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