SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 2, 2019
(Exact Name of Registrant as Specified in Charter)
(State or Other Jurisdiction of Incorporation)
(Commission File Number)
599 Lexington Avenue
New York, NY 10022
(Address of Principal Executive Offices and Zip Code)
Registrant’s telephone number, including area code: (212) 845-7900
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company o
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On January 8, 2019, Cowen Inc. (the “Company”) filed, with the Securities and Exchange Commission, a Current Report on Form 8-K (the “Initial Form 8-K”) regarding the closing of Cowen's acquisition of all of the outstanding equity interests in Quarton Management AG, Quarton International Europe AG, Quarton Partners, LLC and Quarton Securities GP, LLC (collectively "Quarton Group") comprising the U.S. and European operations of the acquired combining companies (the "Acquisition").
Upon further analysis following completion of the respective audits of the financial statements of the Company and Quarton Group for the fiscal year ended December 31, 2018 and the filing of the Company’s 2018 Annual Report on Form 10-K, the Company has determined that financial statements of Quarton Group and pro forma financial information giving effect to the Acquisition are no longer required to be filed pursuant to Item 9.01(a) of Form 8-K and Rule 3-05(b) of Regulation S-X.
Accordingly, the Company hereby amends the Initial Form 8-K to eliminate the references to the subsequent filing of financial statements of Quarton Group and pro forma financial information giving effect to the Acquisition.
Item 9.01. Financial Statements and Exhibits
The disclosure contained in Item 9.01(a) and Item 9.01(b) of the Initial Form 8-K is hereby deleted in its entirety.
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
/s/ STEPHEN A. LASOTA
Stephen A. Lasota
March 18, 2019
Chief Financial Officer (principal financial officer and principal accounting officer)