Filing Details

Accession Number:
0001209191-13-020617
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-04-08 09:03:29
Reporting Period:
2013-04-04
Filing Date:
2013-04-08
Accepted Time:
2013-04-08 09:03:29
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
1446157 M Jacqueline Simkin 801 Brickell Ave, Suite 2350
Miami FL 33131
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 2013-04-04 5,000 $1.60 1,018,322 No 4 P Indirect Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 521,318 Indirect Held by The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11
Common Stock 211,000 Indirect Held by The Jacqueline Simkin Charitable Remainder Unitrust dtd 09/06/2002
Footnotes
  1. The reporting person is the trustee of the above-listed trust.
  2. The reporting person is a trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
  3. The reporting person is a co-trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.