Cohen & Co Inc. — Director's Dealing 2013

Sep 27, 2013

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: INSTITUTIONAL FINANCIAL MARKETS, INC. (IFMI)
CIK: 0001270436
Period of Report: 2013-09-25

Reporting Person: Mead Park Capital Partners LLC (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, par value $0.001	1949167	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Convertible Senior Promissory Note	$3.00	2018-09-25	Common Stock, par value $0.001 (1949167)		Direct

Footnotes

F1: Under certain situations, Institutional Financial Markets, Inc. (the "Company") can elect to pay interest on the convertible senior promissory note by increasing the principal amount of the note. If the Company elects this option, the number of shares that the note converts into will increase. The maximum number of shares of the Company's common stock (subject to customary anti-dilution adjustments) that the note can convert into is 2,897,204 shares (assuming no interest is paid in cash).