Filing Details
- Accession Number:
- 0001209191-13-018010
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-22 09:11:56
- Reporting Period:
- 2013-03-20
- Filing Date:
- 2013-03-22
- Accepted Time:
- 2013-03-22 09:11:56
- 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 | 2013-03-20 | 800 | $1.65 | 84,800 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2013-03-20 | 534 | $1.66 | 85,334 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2013-03-20 | 1,250 | $1.67 | 86,584 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2013-03-20 | 650 | $1.68 | 87,234 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2013-03-21 | 25 | $1.68 | 87,259 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2013-03-21 | 2,117 | $1.69 | 89,376 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Common Stock | Acquisiton | 2013-03-21 | 4,624 | $1.70 | 94,000 | No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
| No | 4 | P | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 115,000 | Direct | |
| Common Stock | 2,701,586 | Indirect | Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 |
| 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
- Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.
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