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Home > Insider Trading > Filing (0001209191-14-003026)

Filing Details

Accession Number:: 0001209191-14-003026
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-01-14 07:55:29
Reporting Period:: 2014-01-13

Filing Date:: 2014-01-14
Accepted Time:: 2014-01-14 07:55:29
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
1537445	Scott Adam Malamed	4400 Biscayne Blvd., 12Th Floor Miami FL 33137	Chief Operating Officer	No	Yes	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	400	$2.93	308,878	No	4	P	Direct
Common Stock	Acquisiton	2014-01-13	479	$2.95	309,357	No	4	P	Direct
Common Stock	Acquisiton	2014-01-13	3,009	$2.96	312,366	No	4	P	Direct
Common Stock	Acquisiton	2014-01-13	1,112	$2.97	313,478	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
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.