Cohen & Co Inc. Contracts & Agreements

212 Contracts & Agreements
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Filed
Third Amendment to Third Amended and Restated Loan Agreement between J.V.B. Financial Group, LLC and Byline Bank
Loan Agreements
Cohen & Co Inc.
Capital Markets
IL
2025
Master Transaction Agreement between Cohen & Company Financial Management, LLC and HCMC III, LLC (March 13, 2025)
Purchase Agreements
Cohen & Co Inc.
Capital Markets
2025
Description of Cohen & Company Inc. Common Stock Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
2025
Redemption Agreement between Cohen & Company, LLC and JKD Capital Partners I LTD (September 2024)
Cohen & Co Inc.
Capital Markets
NY
2024
Senior Promissory Note between Cohen & Company, LLC and JKD Capital Partners I LTD dated September 1, 2024
Note Agreements
Cohen & Co Inc.
Capital Markets
2024
Second Amendment to Third Amended and Restated Loan Agreement between J.V.B. Financial Group, LLC and Byline Bank
Loan Agreements
Cohen & Co Inc.
Capital Markets
IL
2024
Description of Cohen & Company Inc. Common Stock Registered Under Section 12 of the Securities Exchange Act of 1934
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
2024
Supplemental Indenture No. 1 to Junior Subordinated Indenture 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 between Cohen & Company, LLC and JKD Capital Partners I LTD
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2024
Section 382 Rights Agreement between Cohen & Company Inc. and Computershare Inc. (as Rights Agent)
Cohen & Co Inc.
Capital Markets
MD
2024
First Amendment to Third Amended and Restated Loan Agreement between J.V.B. Financial Group, LLC and Byline Bank
Loan Agreements
Cohen & Co Inc.
Capital Markets
IL
2023
Cohen & Company Inc. Equity Distribution Agreement with Northland Capital Markets (October 2023)
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
MN
2023
Third Amended and Restated Loan Agreement between J.V.B. Financial Group, LLC and Byline Bank (June 9, 2023)
Loan Agreements
Cohen & Co Inc.
Capital Markets
NY
2023
Description of Cohen & Company Inc. Common Stock Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
2023
Amendment No. 2 to Investment Agreement between Cohen & 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 between Byline Bank and J.V.B. Financial Group, LLC
Note Agreements
Cohen & Co Inc.
Capital Markets
IL
2022
Amendment No. 1 to Amended and Restated Employment Agreement by and among Cohen & Company, LLC, Cohen & Company Inc., Daniel G. Cohen, J.V.B. Financial Group Holdings, LP, and...
Employment Agreements
Cohen & Co Inc.
Capital Markets
NY
2022
Description of Cohen & Company Inc. Common Stock Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
2022
Note Purchase Agreement between Cohen & Company, LLC and JKD Capital Partners I LTD (January 31, 2022)
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2022
Amended and Restated Senior Promissory Note between Cohen & Company, LLC and JKD Capital Partners I LTD dated January 31, 2022
Note Agreements
Cohen & Co Inc.
Capital Markets
2022
Amendment No. 5 to Amended and Restated Limited Liability Company Agreement of Cohen & Company, LLC
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2021
Amended and Restated Revolving Note and Cash Subordination Agreement between Byline Bank and J.V.B. Financial Group, LLC
Note Agreements
Cohen & Co Inc.
Capital Markets
IL
2021
Director and/or Officer Indemnification Agreement between Cohen & Company Inc. and Indemnitee
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
MD
2021
Description of Cohen & Company Inc. Common Stock Registered Under Section 12 of the Exchange Act
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
2021
Cohen & Company Inc. 2020 Long-Term Incentive Plan Restricted Stock Award Agreement
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2021
Amendment No. 3 to Employment Agreement between Cohen & Company, LLC and Joseph W. Pooler, Jr.
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2021
Equity Distribution Agreement between Cohen & Company Inc. and Northland Capital Markets (December 1, 2020)
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
MN
2020
Subscription Agreement between INSU Acquisition Corp. II and Subscriber for Class A Common Stock Purchase
Subscription Agreements
Cohen & Co Inc.
