Filing Details
- Accession Number:
- 0001209191-10-048361
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-10-04 07:41:45
- Reporting Period:
- 2010-10-01
- Filing Date:
- 2010-10-04
- Accepted Time:
- 2010-10-04 07:41:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1029730 | Ladenburg Thalmann Financial Services Inc | LTS | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 650701248 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1044006 | J Richard Rosenstock | C/O Ladenburg Thalmann &Amp; Co. Inc., 520 Madison Ave, 9Th Floor New York NY 10022 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-10-01 | 50,000 | $1.00 | 293,562 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,286,346 | Indirect | Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 |
| Common Stock | 50,000 | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | 5,000 | Indirect | Held by the NFS/FMTC IRA for the benefit of Richard J. Rosenstock |
| Common Stock | 5,000 | Indirect | Held by the NFS/FMTC IRA for the benefit of Roni L. Rosenstock |
Footnotes
- Following shareholder approval at the Ladenburg Thalmann Financial Services Inc. 2010 Annual Meeting, the securities were acquired on October 1, 2010 pursuant to a Stock Purchase Agreement dated as of May 28, 2010 between the reporting person and Ladenburg Thalmann Financial Services Inc.
- Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.
Billionaire Hedge Funds
