Wardell Charles WB III 4
4 · COWEN GROUP, INC. · Filed Nov 3, 2009
Insider Transaction Report
Form 4
Wardell Charles WB III
Director
Transactions
- Award
Class A Common Stock
2009-11-02+2,000→ 2,000 total - Award
Restricted Stock Units
2009-11-02+6,309→ 6,309 total→ Class A Common Stock (6,309 underlying) - Award
Restricted Stock Units
2009-11-02+3,425→ 3,425 total→ Class A Common Stock (3,425 underlying)
Footnotes (5)
- [F1]Received in exchange for 2,000 shares of common stock of Cowen Holdings, Inc. (f/k/a Cowen Group, Inc.) ("Cowen Holdings") in connection with the merger of Lexington Merger Corp., a wholly owned subsidiary of the Issuer (f/k/a LexingtonPark Parent Corp.), with and into Cowen Holdings (the "Merger").
- [F2]The Restricted Stock Units are vested and not subject to forfeiture. The shares underlying the Restricted Stock Units will be delivered in accordance with the terms of the award agreement between the Issuer and the Reporting Person.
- [F3]Received upon conversion of 6,309 Restricted Stock Units of Cowen Holdings in connection with the Merger. Restricted Stock Units convert into shares of Class A Common Stock of the Issuer upon settlement.
- [F4]The Restricted Stock Units are vested and not subject to forfeiture. The shares underlying the Restricted Stock Units will be delivered in accordance with the terms of the award agreement between the Issuer and the Reporting Person.
- [F5]Grant of Restricted Stock Units for no monetary consideration. Restricted Stock Units convert into Class A Common Stock of the Issuer upon settlement.