 2023, by and between J.V.B. Financial Group, LLC and Byline Bank
Loan Agreements
Cohen & Co Inc.
Capital Markets
IL
2023
Equity Distribution Agreement, dated October 5, 2023, by and between Cohen & Company Inc. and Northland Capital Markets
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
MN
2023
Third Amended and Restated Loan Agreement, dated June 9, 2023, by and between J.V.B. Financial Group, LLC and Byline Bank
Loan Agreements
Cohen & Co Inc.
Capital Markets
NY
2023
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
Cohen & Co Inc.
Capital Markets
2023
Amendment No. 2 to Investment Agreement, date February 13, 2023, by and between Cohen and Company, LLC and JKD Capital Partners I LTD
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2023
Second Amended and Restated Revolving Note and Cash Subordination Agreement, dated December 21, 2022, by and between J.V.B. Financial Group, LLC and Byline Bank
Subordination Agreement
Cohen & Co Inc.
Capital Markets
IL
2022
Amendment No. 1 to Amended and Restated Employment Agreement, dated May 24, 2022, by and among Cohen & Company Inc., Cohen & Company, LLC, Daniel G. Cohen, J.V.B. Financial Group...
Employment Agreements
Cohen & Co Inc.
Capital Markets
NY
2022
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
Cohen & Co Inc.
Capital Markets
2022
Note Purchase Agreement, dated January 31, 2022, by and between Cohen & Company, LLC and JKD Capital Partners I LTD
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2022
Amended and Restated Senior Promissory Note, dated January 31, 2022, issued by Cohen & Company, LLC to JKD Capital Partners I LTD in the aggregate principal amount of $4,500,000
Note Agreements
Cohen & Co Inc.
Capital Markets
2022
Amendment No. 5 to Amended and Restated Limited Liability Company Agreement, dated December 20, 2021, by and among each of the Members set forth on the signature pages thereto
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2021
Amended and Restated Revolving Note and Cash Subordination Agreement, dated December 21, 2021, by and between J.V.B. Financial Group, LLC and Byline Bank, Inc
Subordination Agreement
Cohen & Co Inc.
Capital Markets
IL
2021
Form of Indemnification Agreement by and between Cohen & Company Inc. and each of its directors and officers
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
MD
2021
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
Cohen & Co Inc.
Capital Markets
2021
Form of Restricted Stock Award under Cohen & Company Inc. 2020 Long-Term Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2021
Amendment No. 3 to Employment Agreement, dated February 3, 2021, by and between Cohen & Company, LLC and Joseph W. Pooler, Jr
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2021
Equity Distribution Agreement, dated December 1, 2020, by and between Cohen & Company Inc. and Northland Capital Markets
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
MN
2020
Subscription Agreement, dated November 24, 2020, by and among INSU Acquisition Corp. II and Cohen & Company LLC, as subscriber
Subscription Agreements
Cohen & Co Inc.
Capital Markets
2020
Sponsor Share Cancellation and Vesting Agreement, dated as of November 24, 2020, by and among INSU Acquisition Corp. II and Sponsor
Stock Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Loan Agreement, dated October 28, 2020, by and among Cohen & Company Inc., Cohen & Company, LLC, J.V.B. Financial Group Holdings, LP, J.V.B. Financial Group, LLC, C&Co PrinceRidge...
Loan Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Revolving Note and Cash Subordination Agreement, dated October 28, 2020, by and between J.V.B. Financial Group, LLC and Byline Bank, Inc
Subordination Agreement
Cohen & Co Inc.
Capital Markets
IL
2020
Amendment No. 4 to Investment Agreement, dated October 9, 2020, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2020
Amendment No. 1 to Senior Promissory Note, dated September 25, 2020, by and between Cohen & Company Inc. and the EBC 2013 Family Trust
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2020
Amendment No. 3 to Investment Agreement, dated September 25, 2020, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2020
Amendment No. 1 to Securities Purchase Agreement, dated September 25, 2020, by and among Cohen & Company Inc., Cohen & Company, LLC, Daniel G. Cohen and the DGC Family Fintech...