Capital Markets
2020
Sponsor Share Cancellation and Vesting Agreement among INSU Acquisition Corp. II, Insurance Acquisition Sponsor II, LLC, and Dioptra Advisors II, LLC
Stock Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Loan Agreement among J.V.B. Financial Group, LLC, Corporate Guarantors, and Byline Bank dated October 28, 2020
Loan Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Revolving Note and Cash Subordination Agreement between Byline Bank and J.V.B. Financial Group, LLC
Subordination Agreement
Cohen & Co Inc.
Capital Markets
IL
2020
Amendment No. 4 to Investment Agreement 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 between Cohen & Company Inc. and EBC 2013 Family Trust
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2020
Amendment No. 3 to Investment Agreement 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 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
2020
Amendment No. 4 to Amended and Restated Limited Liability Company Agreement of Cohen & Company, LLC
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Amendment No. 1 to Convertible Senior Secured Promissory Note between Cohen & Company, LLC and DGC Family Fintech Trust
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2020
SBA Paycheck Protection Program Promissory Note between Cohen & Company, LLC and Fifth Third Bank
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 between Cohen & Company Inc. and Computershare Inc. (March 10, 2020)
Cohen & Co Inc.
Capital Markets
NJ
2020
Description of Cohen & Company Inc. Common Stock Registered under Section 12 of the Exchange Act
Equity Distribution Agreements
Cohen & Co Inc.
Capital Markets
2020
Cohen & Company Inc. Non-Qualified Deferred Compensation Plan (Effective February 12, 2020)
Compensation Agreements
Cohen & Co Inc.
Capital Markets
DE
2020
Note Purchase Agreement between Cohen & Company, LLC, JKD Capital Partners I LTD, and RN Capital Solutions LLC (January 31, 2020)
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2020
Senior Promissory Note between Cohen & Company, LLC and JKD Capital Partners I LTD dated January 31, 2020
Note Agreements
Cohen & Co Inc.
Capital Markets
2020
Senior Promissory Note between Cohen & Company, LLC and RN Capital Solutions LLC dated January 31, 2020
Note Agreements
Cohen & Co Inc.
Capital Markets
2020
Securities Purchase Agreement among Cohen & Company Inc., Cohen & Company, LLC, Daniel G. Cohen, and The DGC Family Fintech Trust (December 30, 2019)
Purchase Agreements
Cohen & Co Inc.
Capital Markets
DE
2019
Amendment No. 2 to Investment Agreement between Cohen & Company, LLC and Cohen Bros. Financial LLC
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2019
Amendment No. 2 to Investment Agreement 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 of Cohen & Company, LLC
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2019
Senior Promissory Note between Cohen & Company Inc. and Pensco Trust Company, Custodian fbo Edward E. Cohen IRA, dated September 25, 2019
Note Agreements
Cohen & Co Inc.
Capital Markets
2019
Senior Promissory Note between Cohen & Company Inc. and EBC 2013 Family Trust dated September 25, 2019
Note Agreements
Cohen & Co Inc.
Capital Markets
2019
Amendment No. 1 to Investment Agreement between Cohen & Company, LLC and Cohen Bros. Financial LLC
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2019
Amendment No. 1 to Investment Agreement 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 between Cohen & Company, LLC and JKD Capital Partners I LTD
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2019
First Amendment to Loan Agreement among J.V.B. Financial Group, Affiliates, and MB Financial Bank, N.A.
Loan Agreements
Cohen & Co Inc.
Capital Markets
2019
Revolving Note and Cash Subordination Agreement between MB Financial Bank, N.A. and J.V.B. Financial Group, LLC (2019)
Loan Agreements
Cohen & Co Inc.
Capital Markets
IL
2019
Warehousing Credit and Security Agreement between Vianova Capital Group LLC and LegacyTexas Bank (November 16, 2018)
Credit Agreements
Cohen & Co Inc.
