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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (4) | 01/02/2014 | M | 1,258 | (4) | (4) | Common Stock | 1,258 | $ 0 | 0 | D | ||||
Restricted Stock Units | (5) | 01/03/2014 | M | 2,350 | (5) | (5) | Common Stock | 2,350 | $ 0 | 2,351 | D | ||||
Restricted Stock Units | (6) | 01/04/2014 | M | 1,494 | (6) | (6) | Common Stock | 1,494 | $ 0 | 1,494 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
COHEN PETER A C/O COWEN GROUP, INC. 599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
X |
/s/ Jack Sarno, attorney-in-fact for Peter A. Cohen | 01/06/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Ramius Advisors, LLC ("Ramius Advisors") is the investment advisor of Ramius Enterprise Master Fund Ltd. ("Enterprise") and may be considered the beneficial owner of any securities deemed to be beneficially owned by Enterprise. Ramius LLC ("Ramius") is the sole managing member of Ramius Advisors and may be considered the beneficial owner of any securities deemed to be beneficially owned by Ramius Advisors. As the sole member of Ramius, Cowen Group, Inc. ("Cowen") may be considered the beneficial owner of any securities deemed to be owned by Ramius. As the Chief Executive Officer of Cowen, the reporting person may be deemed to be the beneficial owner of any securities deemed to be beneficially owned by Ramius. |
(2) | (continuation of footnote 1): The reporting person and the other Ramius and Cowen affiliates (other than Enterprise) disclaim beneficial ownership of securities held by Enterprise except to the extent of their pecuniary interest therein. |
(3) | The 750,000 shares previously reported as beneficially owned by Enterprise that were frozen in Enterprise's prime brokerage account as a result of Lehman Brothers International (Europe)("LBIE") being placed in administration on September 15, 2008 are no longer considered beneficially owned by Enterprise due to a settlement agreement between LBIE and Lehman Brothers, Inc. ("LBI") pursuant to which securities held by LBI on behalf of LBIE's clients (including Enterprise) were returned to LBIE and liquidated by LBIE with cash proceeds (rather than securities) distributed to LBIE creditors (including Enterprise) to satisfy creditor claims. |
(4) | Represents vesting of one-fifth of award of restricted stock units granted on January 2, 2009. The award has fully vested. Each unit converts into a share of common stock on a one-for-one basis. |
(5) | Represents vesting of one-fourth of award of restricted stock units granted on September 7, 2011. The balance of the award is scheduled to vest on January 3, 2015. Each unit converts into a share of common stock on a one-for-one basis. |
(6) | Represents vesting of one-fifth of award of restricted stock units granted on January 4, 2010. The balance of the award is scheduled to vest on January 4, 2015. Each unit converts into a share of common stock on a one-for-one basis. |