Purchase Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Amendment No. 4 to Amended and Restated Limited Liability Company Agreement, dated September 25, 2020, by and among each of the Members set forth on the signature pages thereto
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Amendment No. 1 to Convertible Senior Secured Promissory Note, dated September 25, 2020, by and between Cohen & Company, LLC and the DGC Family Fintech Trust
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2020
U.S. Small Business Association Note, dated May 4, 2020, issued by Cohen & Company, LLC to Fifth Third Bank, National Association, in the aggregate principal amount of $2,165,600
Note Agreements
Cohen & Co Inc.
Capital Markets
2020
Cohen & Company Inc. 2020 Long-Term Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2020
Section 382 Rights Agreement, dated as of March 10, 2020, between Cohen & Company Inc. and Computershare Inc
Cohen & Co Inc.
Capital Markets
NJ
2020
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934
Cohen & Co Inc.
Capital Markets
2020
Cohen & Company Inc. Non-Qualified Deferred Compensation Plan
Compensation Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Note Purchase Agreement, dated as of January 31, 2020, by and among Cohen & Company, LLC, JKD Capital Partners I LTD and RN Capital Solutions LLC
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2020
Senior Promissory Note, dated January 31, 2020, issued by Cohen & Company, LLC to JKD Capital Partners I LTD in the aggregate principal amount of $2,250,000
Note Agreements
Cohen & Co Inc.
Capital Markets
2020
Senior Promissory Note, dated January 31, 2020, issued by Cohen & Company, LLC to RN Capital Solutions LLC in the aggregate principal amount of $2,250,000
Note Agreements
Cohen & Co Inc.
Capital Markets
2020
Securities Purchase Agreement, dated as of December 30, 2019, by and among Cohen & Company Inc., Cohen & Company, LLC, Daniel G. Cohen and the DGC Family Fintech Trust
Purchase Agreements
Cohen & Co Inc.
Capital Markets
DE
2019
Amendment No. 2 to Investment Agreement, dated as of December 4, 2019 and effective as of October 1, 2019, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2019
Amendment No. 2 to Investment Agreement, dated as of December 4, 2019 and effective as of October 1, 2019, by and between Cohen & Company, LLC and the DGC Family Fintech Trust
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2019
Amendment No. 3 to Amended and Restated Limited Liability Company Agreement, dated October 30, 2019, by and among each of the Members set forth on the signature pages thereto
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2019
Senior Promissory Note, dated September 25, 2019, issued by Cohen & Company Inc. to Pensco Trust Company, Custodian fbo Edward E. Cohen IRA in the aggregate principal amount of...
Note Agreements
Cohen & Co Inc.
Capital Markets
2019
Senior Promissory Note, dated September 25, 2019, issued by Cohen & Company Inc. to the EBC 2013 Family Trust in the aggregate principal amount of $2,400,000
Note Agreements
Cohen & Co Inc.
Capital Markets
2019
Amendment No. 1 to Investment Agreement, dated as of September 25, 2019 and effective as of October 1, 2019, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2019
Amendment No. 1 to Investment Agreement, dated as of September 25, 2019 and effective as of October 1, 2019, by and between Cohen & Company, LLC and the DGC Family Fintech Trust
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2019
Amendment No. 1 to Investment Agreement, dated as of March 6, 2019, by and between Cohen & Company, LLC and JKD Capital Partners I LTD
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2019
First Amendment to Loan Agreement, by and among Cohen & Company Inc., Cohen & Company, LLC, J.V.B. Financial Group Holdings, LP, C&Co PrinceRidge Holdings, LP, dated January 29,...
Loan Agreements
Cohen & Co Inc.
Capital Markets
2019
Revolving Note and Cash Subordination Agreement, dated as of January 29, 2019, by and among Cohen & Company Inc., Cohen & Company, LLC, J.V.B. Financial Group, LLC, J.V.B....
Subordination Agreement
Cohen & Co Inc.
Capital Markets
IL
2019
Warehousing Credit and Security Agreement, dated as of November 20, 2018, by and between ViaNova Capital Group LLC and LegacyTexas Bank
Credit Agreements
Cohen & Co Inc.