Capital Markets
TX
2018
Amendment No. 1 to Convertible Senior Promissory Note between Cohen & Company Inc. and Edward E. Cohen IRA
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2018
Amendment No. 1 to Convertible Senior Promissory Note between Cohen & Company Inc. and EBC 2013 Family Trust
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2018
Loan Agreement among J.V.B. Financial Group, LLC and MB Financial Bank, N.A. (April 25, 2018)
Loan Agreements
Cohen & Co Inc.
Capital Markets
IL
2018
Investment Agreement between Cohen Bros. Financial LLC and Cohen & Company, LLC dated September 29, 2017
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2017
Investment Agreement between The DGC Family Fintech Trust and Cohen & Company, LLC (September 29, 2017)
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2017
Securities Purchase Agreement between IFMI, LLC and DGC Family Fintech Trust dated March 10, 2017
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2017
Convertible Senior Secured Promissory Note between IFMI, LLC and DGC Family Fintech Trust dated March 10, 2017
Note Agreements
Cohen & Co Inc.
Capital Markets
2017
Termination Agreement to Share Purchase Agreement between IFMI, LLC and C&Co Europe Acquisition LLC (March 2017)
Termination Agreements
Cohen & Co Inc.
Capital Markets
2017
Investment Agreement between JKD Capital Partners I LTD and IFMI, LLC dated October 3, 2016
Investment Agreements
Cohen & Co Inc.
Capital Markets
NY
2016
Section 382 Rights Agreement between Institutional Financial Markets, Inc. and Computershare Inc. (2016)
Cohen & Co Inc.
Capital Markets
DE
2016
Termination and Release Agreement among Mead Park Capital Partners LLC, Ricciardi Parties, and Institutional Financial Markets, Inc.
Termination Agreements
Cohen & Co Inc.
Capital Markets
NY
2015
Second Extension and Amendment to Share Purchase Agreement and Related Employment Agreement – IFMI, LLC, C&Co Europe Acquisition LLC, and Daniel G. Cohen
Modification Agreements
Cohen & Co Inc.
Capital Markets
2015
Amendment to Share Purchase Agreement between IFMI, LLC and C&Co Europe Acquisition LLC (March 2015)
Modification Agreements
Cohen & Co Inc.
Capital Markets
2015
Share Purchase Agreement between IFMI, LLC and C&Co Europe Acquisition LLC (August 19, 2014)
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2014
Guaranty Agreement between Daniel G. Cohen and IFMI, LLC (August 19, 2014)
Guaranty Agreements
Cohen & Co Inc.
Capital Markets
NY
2014
Non-Qualified Stock Option Award Agreement between Institutional Financial Markets, Inc. and Lester R. Brafman
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2014
Non-Qualified Stock Option Award Agreement between Institutional Financial Markets, Inc. and Lester R. Brafman (2013)
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2014
Securities Purchase Agreement among Cohen Asia Investments Ltd., Dekania Investors, LLC, IFMI, LLC, and Gotham Holdings Ltd.
Purchase Agreements
Cohen & Co Inc.
Capital Markets
DE
2014
Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2013
Note Purchase Agreement between Omega Charitable Partnership, L.P. and Institutional Financial Markets, Inc. (October 28, 2013)
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Employment Agreement between IFMI, LLC, Institutional Financial Markets, Inc., and Lester R. Brafman (CEO)
Employment Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Employment Agreement between IFMI, LLC, Institutional Financial Markets, Inc., and Lester R. Brafman
Employment Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Section 382 Rights Agreement between Institutional Financial Markets, Inc. and Computershare Shareowner Services LLC (May 9, 2013)
Services Agreements
Cohen & Co Inc.
Capital Markets
NJ
2013
Securities Purchase Agreement between Institutional Financial Markets, Inc. and Mead Park Capital Partners LLC (May 9, 2013)
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Securities Purchase Agreement between Institutional Financial Markets, Inc. and Cohen Bros. Financial, LLC (May 9, 2013)
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Registration Rights Agreement between Institutional Financial Markets, Inc. and Investors (May 9, 2013)
Registration Rights Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Preferred Stock Exchange Agreement between Institutional Financial Markets, Inc. and Cohen Bros. Financial, LLC
Exchange Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Amendment No. 2 to Amended and Restated Limited Liability Company Agreement of IFMI, LLC
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2013
Amended and Restated Employment Agreement among IFMI, LLC, Institutional Financial Markets, Inc., Daniel G. Cohen, and Affiliates
Employment Agreements
Cohen & Co Inc.
