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Cohen & Co Inc. — Director's Dealing 2016
Feb 16, 2016
34911_dirs_2016-02-16_20a76589-ae43-4871-a2ed-76b8ced3b1c8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: INSTITUTIONAL FINANCIAL MARKETS, INC. (IFMI)
CIK: 0001270436
Period of Report: 2016-02-12
Reporting Person: DAWSON G STEVEN (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-02-12 | Common Stock, $0.001 par value per share | A | 61728 | — | Acquired | 61728 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value per share | 149099 | Indirect |
Footnotes
F1: Mr. Dawson was awarded 61,728 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan. The restrictions expire on February 12, 2017.
F2: These securities are held by Corriente Private Trust, an irrevocable trust (the "Trust"). Mr. Dawson is the Primary Trustee and sole beneficiary of the Trust and has voting and investment control with respect to the securities in the Trust. Mr. Dawson disclaims any interest in the securities beyond his pecuniary interest.