Filing Details
- Accession Number:
- 0001209191-13-020797
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-04-09 08:46:40
- Reporting Period:
- 2013-04-08
- Filing Date:
- 2013-04-09
- Accepted Time:
- 2013-04-09 08:46:40
- 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 | 2013-04-08 | 4,876 | $1.59 | 1,023,198 | No | 4 | P | Indirect | Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03 |
Common Stock | Acquisiton | 2013-04-08 | 124 | $1.61 | 1,023,322 | 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 |
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
- The reporting person is the trustee of the above-listed trust.
- 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.
- 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.