Capital Markets
TX
2018
Amendment No. 1 to Convertible Senior Promissory Note, dated September 25, 2018, by and between Cohen & Company Inc. and the Edward E. Cohen IRA
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2018
Amendment No. 1 to Convertible Senior Promissory Note, dated September 25, 2018, by and between Cohen & Company Inc. and the EBC 2013 Family Trust
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2018
Loan Agreement, dated as of April 25, 2018, by and among Cohen & Company Inc., Cohen & Company, LLC, J.V.B. Financial Group, LLC, J.V.B. Financial Group Holdings, LP,...
Loan Agreements
Cohen & Co Inc.
Capital Markets
IL
2018
Investment Agreement, dated September 29, 2017, by and between Cohen & Company, LLC and Cohen Bros. Financial LLC
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2017
Investment Agreement, dated September 29, 2017, by and between Cohen & Company, LLC and the DGC Family Fintech Trust
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2017
SECURITIES PURCHASE AGREEMENT
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2017
CONVERTIBLE SENIOR SECURED PROMISSORY NOTE
Note Agreements
Cohen & Co Inc.
Capital Markets
2017
C&Co Europe Acquisition LLC c/o Erica Delforno The Bancorp 712 Fifth Avenue, 11th Floor New York, NY 10019
Cohen & Co Inc.
Capital Markets
2017
INVESTMENT AGREEMENT
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2016
INSTITUTIONAL FINANCIAL MARKETS, INC. and COMPUTERSHARE INC. as Rights Agent Section 382 Rights Agreement Dated as of August 3, 2016
Cohen & Co Inc.
Capital Markets
DE
2016
TERMINATION AND RELEASE AGREEMENT
Termination Agreements
Cohen & Co Inc.
Capital Markets
NY
2015
Institutional Financial Markets, Inc. 2929 Arch Street, 17th Floor Philadelphia, PA 19104-2868
Cohen & Co Inc.
Capital Markets
2015
Institutional Financial Markets, Inc. 2929 Arch Street, 17th Floor Philadelphia, PA 19104-2868
Cohen & Co Inc.
Capital Markets
2015
SHARE PURCHASE AGREEMENT
Stock Agreements
Cohen & Co Inc.
Capital Markets
NY
2014
GUARANTY AGREEMENT
Guaranty Agreements
Cohen & Co Inc.
Capital Markets
NY
2014
SECOND AMENDED AND RESTATED INSTITUTIONAL FINANCIAL MARKETS, INC. 2010 LONG-TERM INCENTIVE PLAN Non-Qualified STOCK OPTION AWARD
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2014
SECOND AMENDED AND RESTATED INSTITUTIONAL FINANCIAL MARKETS, INC. 2010 LONG-TERM INCENTIVE PLAN Non-Qualified STOCK OPTION AWARD
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2014
SECURITIES PURCHASE AGREEMENT
Purchase Agreements
Cohen & Co Inc.
Capital Markets
DE
2014
SECOND AMENDED AND RESTATED INSTITUTIONAL FINANCIAL MARKETS, INC. 2010 LONG-TERM INCENTIVE PLAN SECOND AMENDED AND RESTATED INSTITUTIONAL FINANCIAL MARKETS, INC. 2010 LONG-TERM...
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2013
Omega Advisors, Inc. 88 Pine Street Wall Street Plaza 31st Floor New York, NY 10005 October 28, 2013
Cohen & Co Inc.
Capital Markets
NY
2013
EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
INSTITUTIONAL FINANCIAL MARKETS, INC. and COMPUTERSHARE SHAREOWNER SERVICES LLC as Rights Agent Section 382 Rights Agreement Dated as of May 9, 2013 TABLE OF CONTENTS
Services Agreements
Cohen & Co Inc.
Capital Markets
NJ
2013
SECURITIES PURCHASE AGREEMENT
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
SECURITIES PURCHASE AGREEMENT
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
REGISTRATION RIGHTS AGREEMENT
Registration Rights Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
PREFERRED STOCK EXCHANGE AGREEMENT
Exchange Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
IFMI, LLC AMENDMENT NO. 2 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2013
AMENDED AND RESTATED EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
DE
2013
AMENDMENT NO. 1 TO EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
DE
2013
SEPARATION, RELEASE AND REPURCHASE AGREEMENT
Repurchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
SEPARATION, RELEASE AND REPURCHASE AGREEMENT
Repurchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
SEPARATION, RELEASE AND REPURCHASE AGREEMENT
Repurchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
PREFERRED STOCK EXCHANGE AGREEMENT
Exchange Agreements
Cohen & Co Inc.
