Cohen & Co Inc. — Director's Dealing 2017

Feb 21, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: INSTITUTIONAL FINANCIAL MARKETS, INC. (IFMI)
CIK: 0001270436
Period of Report: 2017-02-17

Reporting Person: DAWSON G STEVEN (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-02-17	Common Stock, $0.001 par value per share	A	41667	—	Acquired	103395	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, $0.001 par value per share	149099	Indirect

Footnotes

F1: Mr. Dawson was awarded 41,667 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan, as amended. The restrictions expire on February 17, 2018.

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.