Capital Markets
DE
2013
Amendment No. 1 to Employment Agreement by and among IFMI, LLC, Institutional Financial Markets, Inc., and Daniel G. Cohen
Employment Agreements
Cohen & Co Inc.
Capital Markets
DE
2013
Separation, Release and Repurchase Agreement among PrinceRidge Partners LLC, PrinceRidge Holdings LP, IFMI, LLC, Institutional Financial Markets, Inc., and Ahmed Alali
Separation Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Separation, Release and Repurchase Agreement among PrinceRidge Partners LLC, PrinceRidge Holdings LP, IFMI, LLC, Institutional Financial Markets, Inc., and Ronald J. Garner
Separation Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Separation, Release and Repurchase Agreement among PrinceRidge Partners LLC, PrinceRidge Holdings LP, IFMI, LLC, Institutional Financial Markets, Inc., and Matthew G. Johnson
Separation Agreements
Cohen & Co Inc.
Capital Markets
NY
2013
Preferred Stock Exchange Agreement between Institutional Financial Markets, Inc., Cohen Bros. Financial, LLC, and Daniel G. Cohen
Exchange Agreements
Cohen & Co Inc.
Capital Markets
NY
2012
Separation, Release and Repurchase Agreement among PrinceRidge Entities, IFMI, and Michael T. Hutchins
Separation Agreements
Cohen & Co Inc.
Capital Markets
NY
2012
Separation, Release, and Repurchase Agreement among PrinceRidge Entities, IFMI, and John P. Costas
Separation Agreements
Cohen & Co Inc.
Capital Markets
NY
2012
Senior Secured Promissory Note and Security Agreement between IFMI, LLC and PrinceRidge Holdings LP dated April 24, 2012
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2012
Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
MD
2012
Confidential Settlement and Release Agreement between Alesco Preferred Funding X, Ltd. and Cohen & Company Financial Management, LLC
Settlement Agreements
Cohen & Co Inc.
Capital Markets
2012
Amendment No. 1 to Amended and Restated Limited Liability Company Agreement of IFMI, LLC
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2011
Amended and Restated Employment Agreement between IFMI, LLC, Institutional Financial Markets, Inc., and Christopher Ricciardi
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2011
Executive Agreement between PrinceRidge Holdings LP, Institutional Financial Markets, Inc., IFMI, LLC, and John Costas
Employment Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
Indenture Agreement for 10.50% Contingent Convertible Senior Notes Due 2027 between Institutional Financial Markets, Inc. and U.S. Bank National Association
Indenture Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
Institutional Financial Markets, Inc. 10.50% Contingent Convertible Senior Notes Due 2027 (Form of Global Security)
Note Agreements
Cohen & Co Inc.
Capital Markets
2011
Fourth Amended and Restated Limited Liability Company Agreement of PrinceRidge Partners LLC
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2011
Fourth Amended and Restated Limited Partnership Agreement of PrinceRidge Holdings LP
Limited Partnership Agreements
Cohen & Co Inc.
Capital Markets
DE
2011
Termination and Separation Agreement among IFMI, LLC, PrinceRidge Holdings LP, and PrinceRidge Partners LLC (May 31, 2011)
Separation Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
Executive Agreement between PrinceRidge Holdings LP, Institutional Financial Markets, Inc., IFMI, LLC, and Daniel G. Cohen
Employment Agreements
Cohen & Co Inc.