Capital Markets
NY
2012
SEPARATION, RELEASE AND REPURCHASE AGREEMENT
Repurchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2012
SEPARATION, RELEASE AND REPURCHASE AGREEMENT
Repurchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2012
Senior Secured Promissory Note and Security Agreement
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2012
AMENDED AND RESTATED INSTITUTIONAL FINANCIAL MARKETS, INC. 2010LONG-TERM INCENTIVE PLAN
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2012
CONFIDENTIAL AGREEMENT
Cohen & Co Inc.
Capital Markets
2012
IFMI, LLC AMENDMENT NO. 1 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2011
AMENDED AND RESTATED EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2011
EXECUTIVE AGREEMENT
Cohen & Co Inc.
Capital Markets
NY
2011
INSTITUTIONAL FINANCIAL MARKETS, INC., AS ISSUER U.S. BANK NATIONAL ASSOCIATION, AS TRUSTEE INDENTURE Dated as of July 22, 2011 10.50%CONTINGENT CONVERTIBLE SENIOR NOTES DUE 2027...
Indenture Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
INSTITUTIONAL FINANCIAL MARKETS, INC. 10.50% CONTINGENT CONVERTIBLE SENIOR NOTE DUE 2027
Note Agreements
Cohen & Co Inc.
Capital Markets
2011
Fourth Amended and Restated Limited Liability Company Agreement of PrinceRidge Partners LLC Fourth Amended and Restated Limited Liability Company Agreement of PrinceRidge Partners...
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2011
Fourth Amended and Restated Limited Partnership Agreement of PrinceRidge Holdings LP Fourth Amended and Restated Limited Partnership Agreement of PrinceRidge Holdings LP TABLE OF...
Limited Partnership Agreements
Cohen & Co Inc.
Capital Markets
DE
2011
TERMINATION AND SEPARATION AGREEMENT
Separation Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
EXECUTIVE AGREEMENT
Cohen & Co Inc.
Capital Markets
DE
2011
CONTRIBUTION AGREEMENT by and among IFMI, LLC, PRINCERIDGE PARTNERS LLC and PRINCERIDGEHOLDINGS LP Dated as of April 19, 2011 TABLE OF CONTENTS
Contribution Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
AMENDMENT NO. 1 TO PURCHASE AND CONTRIBUTION AGREEMENT
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
AMENDMENT NO. 2 TO PURCHASE AND CONTRIBUTION AGREEMENT
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
AMENDMENT NO. 3 TO PURCHASE AND CONTRIBUTION AGREEMENT
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
AMENDMENT NO. 1 TO THE COHEN & COMPANY INC. 2010 LONG-TERMINCENTIVE PLAN
Cohen & Co Inc.
Capital Markets
2011
FORM OF INSTITUTIONAL FINANCIAL MARKETS, INC. 2010 LONG-TERM INCENTIVE PLAN RESTRICTED STOCK AWARD
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2011
JOINDER TO LOAN DOCUMENTS
Loan Agreements
Cohen & Co Inc.
Capital Markets
PA
2011
AMENDMENT NO. 1 TO SECTION 382 RIGHTS AGREEMENT
Cohen & Co Inc.
Capital Markets
NY
2011
EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
AMENDMENT NO. 2 TO EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
2010
OMNIBUS JOINDER AND AMENDMENT TO LOAN DOCUMENTS
Loan Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT
Loan Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
COHEN BROTHERS, LLC 2010 Executive OfficersCash Bonus Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2010
COHEN BROTHERS, LLC 2010 Executive OfficersCash Bonus Plan Consent to Participation and Terms of Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2010
[FORM OF UNSECURED SUBORDINATED PROMISSORY NOTE ISSUED TO FORMER STOCKHOLDERS OF COHEN FINANCIAL GROUP, INC. IN AN AGGREGATE PRINCIPAL AMOUNT OF $6,245,000.] THIS UNSECURED...
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2010
COHEN & COMPANY INC. and MELLON INVESTOR SERVICES LLC as Rights Agent
Investor Rights Agreements
Cohen & Co Inc.
