0001181431-13-014776.txt : 20130306 0001181431-13-014776.hdr.sgml : 20130306 20130306095209 ACCESSION NUMBER: 0001181431-13-014776 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130304 FILED AS OF DATE: 20130306 DATE AS OF CHANGE: 20130306 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: DAWSON G STEVEN CENTRAL INDEX KEY: 0001020944 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32026 FILM NUMBER: 13668377 MAIL ADDRESS: STREET 1: CIRA CENTRE STREET 2: 2929 ARCH STREET, 17TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104-2870 4 1 rrd372895.xml X0306 4 2013-03-04 0 0001270436 INSTITUTIONAL FINANCIAL MARKETS, INC. IFMI 0001020944 DAWSON G STEVEN C/O INSTITUTIONAL FINANCIAL MARKETS, INC 2929 ARCH STREET, 17TH FLOOR PHILADELPHIA PA 19104-2870 1 0 0 0 Common Stock, $0.001 par value per share 2013-03-04 4 A 0 19231 0.00 A 68499 D Common Stock, $0.001 par value per share 27663 I By Trust (See Footnote 2) Mr. Dawson was awarded 19,231 restricted shares under the Issuer's 2010 Amended and Restated Long-Term Incentive Plan. The restrictions expire on March 4, 2014. These securities are held by Corriente Private Trust, an irrevocable trust (the "Trust"). The Reporting Person is the Primary Trustee and sole beneficiary of the Trust and has voting and investment control with respect to the securities in the Trust. The Reporting Person disclaims any interest in the securities beyond his pecuniary interest. /s/ Joseph W. Pooler, Jr. as attorney-in-fact 2013-03-06