0001104659-16-097155.txt : 20160216
0001104659-16-097155.hdr.sgml : 20160215
20160216123114
ACCESSION NUMBER: 0001104659-16-097155
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160212
FILED AS OF DATE: 20160216
DATE AS OF CHANGE: 20160216
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: INSTITUTIONAL FINANCIAL MARKETS, INC.
CENTRAL INDEX KEY: 0001270436
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 161685692
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: CIRA CENTRE, 2929 ARCH STREET
STREET 2: 17TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104-2870
BUSINESS PHONE: 215-701-9555
MAIL ADDRESS:
STREET 1: CIRA CENTRE, 2929 ARCH STREET
STREET 2: 17TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104-2870
FORMER COMPANY:
FORMER CONFORMED NAME: COHEN & Co INC.
DATE OF NAME CHANGE: 20091216
FORMER COMPANY:
FORMER CONFORMED NAME: ALESCO FINANCIAL INC
DATE OF NAME CHANGE: 20061006
FORMER COMPANY:
FORMER CONFORMED NAME: SUNSET FINANCIAL RESOURCES INC
DATE OF NAME CHANGE: 20031117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Pooler Joseph W. Jr.
CENTRAL INDEX KEY: 0001478247
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32026
FILM NUMBER: 161425449
MAIL ADDRESS:
STREET 1: 2929 ARCH STREET
STREET 2: 17TH FLOOR
CITY: PHILADELPHIA
STATE: PA
ZIP: 19104-2870
4
1
a4.xml
4
X0306
4
2016-02-12
0
0001270436
INSTITUTIONAL FINANCIAL MARKETS, INC.
IFMI
0001478247
Pooler Joseph W. Jr.
INSTITUTIONAL FINANCIAL MARKETS, INC.,
2929 ARCH STREET, 17TH FLOOR
PHILADELPHIA
PA
19104-2870
0
1
0
0
EVP, CFO and Treasurer
Common Stock, par value $0.001 per share
2016-02-12
4
A
0
92593
0
A
279712
D
Mr. Pooler was awarded 92,593 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan. The restrictions expire with respect to one-half of these restricted shares on January 31, 2017 and with respect to the remaining one-half of these restricted shares on January 31, 2018, in each case, so long as Mr. Pooler is then employed by the Issuer or any of its subsidiaries.
/s/ Joseph W. Pooler, Jr.
2016-02-16