Capital Markets
DE
2011
Contribution Agreement among IFMI, LLC, PrinceRidge Partners LLC, and PrinceRidge Holdings LP dated April 19, 2011
Contribution Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
Amendment No. 1 to Purchase and Contribution Agreement among Cohen & Company Inc., Cohen Brothers, LLC, JVB Financial Holdings, L.L.C., and Sellers
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
Amendment No. 2 to Purchase and Contribution Agreement among Cohen & Company Inc., Cohen Brothers, LLC, JVB Financial Holdings, L.L.C., and Sellers
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
Amendment No. 3 to Purchase and Contribution Agreement among Cohen & Company Inc., Cohen Brothers, LLC, JVB Financial Holdings, L.L.C., and Sellers
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
Amendment No. 1 to Cohen & Company Inc. 2010 Long-Term Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2011
Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan Restricted Stock Award Agreement
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2011
Joinder to Loan Documents by Cohen Principal Investing, LLC and Dekania Investors, LLC
Joinder Agreements
Cohen & Co Inc.
Capital Markets
PA
2011
Amendment No. 1 to Section 382 Rights Agreement between Cohen & Company Inc. and Mellon Investor Services LLC
Modification Agreements
Cohen & Co Inc.
Capital Markets
NY
2011
Employment Agreement between Christopher Ricciardi and Cohen & Co. Inc.
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
Specimen Common Stock Certificate for Cohen & Company Inc.
Stock Agreements
Cohen & Co Inc.
Capital Markets
2010
Employment Agreement between Cohen Brothers LLC, Cohen & Company Inc., and Christopher Ricciardi
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
Amendment No. 2 to Employment Agreement between Cohen Brothers, LLC and Joseph W. Pooler, Jr.
Employment Agreements
Cohen & Co Inc.
Capital Markets
2010
Omnibus Joinder and Amendment to Loan Documents among Cohen Brothers, LLC, Subsidiary Guarantors, TD Bank, N.A., and Lenders
Joinder Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
Third Amendment to Loan and Security Agreement among Cohen Brothers, LLC, Subsidiary Guarantors, and TD Bank, N.A.
Modification Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
Employment Agreement between Cohen Brothers LLC, Cohen & Company Inc., and Daniel G. Cohen
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2010
Cohen Brothers, LLC 2010 Executive Officers' Cash Bonus Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2010
Cohen Brothers, LLC 2010 Executive Officers' Cash Bonus Plan Award Consent Form
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2010
Unsecured Subordinated Promissory Note between Cohen Brothers, LLC and Former Stockholders of Cohen Financial Group, Inc.
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2010
Section 382 Rights Agreement between Cohen & Company Inc. and Mellon Investor Services LLC (2009)
Warrant Agreements
Cohen & Co Inc.
Capital Markets
NJ
2009
Amended and Restated Limited Liability Company Agreement of Cohen Brothers, LLC
Limited Liability Company Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
Amendment No. 3 to Agreement and Plan of Merger among Alesco Financial Inc., Cohen Brothers, LLC, and Alesco Financial Holdings, LLC
Merger Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
Amendment No. 2 to Agreement and Plan of Merger among Alesco Financial Inc., Cohen Brothers, LLC, and Alesco Financial Holdings, LLC
Merger Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
Amendment No. 1 to Agreement and Plan of Merger among Alesco Financial Inc., Fortune Merger Sub, LLC, Cohen Brothers, LLC, and Alesco Financial Holdings, LLC
Merger Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
Amended and Restated Senior Management Agreement between Cohen Brothers, LLC and Christopher Ricciardi
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
Amendment No. 1 to Amended and Restated Senior Management Agreement between Cohen Brothers, LLC and Christopher Ricciardi
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
Amendment No. 2 to Amended and Restated Senior Management Agreement between Cohen Brothers, LLC and Christopher Ricciardi
Employment Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
Employment Agreement between Cohen Brothers, LLC and Joseph W. Pooler, Jr.
Employment Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
Amendment No. 1 to Employment Agreement between Cohen Brothers, LLC and Joseph W. Pooler, Jr.
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
Unsecured Subordinated Promissory Note between Cohen Brothers, LLC and Daniel G. Cohen dated June 25, 2008
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2009
Unsecured Subordinated Promissory Note between Cohen Brothers, LLC and Christopher Ricciardi
Note Agreements
Cohen & Co Inc.
