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Home > Insider Trading > Filing (0001209191-14-020828)

Filing Details

Accession Number:: 0001209191-14-020828
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-03-17 07:01:33
Reporting Period:: 2014-03-14

Filing Date:: 2014-03-17
Accepted Time:: 2014-03-17 07:01:33
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
1093960	Mark Zeitchick	4400 Biscayne Boulevard 12Th Floor Miami FL 33137	Executive Vice President	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-03-14	1,650	$2.98	2,162,986	No	4	P	Indirect	Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
Common Stock	Acquisiton	2014-03-14	300	$2.99	2,163,286	No	4	P	Indirect	Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
Common Stock	Acquisiton	2014-03-14	3,050	$3.00	2,166,336	No	4	P	Indirect	Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
No	4	P	Indirect	Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
No	4	P	Indirect	Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
8.00% Series A Cumulative Redeemable Preferred Stock	4,000	Indirect	Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member

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.