Filing Details
- Accession Number:
- 0001209191-14-046717
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-11 07:37:12
- Reporting Period:
- 2014-07-09
- Filing Date:
- 2014-07-11
- Accepted Time:
- 2014-07-11 07:37:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1380207 | Saul Gilinski | Capscanada 1893 S.w. Third Street Pompano Beach FL 33069 | Yes | No | 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 | 2014-07-09 | 5,000 | $3.69 | 1,335,074 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-07-09 | 25,000 | $3.88 | 1,360,074 | 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 | 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.
Billionaire Hedge Funds
