4//SEC Filing
INSTITUTIONAL FINANCIAL MARKETS, INC. 4
Accession 0001104659-15-071187
$COHNCIK 0001270436operating
Filed
Oct 18, 8:00 PM ET
Accepted
Oct 19, 9:51 AM ET
Size
9.0 KB
Accession
0001104659-15-071187
Insider Transaction Report
Form 4
Ricciardi Christopher
President10% Owner
Transactions
- Disposition to Issuer
Common Stock, par value $0.001
2015-10-16$2.00/sh−487,291$974,582→ 0 total(indirect: By LLC) - Disposition to Issuer
Common Stock, par value $0.001
2015-10-16$2.00/sh−48,448$96,896→ 0 total(indirect: By Spouse) - Disposition to Issuer
Common Stock, par value $0.001
2015-10-16$2.00/sh−1,399,286$2,798,572→ 12,403 total
Footnotes (1)
- [F1]In connection with the termination of the Securities Purchase Agreement, dated as of May 9, 2013, by and among the Issuer, Mead Park Capital Partners LLC ("Mead Park LLC") and, solely for purposes of Section 6.3 thereof, Mead Park Holdings LP, and all rights thereunder and the mutual release of claims set forth in the Termination and Release Agreement, dated as of October 16, 2015, by and among the Issuer, the Reporting Person, Stephanie Ricciardi, The Ricciardi Family Foundation and Mead Park LLC, an aggregate of 2,000,000 shares of common stock, par value $0.001 per share, of Issuer (the "Common Stock") were transferred to the Issuer for an aggregate amount of $4 million. The Reporting Person had a pecuniary interest in 1,935,025 of such shares of Common Stock, as noted herein.
Documents
Issuer
INSTITUTIONAL FINANCIAL MARKETS, INC.
CIK 0001270436
Entity typeoperating
IncorporatedMD
Related Parties
1- filerCIK 0001270436
Filing Metadata
- Form type
- 4
- Filed
- Oct 18, 8:00 PM ET
- Accepted
- Oct 19, 9:51 AM ET
- Size
- 9.0 KB