Capital Markets
NY
2009
Amended and Restated Loan and Security Agreement among Cohen Brothers, LLC, TD Bank, N.A., and Lenders (June 1, 2009)
Loan Agreements
Cohen & Co Inc.
Capital Markets
PA
2009
Agreement and Plan of Merger among Alesco Financial Inc., Fortune Merger Sub, LLC, and Cohen Brothers, LLC (February 20, 2009)
Merger Agreements
Cohen & Co Inc.
Capital Markets
DE
2009
Specimen Stock Certificate with REIT Ownership and Transfer Restrictions
Stock Agreements
Cohen & Co Inc.
Capital Markets
2007
Indenture Agreement for Bear Stearns ARM Trust 2007-2 Mortgage-Backed Notes (Wells Fargo Bank, N.A. and Citibank, N.A.)
Indenture Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Amended and Restated Trust Agreement among Structured Asset Mortgage Investments II Inc., Wilmington Trust Company, and Wells Fargo Bank, N.A. (June 29, 2007)
Trust Agreements
Cohen & Co Inc.
Capital Markets
DE
2007
Mortgage Loan Purchase Agreement between Alesco Loan Holdings Trust and Structured Asset Mortgage Investments II Inc. dated June 29, 2007
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Sale and Servicing Agreement among Structured Asset Mortgage Investments II Inc., Bear Stearns ARM Trust 2007-2, Citibank, N.A., Wells Fargo Bank, N.A., and Alesco Loan Holdings...
Servicing Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Guarantee Agreement between Alesco Financial Inc. and Citibank, N.A. (as Indenture Trustee), dated June 29, 2007
Guaranty Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Junior Subordinated Indenture between Alesco Financial Inc. and Wells Fargo Bank, N.A. dated June 25, 2007
Indenture Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Amended and Restated Trust Agreement among Alesco Financial Inc., Wells Fargo Bank, N.A., Wells Fargo Delaware Trust Company, and Administrative Trustees (Alesco Capital Trust I)
Trust Agreements
Cohen & Co Inc.
Capital Markets
DE
2007
Underwriting Agreement among Alesco Financial Inc., Cohen & Company Management, LLC, and RBC Capital Markets Corporation (June 20, 2007)
Underwriting Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Indenture for 7.625% Contingent Convertible Senior Notes Due 2027 between Alesco Financial Inc. and U.S. Bank National Association
Indenture 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
Alesco Financial Inc. and RBC Capital Markets Registration Rights Agreement for 7.625% Contingent Convertible Senior Notes due 2027
Registration Rights Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Yield Support Letter Agreement between Alesco Financial Inc., Alesco Warehouse Conduit LLC, and Cohen & Company Financial Management, LLC (April 10, 2007)
Note Agreements
Cohen & Co Inc.
Capital Markets
2007
Kleros Preferred Funding VI Capital Commitment Fee Letter Agreement (Alesco Holdings, Strategos Capital, Cohen & Company)
Cohen & Co Inc.
Capital Markets
2007
Alesco Financial Inc. $115,000,000 7.625% Contingent Convertible Senior Notes Purchase Agreement with RBC Capital Markets Corporation
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
$40,000,000 Credit Agreement among Alesco Financial Holdings, LLC, Alesco Financial Inc., Royal Bank of Canada, and U.S. Bank National Association (March 27, 2007)
Credit Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Alesco Financial Inc. Restricted Share Award Agreement under 2006 Long-Term Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2007
$10,000,000 Credit Agreement among Alesco Financial Holdings, LLC, Alesco Financial Trust, and Royal Bank of Canada (2006)
Credit Agreements
Cohen & Co Inc.
