0001181431-13-014772.txt : 20130306 0001181431-13-014772.hdr.sgml : 20130306 20130306095055 ACCESSION NUMBER: 0001181431-13-014772 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130304 FILED AS OF DATE: 20130306 DATE AS OF CHANGE: 20130306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ullom Lance CENTRAL INDEX KEY: 0001378250 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32026 FILM NUMBER: 13668371 MAIL ADDRESS: STREET 1: CIRA CENTRE STREET 2: 2929 ARCH STREET, 17TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104-2870 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 4 1 rrd372906.xml X0306 4 2013-03-04 0 0001270436 INSTITUTIONAL FINANCIAL MARKETS, INC. IFMI 0001378250 Ullom Lance 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 82603 D Common Stock, $0.001 par value per share 19700 I Trust Mr. Ullom 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 in a trust for the benefit of the Reporting Person's spouse. The Reporting Person is a trustee and beneficiary of the trust. /s/ Joseph W. Pooler, Jr. as attorney-in-fact 2013-03-06