Companies 0 See All

Hedge Funds 0 See All

Insiders 0 See All

Institutional Investors 0 See All

Click here to see all results for

Home > Insider Trading > Filing (0001209191-14-003020)

Filing Details

Accession Number:: 0001209191-14-003020
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-01-14 07:48:10
Reporting Period:: 2014-01-13

Filing Date:: 2014-01-14
Accepted Time:: 2014-01-14 07:48:10
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1029730	Ladenburg Thalmann Financial Services Inc	LTS	Security Brokers, Dealers & Flotation Companies (6211)	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	2014-01-13	381	$2.93	124,381	No	4	P	Indirect	Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
Common Stock	Acquisiton	2014-01-13	479	$2.95	124,860	No	4	P	Indirect	Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
Common Stock	Acquisiton	2014-01-13	3,017	$2.96	127,877	No	4	P	Indirect	Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
Common Stock	Acquisiton	2014-01-13	1,123	$2.97	129,000	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
No	4	P	Indirect	Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
No	4	P	Indirect	Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
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
8.00% Series A Cumulative Redeemable Preferred Stock	2,000	Indirect	Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96

Footnotes

Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.
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.