Capital Markets
MD
2007
Master Repurchase Agreement between Bear Stearns Mortgage Capital Corporation and Alesco Loan Holdings Trust (February 28, 2006)
Repurchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2007
Alesco Financial Inc. Common Stock Purchase Agreement with Underwriters (Merrill Lynch & Co., Bear Stearns & Co. Inc.) dated November 20, 2006
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
Indemnification Agreement between Alesco Financial Inc. and Officer or Director
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
MD
2006
Letter Agreement Amending Merger Agreement Between Sunset Financial Resources, Inc., Jaguar Acquisition, Inc., and Alesco Financial Trust (September 29, 2006)
Merger Agreements
Cohen & Co Inc.
Capital Markets
2006
Letter Agreement Amending Merger Agreement and Registration Rights—Sunset Financial Resources, Inc., Jaguar Acquisition Inc., and Alesco Financial Trust
Merger Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
Amended and Restated Agreement and Plan of Merger among Alesco Financial Trust, Jaguar Acquisition Inc., and Sunset Financial Resources, Inc.
Merger Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
Separation Agreement and General Release between Sunset Financial Resources, Inc. and George Deehan
Separation Agreements
Cohen & Co Inc.
Capital Markets
2006
Agreement and Plan of Merger among Alesco Financial Trust, Jaguar Acquisition Inc., and Sunset Financial Resources, Inc. dated April 27, 2006
Merger Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
Interim Management Agreement between Sunset Financial Resources, Inc. and Cohen Brothers Management, LLC (April 27, 2006)
Management Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
Agreement and Plan of Merger among Alesco Financial Trust, Jaguar Acquisition Inc., and Sunset Financial Resources, Inc. dated April 27, 2006
Merger Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
Interim Management Agreement between Sunset Financial Resources, Inc. and Cohen Brothers Management, LLC (April 27, 2006)
Management Agreements
Cohen & Co Inc.
Capital Markets
NY
2006
Employment Agreement between Sunset Financial Resources, Inc. and Stacy Riffe (Executive Vice President and CFO)
Employment Agreements
Cohen & Co Inc.
Capital Markets
FL
2005
Separation Agreement and General Release between Sunset Financial Resources, Inc. and Michael L. Pannell
Separation Agreements
Cohen & Co Inc.
Capital Markets
2005
Separation Agreement and General Release between Sunset Financial Resources, Inc. and John Bert Watson
Separation Agreements
Cohen & Co Inc.
Capital Markets
2005
Amendment to Employment Agreement between Sunset Financial Resources, Inc. and George Deehan
Employment Agreements
Cohen & Co Inc.
Capital Markets
2005
Separation Agreement and General Release between Sunset Financial Resources, Inc. and Jeffrey S. Betros
Separation Agreements
Cohen & Co Inc.
Capital Markets
2005
Employment Agreement between Sunset Financial Resources, Inc. and George Deehan (President and COO)
Employment Agreements
Cohen & Co Inc.
Capital Markets
FL
2005
Purchase Agreement among Sunset Financial Resources, Inc., Sunset Financial Statutory Trust I, and Taberna Preferred Funding I, Ltd. (Trust Preferred Securities)
Purchase Agreements
Cohen & Co Inc.
Capital Markets
NY
2005
Junior Subordinated Indenture between Sunset Financial Resources, Inc. and JPMorgan Chase Bank, N.A. (March 15, 2005)
Indenture Agreements
Cohen & Co Inc.
Capital Markets
NY
2005
Amended and Restated Trust Agreement among Sunset Financial Resources, Inc., JPMorgan Chase Bank, N.A., Chase Bank USA, N.A., and Administrative Trustees (March 15, 2005)
Trust Agreements
Cohen & Co Inc.
Capital Markets
DE
2005
Third Amendment to Senior Secured Credit Agreement between Sunset Financial Resources, Inc. and JPMorgan Chase Bank, N.A.
Credit Agreements
Cohen & Co Inc.
Capital Markets
2005
Second Amendment to Senior Secured Credit Agreement between Sunset Financial Resources, Inc. and JPMorgan Chase Bank, N.A.
Credit Agreements
Cohen & Co Inc.
Capital Markets
2005
First Amendment to Senior Secured Credit Agreement between Sunset Financial Resources, Inc. and JPMorgan Chase Bank (June 24, 2004)
Credit Agreements
Cohen & Co Inc.
