IPO registrations (S-1, F-1) · Registrants
Cowen Holdings, Inc.
- SEC CIK
- 1355007 · filings on EDGAR ↗
- Name on the registration
- Cowen Group, Inc.
- Former names
- Cowen Group, Inc. (2006–2009)
- Registration
- Form S-1, first filed 2006-03-21, last 2006-07-12; 1 initial registration, 5 amendments
- Outcome
- Final prospectus filed 2006-07-14; declared effective 2006-07-12
- Industry (SIC)
- Security Brokers, Dealers & Flotation Companies 6211
- Incorporated in
- DE
- Business address
- 1221 AVENUE OF THE AMERICAS, New York, NY 10020
- EDGAR entity type
- operating
- Insiders and CEO pay
- Cowen Holdings, Inc. on the corporate pages
Offering terms
- Proposed price range
- $19.00–$21.00 per share (S-1/A filed 2006-07-12)
- Final price
- $16.00 per share, below the range (424B1 filed 2006-07-14, an initial public offering)
- Shares sold
- 11,217,392
- Gross proceeds
- $179,478,272 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol COWN
- Lead underwriters
- Cowen; Credit Suisse (2,930,544 shares); Merrill Lynch (2,930,544 shares)
- Syndicate
- KBW (932,445); Piper Sandler; Sandler O'Neill & Partners, L.P (932,445); Fox-Pitt, Kelton Incorporated (560,870)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: COWEN HOLDINGS, INC Fuzzy (name and state)
- Business registration: COWEN HOLDINGS, INC. Fuzzy (name and state)
- SEC filer: Cowen Group, Inc. EXACT (CIK (EXACT))
- Person page: Kim S Fennebresque Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 9
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2006-03-21 | S-1 | S-1 (registration) | Cowen Group, Inc. | 0001047469-06-003770 ↗ |
| 2006-05-17 | S-1/A | S-1/A (amendment) | Cowen Group, Inc. | 0001047469-06-007356 ↗ |
| 2006-06-12 | S-1/A | S-1/A (amendment) | Cowen Group, Inc. | 0001047469-06-008284 ↗ |
| 2006-06-26 | S-1/A | S-1/A (amendment) | Cowen Group, Inc. | 0001047469-06-008808 ↗ |
| 2006-07-06 | S-1/A | S-1/A (amendment) | Cowen Group, Inc. | 0001047469-06-009281 ↗ |
| 2006-07-12 | S-1/A | S-1/A (amendment) | Cowen Group, Inc. | 0001047469-06-009508 ↗ |
| 2006-07-12 | EFFECT | EFFECT (declared effective) | Cowen Group, Inc. | 9999999995-06-000700 ↗ |
| 2006-07-14 | 424B1 | 424B1 (final prospectus) | Cowen Group, Inc. | 0001047469-06-009607 ↗ |
| 2007-12-18 | EFFECT | EFFECT (declared effective) | Cowen Group, Inc. | 9999999995-07-004988 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2006-07-12 | S-1/A | registration statement | $19.00–$21.00 | $20.00 | 11,217,392 | $224,347,840 | Nasdaq COWN | 5 | primary document; range, price sentence, shares headline, proceeds computed, cover names 5 | document ↗ |
| 2006-07-14 | 424B1 | final prospectus | $16.00 | 11,217,392 | $179,478,272 | Nasdaq COWN | 7 | primary document; price table, shares headline, proceeds table, underwriting table 5, cover names 5 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Conner Thomas K | Officer | CFO & Treasurer; CFO & Treasurer of CowenGroup; Chief Financial Officer | 5 | 2006–2009 | |
| Dibble William H | Officer | Head of HR of Cowen & Co LLC; Head of Human Resources | 5 | 2006–2009 | |
| Egert Mark A | Officer | CCO of Cowen & Company,LLC; Chief Compliance Officer | 8 | 2006–2009 | |
| Fennebresque Kim S | Director; Director,Officer | Chairman; Chairman, CEO and President; Chairman , CEO & President; Chairman, CEO & President; Chairman,CEO & President | 10 | 2006–2008 | person page Fuzzy |
| Kaplan Mark E | Director,Officer | General Counsel | 1 | 2006 | |
| Ogier Jean-Jacques | Director | 1 | 2006 | ||
| Orlowski Jean | Officer | Chief Information Officer; CIO of Cowen & Company,LLC | 3 | 2006–2007 | |
| SG Americas Securities Holdings, Inc. | TenPercentOwner | 3 | 2006 | ||
| Wardell Charles WB III | Director | 6 | 2006–2009 | ||
| WHITE CHRISTOPHER A | Officer | Vice President; Vice President; VP of Cowen Group, Inc | 12 | 2006–2009 | |
| KOTLER STEVEN | Director; Other | 5 | 2006–2007 | ||
| Kurzweil Jeffrey | Director | 6 | 2006–2009 | ||
| Pool Philip B Jr | Director | 6 | 2006–2009 | ||
| Richards L Thomas | Director | 7 | 2006–2009 | ||
| Toffolon John E Jr | Director | 13 | 2006–2009 | ||
| McCarthy J Kevin | Officer | General Counsel | 8 | 2007–2009 | |
| Malcolm David M. | Director,Officer | CEO and President | 6 | 2008–2009 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | COWEN HOLDINGS, INC | NY | State business registries | name and state |
| Business registration | COWEN HOLDINGS, INC. | NY | State business registries | name and state |
| SEC filer | Cowen Holdings, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Person page | Kim S Fennebresque | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Security Brokers, Dealers & Flotation Companies, NY first:
- DIRECT MARKETS HOLDINGS CORP. NY
- KBW, INC. NY
- LABRANCHE & CO INC NY
- CANTOR FITZGERALD & CO NY
- INSTINET GROUP INC NY
- CBNY INVESTMENT SERVICES CORP NY
- STOCKTRADE NETWORK INC NY
- Dominari Holdings Inc. NY
- MARKETAXESS HOLDINGS INC NY
- GREENHILL & CO INC NY
In other datasets, the same topic (Finance) in NY:
- Lobbying client: 3B1 PARTNERS (Federal lobbying (LDA))
Interests: Security Brokers, Dealers & Flotation Companies · Finance