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Home > Insider Trading > Filing (0001209191-13-051497)

Filing Details

Accession Number:: 0001209191-13-051497
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-11-12 07:32:18
Reporting Period:: 2013-11-07

Filing Date:: 2013-11-12
Accepted Time:: 2013-11-12 07:32:18
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
1380207	Saul Gilinski	Capscanada 1893 S.w. Third Street Pompano Beach FL 33069		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	2013-11-07	15,000	$2.25	1,043,600	No	4	P	Direct
Common Stock	Acquisiton	2013-11-07	7,500	$2.24	1,051,100	No	4	P	Direct
Common Stock	Acquisiton	2013-11-07	2,500	$2.24	1,053,600	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
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	40,000	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 Articles of Amendment to the Articles of Incorporation filed with the Securities and Exchange Commission as Exhibit 3.1 to the issuer's Form 8-K on June 25, 2013.