X0306 4 2015-02-04 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 2015-02-04 4 A 0 30303 0.00 A 72168 D Common Stock, $0.001 par value per share 19353 I By Corriente Private Trust Common Stock, $0.001 par value per share 57578 I By Regents Gate Associates, LLC Mr. Dawson was awarded 30,303 restricted shares under the Second Amended and Restated Institutional Financial Markets, Inc. 2010 Long-Term Incentive Plan. The restrictions expire on February 4, 2016. 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. These securities are held by Regents Gate Associates, LLC. The Trust is one of the two members of Regents Gate Associates, LLC, and the other member is the reporting person's spouse's trust.. The reporting person disclaims any interest in the securities beyond his pecuniary interest. /s/ Joseph W. Pooler, Jr., as attorney-in-fact 2015-02-06