Filing Details
- Accession Number:
- 0001209191-13-046877
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-03 08:46:08
- Reporting Period:
- 2013-10-02
- Filing Date:
- 2013-10-03
- Accepted Time:
- 2013-10-03 08:46:08
- 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 |
|---|---|---|---|---|---|---|---|
| 1537445 | Scott Adam Malamed | 4400 Biscayne Blvd., 12Th Floor Miami FL 33137 | Chief Operating Officer | No | Yes | 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 | 2013-10-02 | 10,000 | $1.75 | 298,478 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2013-10-02 | 10,000 | $1.76 | 308,478 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| 8.00% Series A Cumulative Redeemable Preferred Stock | 4,000 | Direct |
Footnotes
- The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013.
Billionaire Hedge Funds
