X0306 4 2014-12-31 0 0001270436 INSTITUTIONAL FINANCIAL MARKETS, INC. IFMI 0001478247 Pooler Joseph W. Jr. C/O 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 2014-12-31 4 F 0 6022 1.65 D 150688 D Represents shares of common stock withheld by the Company to fund certain tax liabilities incurred by the reporting person in connection with the vesting, on December 31, 2014, of 17,500 shares of restricted stock granted to the reporting person under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan. /s/ Joseph W. Pooler, Jr. 2015-01-05