SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • February 20th, 2014 • Institutional Financial Markets, Inc. • Security brokers, dealers & flotation companies • Delaware
This SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of the 20th day of February, 2014 (the “Effective Date”), is entered into by and among Cohen Asia Investments Ltd., a Cayman Islands exempted company (“Cohen Asia”), Dekania Investors, LLC, a Delaware limited liability company (“Dekania”), IFMI, LLC (f/k/a Institutional Financial Markets, LLC (f/k/a Cohen Brothers, LLC (d/b/a Cohen & Company))), a Delaware limited liability company (“IFMI”), Star Asia Management Ltd., a Cayman Islands exempted company, Star Asia Capital Management, LLC, a Delaware limited liability company (“SACM”), Star Asia Advisors Ltd., a Cayman Islands exempted company (“SAA”), Star Asia Advisors II Ltd., a Cayman Islands exempted company, Star Asia Partners Ltd., a Cayman Islands exempted company (“SAP”), Star Asia Partners II Ltd., a Cayman Islands exempted company, Gotham Holdings Ltd., a Cayman Islands exempted company (“Purchaser”), for purposes of Section 7.1 hereof only, Taro Masuyama, an indiv