Capital Markets
2004
Pooling and Servicing Agreement among J.P. Morgan Acceptance Corporation I, Wells Fargo Bank, N.A., and Wachovia Bank, N.A. for J.P. Morgan Mortgage Trust 2004-A3
Trust Agreements
Cohen & Co Inc.
Capital Markets
NY
2004
Assignment, Assumption and Recognition Agreement among J.P. Morgan Acceptance Corporation I, Wachovia Bank (as Trustee), Sunset Financial Resources, and Bank of America (June 1,...
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NY
2004
Assignment, Assumption and Recognition Agreement among J.P. Morgan Acceptance Corporation I, Wachovia Bank (Trustee), Sunset Financial Resources, Cendant Mortgage, and Bishop's...
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NC
2004
Assignment, Assumption and Recognition Agreement among J.P. Morgan Acceptance Corporation I, Wachovia Bank (Trustee), Sunset Financial Resources, Cendant Mortgage, and Bishop's...
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NC
2004
Assignment, Assumption and Recognition Agreement among J.P. Morgan Acceptance Corporation I, Wachovia Bank (Trustee), Sunset Financial Resources, and National City Mortgage Co.
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NC
2004
Assignment, Assumption and Recognition Agreement among J.P. Morgan Acceptance Corporation I, Wachovia Bank (Trustee), Sunset Financial Resources, and Greenpoint Mortgage Funding
Assignment Agreements
Cohen & Co Inc.
Capital Markets
NC
2004
Indemnification Agreement between J.P. Morgan Acceptance Corporation I and Sunset Financial Resources, Inc. for Mortgage Pass-Through Certificates, Series 2004-A3
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
2004
Risk Analytics Services Agreement between BlackRock Financial Management, Inc. and Sunset Financial Resources, Inc.
Services Agreements
Cohen & Co Inc.
Capital Markets
NY
2004
Senior Secured Credit Agreement between Sunset Financial Resources, Inc. and JPMorgan Chase Bank (March 22, 2004)
Credit Agreements
Cohen & Co Inc.
Capital Markets
TX
2004
Warrant Agreement to Purchase Common Stock between Sunset Financial Resources, Inc. and Sapphire Advisors, LLC
Warrant Agreements
Cohen & Co Inc.
Capital Markets
MD
2004
Incentive Stock Option Agreement between Sunset Financial Resources, Inc. and Jeffrey S. Betros under the 2003 Share Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Incentive Stock Option Agreement between Sunset Financial Resources, Inc. and Byron L. Boston under the 2003 Share Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Incentive Stock Option Agreement between Sunset Financial Resources, Inc. and Thomas G. Manuel under the 2003 Share Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Incentive Stock Option Agreement between Sunset Financial Resources, Inc. and Michael L. Pannell under the 2003 Share Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Incentive Stock Option Agreement between Sunset Financial Resources, Inc. and John Bert Watson under the 2003 Share Incentive Plan
Bonus & Incentive Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and Rodney E. Bennett under the 2003 Share Incentive Plan
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and Jeffrey S. Betros under the 2003 Share Incentive Plan
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and Byron L. Boston under the 2003 Share Incentive Plan
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and Hugh H. Jones, Jr.
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and Thomas G. Manuel
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and George A. Murray
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and Michael L. Pannell
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and Joseph P. Stingone under 2003 Share Incentive Plan
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Non-Qualified Stock Option Agreement between Sunset Financial Resources, Inc. and John Bert Watson under the 2003 Share Incentive Plan
Warrant Agreements
Cohen & Co Inc.
Capital Markets
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and Rodney E. Bennett
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and Jeffrey S. Betros
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and Byron L. Boston
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and Hugh H. Jones, Jr.
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and Thomas G. Manuel
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and George A. Murray
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and Michael L. Pannell
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and Joseph P. Stingone
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004
Indemnification Agreement between Sunset Financial Resources, Inc. and John Bert Watson
Indemnification Agreements
Cohen & Co Inc.
Capital Markets
FL
2004