Capital Markets
NJ
2009
COHEN BROTHERS, LLC AMENDED AND RESTATEDLIMITED LIABILITY COMPANY AGREEMENT
Cohen & Co Inc.
Capital Markets
DE
2009
AMENDMENT NO. 3 TO AGREEMENT ANDPLAN OF MERGER
Merger Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
AMENDMENT NO. 2 TO AGREEMENT AND PLAN OF MERGER
Merger Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
AMENDMENT NO. 1 TO AGREEMENT AND PLAN OF MERGER
Merger Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
AMENDED AND RESTATED SENIOR MANAGEMENT AGREEMENT
Management Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
AMENDMENT NO. 1 TO AMENDED AND RESTATED SENIOR MANAGEMENT AGREEMENT
Management Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
AMENDMENT NO. 2 TO AMENDED AND RESTATED SENIOR MANAGEMENT AGREEMENT
Management Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
AMENDMENT NO. 1 TO EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
COHEN BROTHERS, LLC 2009 Senior Managers Cash Bonus Retention Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2009
THIS UNSECURED SUBORDINATED PROMISSORY NOTE IS SUBORDINATE TO THE SENIOR DEBT AS DEFINED IN, AND INACCORDANCE WITH, THE PROVISIONS HEREOF Unsecured Subordinated Promissory Note
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2009
THIS UNSECURED SUBORDINATED PROMISSORY NOTE IS SUBORDINATE TO THE SENIOR DEBT AS DEFINED IN, AND INACCORDANCE WITH, THE PROVISIONS HEREOF Unsecured Subordinated Promissory Note
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2009
AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT COHEN BROTHERS, LLC
Loan Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
AGREEMENT AND PLAN OF MERGER
Merger Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
IMPORTANT NOTICE RESTRICTION ON OWNERSHIP AND TRANSFER
Cohen & Co Inc.
Capital Markets
2007
BEAR STEARNS ARM TRUST 2007-2 Issuing Entity WELLS FARGO BANK, N.A. Securities Administrator
Trust Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
STRUCTURED ASSET MORTGAGE INVESTMENTS II INC., as Depositor WILMINGTON TRUST COMPANY,
Mortgage Agreements
Cohen & Co Inc.
Capital Markets
DE
2007
MORTGAGE LOAN PURCHASE AGREEMENT between ALESCO LOAN HOLDINGS TRUST as Mortgage Loan Seller
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
STRUCTURED ASSET MORTGAGE INVESTMENTS II INC., as Depositor
Mortgage Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
GUARANTEE OF ALESCO FINANCIAL INC.
Guaranty Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
JUNIOR SUBORDINATED INDENTURE between ALESCO FINANCIAL INC. and
Indenture Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
AMENDED AND RESTATED TRUST AGREEMENT among ALESCO FINANCIAL INC., as Depositor
Trust Agreements
Cohen & Co Inc.
Capital Markets
DE
2007
8,000,000 Shares ALESCO FINANCIAL INC. Common Stock
Stock Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
ALESCO FINANCIAL INC., AS ISSUER AND U.S. BANK NATIONAL ASSOCIATION, AS TRUSTEE
Cohen & Co Inc.
Capital Markets
NY
2007
[FACE OF SECURITY]
Security Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
ALESCO FINANCIAL INC. 7.625% Contingent Convertible Senior Notes due 2027
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
$115,000,000 Alesco Financial Inc. 7.625% Contingent Convertible Senior Notes due 2027 PURCHASE AGREEMENT
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
$40,000,000 CREDIT AGREEMENT Dated as of March 27, 2007
Credit Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
ALESCO FINANCIAL INC. 2006 LONG-TERM INCENTIVE PLAN
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2007
$10,000,000 CREDIT AGREEMENT Dated as of September 29, 2006
Credit Agreements
Cohen & Co Inc.
Capital Markets
MD
2007
MASTER REPURCHASE AGREEMENT
Repurchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
ALESCO FINANCIAL INC. (a Maryland corporation) 26,400,000 Shares of Common Stock PURCHASE AGREEMENT
Stock Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
INDEMNIFICATION AGREEMENT
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
MD
2006
Sunset Financial Resources, Inc.
