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Home > Insider Trading > Filing (0001209191-13-021399)

Filing Details

Accession Number:: 0001209191-13-021399
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-04-16 08:48:40
Reporting Period:: 2013-04-15

Filing Date:: 2013-04-16
Accepted Time:: 2013-04-16 08:48:40
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
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-04-15	5,000	$1.44	104,000	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

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.