Cohen & Co Inc. — Director's Dealing 2015

Oct 19, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: INSTITUTIONAL FINANCIAL MARKETS, INC. (IFMI)
CIK: 0001270436
Period of Report: 2015-10-16

Reporting Person: Ricciardi Christopher (Director, Former10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-10-16	Common Stock, par value $0.001	D	1399286	$2.00	Disposed	12403	Direct
2015-10-16	Common Stock, par value $0.001	D	487291	$2.00	Disposed	0	Indirect
2015-10-16	Common Stock, par value $0.001	D	48448	$2.00	Disposed	0	Indirect

Footnotes

F1: In connection with the termination of the Securities Purchase Agreement, dated as of May 9, 2013, by and among the Issuer, Mead Park Capital Partners LLC ("Mead Park LLC") and, solely for purposes of Section 6.3 thereof, Mead Park Holdings LP, and all rights thereunder and the mutual release of claims set forth in the Termination and Release Agreement, dated as of October 16, 2015, by and among the Issuer, the Reporting Person, Stephanie Ricciardi, The Ricciardi Family Foundation and Mead Park LLC, an aggregate of 2,000,000 shares of common stock, par value $0.001 per share, of Issuer (the "Common Stock") were transferred to the Issuer for an aggregate amount of $4 million. The Reporting Person had a pecuniary interest in 1,935,025 of such shares of Common Stock, as noted herein.