TERMINATION AND RELEASE AGREEMENTTermination and Release Agreement • October 19th, 2015 • Ricciardi Christopher • Security brokers, dealers & flotation companies • New York
THIS TERMINATION AND RELEASE AGREEMENT (this “Agreement”), dated as of October 16, 2015 (the “Effective Date”), is entered into by and among Mead Park Capital Partners LLC, a Delaware limited liability company (“Mead Park”), Christopher Ricciardi, an individual, Stephanie Ricciardi, an individual, The Ricciardi Family Foundation, a New York charitable not-for-profit corporation (together with Stephanie Ricciardi and Christopher Ricciardi, “Ricciardi”), and Institutional Financial Markets, Inc., a Maryland corporation (the “Company”).
STOCK AND NOTE PURCHASE AGREEMENTStock and Note Purchase Agreement • September 1st, 2015 • Ricciardi Christopher • Security brokers, dealers & flotation companies • New York
THIS STOCK AND NOTE PURCHASE AGREEMENT (this “Agreement”), dated as of August 28, 2015 (the “Effective Date”), is entered into by and among Mead Park Capital Partners LLC, a Delaware limited liability company located at 70 East 55th Street, 21st Floor, New York, New York 10022 (the “Seller”), The Betsy Zubrow Cohen IRA (the “B. Cohen IRA”), The Edward E. Cohen IRA (the “E. Cohen IRA”), for purposes of Sections 6 and 7 of this Agreement only, Institutional Financial Markets, Inc., a Maryland corporation with its principal executive offices at Cira Centre, 2929 Arch Street, 17th Floor, Philadelphia, Pennsylvania 19104 (the “Company”), and, for purposes of Section 8 of this Agreement only, Mead Park Holdings LP, a Delaware limited partnership located at 70 East 55th Street, 21st Floor, New York, New York 10022 (“Mead Park”). Each of the B. Cohen IRA and the E. Cohen IRA may be referred to herein, individually, as a “Buyer” and, together, as the “Buyers.”
JOINT FILING AGREEMENTJoint Filing Agreement • September 1st, 2015 • Ricciardi Christopher • Security brokers, dealers & flotation companies
This JOINT FILING AGREEMENT, dated as of September 1, 2015, is made by and between Christopher Ricciardi, Stephanie Ricciardi and Mead Park Capital Partners LLC. Mr. and Mrs. Ricciardi and Mead Park Capital Partners LLC are collectively referred to herein as the “Parties” and each individually as a “Party.” Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the Parties hereby acknowledge and agree that the amendment to Schedule 13D is filed on behalf of each such Party and that all subsequent amendments to the Schedule 13D shall be filed on behalf of each of the Parties without the necessity of entering into and filing additional joint filing agreements. The Parties further agree that this Joint Filing Agreement be included as an exhibit to the joint filing. This Joint Filing Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument.