Cohen & Co Inc.
Capital Markets
2006
Sunset Financial Resources, Inc.
Cohen & Co Inc.
Capital Markets
NY
2006
AMENDED AND RESTATED AGREEMENT AND PLAN OF MERGER AMONG
Merger Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
SEPARATION AGREEMENT AND GENERAL RELEASE
Separation Agreements
Cohen & Co Inc.
Capital Markets
2006
AGREEMENT AND PLAN OF MERGER AMONG ALESCO FINANCIAL TRUST, JAGUAR ACQUISITION INC.
Merger Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
INTERIM MANAGEMENT AGREEMENT
Management Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
AGREEMENT AND PLAN OF MERGER AMONG ALESCO FINANCIAL TRUST, JAGUAR ACQUISITION INC.
Merger Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
INTERIM MANAGEMENT AGREEMENT
Management Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
Employment Agreement
Employment Agreements
Cohen & Co Inc.
Capital Markets
FL
2005
SEPARATION AGREEMENT AND GENERAL RELEASE
Separation Agreements
Cohen & Co Inc.
Capital Markets
2005
SEPARATION AGREEMENT AND GENERAL RELEASE
Separation Agreements
Cohen & Co Inc.
Capital Markets
2005
AMENDMENT TO EMPLOYMENT AGREEMENT
Employment Agreements
Cohen & Co Inc.
Capital Markets
2005
SEPARATION AGREEMENT AND GENERAL RELEASE
Separation Agreements
Cohen & Co Inc.
Capital Markets
2005
Employment Agreement
Employment Agreements
Cohen & Co Inc.
Capital Markets
FL
2005
PURCHASE AGREEMENT among
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2005
JUNIOR SUBORDINATED INDENTURE between SUNSET FINANCIAL RESOURCES, INC.
Indenture Agreements
Cohen & Co Inc.
Capital Markets
NY
2005
AMENDED AND RESTATED TRUST AGREEMENT among SUNSET FINANCIAL RESOURCES, INC.
Trust Agreements
Cohen & Co Inc.
Capital Markets
DE
2005
3/21/05 AMENDMENT TO CREDITAGREEMENT DATED AS OF MARCH 21, 2005
Cohen & Co Inc.
Capital Markets
2005
3/05 AMENDMENT TO CREDIT AGREEMENT DATED AS OF MARCH 2, 2005
Credit Agreements
Cohen & Co Inc.
Capital Markets
2005
Amendment to Credit Agreement
Credit Agreements
Cohen & Co Inc.
Capital Markets
2004
Pooling and Servicing Agreement
Servicing Agreements
Cohen & Co Inc.
Capital Markets
NY
2004
Assignment, Assumption and Recognition Agreement
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NY
2004
Assignment, Assumption and Recognition Agreement
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NC
2004
Assignment, Assumption and Recognition Agreement
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NC
2004
Assignment, Assumption and Recognition Agreement
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NC
2004
Assignment, Assumption and Recognition Agreement
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NC
2004
Indemnification Agreement
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
2004
Senior Secured Credit Agreement
Credit Agreements
Cohen & Co Inc.
Capital Markets
TX
2004
Warrant to Purchase Common Stock
Warrant Agreements
Cohen & Co Inc.
Capital Markets
MD
2004
Incentive Stock Option Agreement-Jeffrey S Betros
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Incentive Stock Option Agreement-Byron L Boston
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Incentive Stock Option Agreement-Thomas G Manuel
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Incentive Stock Option Agreement-Michael L Pannell
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Incentive Stock Option Agreement-John Bert Watson
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-R E Bennett
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-J S Betros
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-Byron Boston
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-Hugh Jones Jr
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-Thomas Manuel
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-George Murray
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-M L Pannell
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-J P Stingone
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement-John B Watson
Stock Agreements
Cohen & Co Inc.
Capital Markets
2004
Indemnification Agreement - Rodney E. Bennett
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement - Jeffrey S. Betros
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement - Byron L. Boston
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement - Hugh H. Jones, Jr
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement - Thomas G. Manuel
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement - George A. Murray
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement - Michael L. Pannell
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement - Joseph P. Stingone
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement - John Bert Watson
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004