M&A - COWEN AND COMPANY, LLC

Form Type: SCHEDULE 13G/A

Filing Date: 2025-02-14

Corporate Action: Merger

Type: Update

Accession Number: 000108514625001661

Filing Summary: On February 14, 2025, Cowen and Company, LLC and its affiliated entities filed a Schedule 13G/A to report their beneficial ownership of shares in OCA Acquisition Corp. The document highlights that TD Securities (USA) LLC (TDS) is the successor in interest to Cowen as a result of a merger effective December 9, 2024. TDS has reported the sole power to vote and dispose of 161,500 shares, while Cowen Financial Products LLC (CFP) holds the power for 125,000 shares. The filing clarifies the organizational structure, indicating that TD Bank is the ultimate parent company, thus reflecting the hierarchy of ownership among the related parties. It is also noted that each reporting entity disclaims ownership of the shares reported except for their pecuniary interest, emphasizing that the purpose of holding these shares isn't meant to influence control over the issuer. The filing, jointly submitted, signifies updates in the beneficial ownership stakes and the entities involved post-merger, reflecting a change in control and ownership dynamics within the reporting entities.

Document Link: View Document