Delaware
|
|
001-34516
|
|
27-0423711
|
(State or Other Jurisdiction of Incorporation)
|
|
(Commission File Number)
|
|
(I.R.S. Employer
Identification No.)
|
¨
|
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
¨
|
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
¨
|
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
¨
|
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
|
Title of Each Class
|
|
Trading Symbol
|
|
Name of Exchange on Which Registered
|
Class A Common Stock, par value $0.01 per share
|
|
COWN
|
|
The Nasdaq Global Market
|
7.35% Senior Notes due 2027
|
|
COWNZ
|
|
The Nasdaq Global Market
|
7.75% Senior Notes due 2033
|
|
COWNL
|
|
The Nasdaq Global Market
|
Name
|
Votes For
|
Authority Withheld
|
|
|
|
Brett H. Barth
|
20,626,093
|
407,679
|
Katherine E. Dietze
|
20,933,446
|
100,326
|
Gregg A. Gonsalves
|
20,933,304
|
100,468
|
Steven Kotler
|
20,919,983
|
113,789
|
Lawrence E. Leibowitz
|
20,713,106
|
320,666
|
Jack H. Nusbaum
|
20,932,206
|
101,566
|
Margaret L. Poster
|
20,931,523
|
102,249
|
Douglas A. Rediker
|
20,933,946
|
99,826
|
Jeffrey M. Solomon
|
20,804,567
|
229,205
|
|
For |
Against
|
Abstain |
Advisory Vote to Approve the Compensation of the Company’s Named Executive Officers
|
11,711,715
|
9,317,719
|
4,338
|
|
For |
Against
|
Abstain |
Ratification of KPMG LLP as the Independent Registered Public Accounting Firm for the Year Ending December 31, 2020
|
23,468,507
|
37,961
|
48,829
|
|
For |
Against
|
Abstain |
Approval of the 2020 Equity Incentive Plan
|
10,772,435
|
10,226,550
|
34,787
|
(d)
|
Exhibits
|
|
|
|
|
|
COWEN INC.
|
||
|
|
|
By:
|
|
/s/ Owen S. Littman
|
|
|
Name: Owen S. Littman
|
|
|
Title: General Counsel
|