Cohen & Co Inc. — Director's Dealing 2015

Sep 8, 2015

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: INSTITUTIONAL FINANCIAL MARKETS, INC. (IFMI)
CIK: 0001270436
Period of Report: 2015-08-28

Reporting Person: COHEN EDWARD E (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	966476	Direct
Common Stock	747585	Indirect
Common Stock	88365	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Convertible Promissory Note	$3.00	2018-09-25	Common Stock, par value $0.001 per share (1461876)		Direct

Footnotes

F1: The reporting person and his spouse are the sole shareholders, officers and directors of the corporate general partner of Solomon Investment Partnership, L.P., a limited partnership, and are the sole partners of the partnership.

F2: The convertible promissory note ("Note") is convertible at any time and matures on September 25, 2018. As of August 28, 2015, the Note was convertible into 1,461,876 shares of IFMI common stock.