EXECUTIVE AGREEMENTExecutive Agreement • August 11th, 2011 • Institutional Financial Markets, Inc. • Security brokers, dealers & flotation companies • New York
THIS EXECUTIVE AGREEMENT (this “Agreement”) is dated as of May 31, 2011, by and among PrinceRidge Holdings LP (the “Company”), an indirect subsidiary of Institutional Financial Markets, Inc. (the “Parent”), Parent, John Costas (the “Executive”) and, solely with respect to Section 3.5(a), IFMI, LLC, a majority-owned subsidiary of Parent (“IFMI”) (each a “Party” and, collectively, the “Parties”).
AMENDED AND RESTATED EMPLOYMENT AGREEMENTEmployment Agreement • August 11th, 2011 • Institutional Financial Markets, Inc. • Security brokers, dealers & flotation companies • Pennsylvania
THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the “Agreement”) is dated as of April 19, 2011, by and among IFMI, LLC (formerly, Cohen Brothers, LLC; the “Company”), a subsidiary of Institutional Financial Markets, Inc. (formerly, Cohen & Company Inc.; “Parent”), Parent, each of which has its principal place of business at 2929 Arch Street, Philadelphia, PA 19104, and Christopher Ricciardi (the “Executive”).
IFMI, LLC AMENDMENT NO. 1 TO AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENTLimited Liability Company Agreement • August 11th, 2011 • Institutional Financial Markets, Inc. • Security brokers, dealers & flotation companies • Delaware
THIS AMENDMENT NO. 1 TO LIMITED LIABILITY COMPANY AGREEMENT of IFMI, LLC, dated as of June 20, 2011 (the “Amendment”), is entered into by and among each of the Members set forth on the signature pages hereto.
