Cohen & Co Inc. — Director's Dealing 2014

Feb 14, 2014

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: INSTITUTIONAL FINANCIAL MARKETS, INC. (IFMI)
CIK: 0001270436
Period of Report: 2014-02-12

Reporting Person: DAWSON G STEVEN (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-02-12	Common Stock, $0.001 par value per share	A	22634	$0.00	Acquired	41865	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, $0.001 par value per share	19353	Indirect
Common Stock, $0.001 par value per share	57578	Indirect

Footnotes

F1: The reporting person was awarded 22,634 restricted shares under the Issuer's 2010 Second Amended and Restated Long-Term Incentive Plan. The restrictions expire on February 12, 2015.

F2: These securities are held by Corriente Private Trust, an irrevocable trust (the "Trust"). The reporting person is the Primary Trustee and sole beneficiary of the Trust and has voting and investment control with respect to the securities in the Trust. The reporting person disclaims any interest in the securities beyond his pecuniary interest.

F3: These securities are held by Regents Gate Associates, LLC. The Trust is one of the two members of Regents Gate Associates, LLC, and the other member is the reporting person's spouse's trust. These securities were previously held by the Trust but were transfered to Regents Gate Associates, LLC since the reporting person's last filing on Form 4. The reporting person disclaims any interest in the securities beyond his pecuniary interest.