INSTITUTIONAL FINANCIAL MARKETS, INC.

Entry into a Material Definitive Agreement

General form for quarterly reports under Section 13 or 15(d)

Results of Operations and Financial Condition

Other Events

Other Events

Entry into a Material Definitive Agreement

Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans

Submission of Matters to a Vote of Security Holders

Notice of Effectiveness

Correspondence with the SEC

Letter from the SEC

Regulation FD Disclosure

Registration statement under Securities Act of 1933

General form for quarterly reports under Section 13 or 15(d)

Results of Operations and Financial Condition

Annual Report Scanned (Paper)

Additional Information for Proxy Statement/ Votes

Definitive Proxy Statement

Annual report pursuant to Section 13 or 15(d)

Entry into a Material Definitive Agreement

Results of Operations and Financial Condition

Entry into a Material Definitive Agreement

Prospectus Supplement for Primary Offering

Other Events

Regulation FD Disclosure

Other Events

General form for quarterly reports under Section 13 or 15(d)

Results of Operations and Financial Condition

Other Events

General form for quarterly reports under Section 13 or 15(d)

Results of Operations and Financial Condition

Other Events

Other Events

Entry into a Material Definitive Agreement

Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans

General form for quarterly reports under Section 13 or 15(d)

Annual Report Scanned (Paper)

Definitive Proxy Statement

Additional Information for Proxy Statement/ Votes

Annual report pursuant to Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

Notice of Effectiveness

Correspondence with the SEC

Registration statement under Securities Act of 1933 (amendment)

Annual Report Scanned (Paper)

Definitive Proxy Statement

Additional Information for Proxy Statement/ Votes

Annual report pursuant to Section 13 or 15(d)

Certification of approval for listing and registration on a national securities exchange

Registration of Securities on Exchange

Letter from the SEC

Correspondence with the SEC

Letter from the SEC

Letter from the SEC

General form for quarterly reports under Section 13 or 15(d)

Registration statement under Securities Act of 1933

Prospectus Supplement for Primary Offering

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

Annual Report Scanned (Paper)

Additional Information for Proxy Statement/ Votes

Definitive Proxy Statement

Annual report pursuant to Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans

General form for quarterly reports under Section 13 or 15(d)

Definitive Proxy Statement

Additional Information for Proxy Statement/ Votes

Annual report pursuant to Section 13 or 15(d)

General form for quarterly reports under Section 13 or 15(d)

Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans

Additional Information for Proxy Statement/ Votes

Additional Information for Proxy Statement/ Votes

Definitive Proxy Statement

Prospectus Supplement for Primary Offering

Prospectus Supplement for Primary Offering

Notice of Effectiveness

Registration statement under Securities Act of 1933 (amendment)

Correspondence with the SEC

Registration statement under Securities Act of 1933 (amendment)

Letter from the SEC

Registration statement under Securities Act of 1933

Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans

Definitive Proxy Statement

Additional Information for Proxy Statement/ Votes

Preliminary Proxy Statement

Additional Information for Proxy Statement/ Votes

Definitive Proxy Statement

Preliminary Proxy Statement

Definitive Proxy Statement

Annual Report Scanned (Paper)

Annual Report Scanned (Paper)

Correspondence with the SEC

Correspondence with the SEC

Letter from the SEC

Correspondence with the SEC

Letter from the SEC

Pooler Joseph W. Jr.

Pooler Joseph W. Jr.

Pooler Joseph W. Jr.

COHEN DANIEL G

Cohen & Co Inc.; COLUMBUS CIRCLE 3 SPONSOR Corp LLC; Cohen & Company, LLC

Cohen & Co Inc.; COLUMBUS CIRCLE 3 SPONSOR Corp LLC; Cohen & Company, LLC

COHEN DANIEL G

COHEN DANIEL G

Pooler Joseph W. Jr.

Pooler Joseph W. Jr.

COHEN DANIEL G

Pooler Joseph W. Jr.

Brafman Lester Raymond

Cohen & Co Inc.; COLUMBUS CIRCLE 2 SPONSOR Corp LLC; Cohen & Company, LLC

Cohen & Co Inc.; COLUMBUS CIRCLE 2 SPONSOR Corp LLC; Cohen & Company, LLC

Brafman Lester Raymond

Pooler Joseph W. Jr.

Listman Douglas

COHEN DANIEL G

DiMaio Jack J. Jr.