Filing Details
- Accession Number:
- 0001209191-14-073735
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-09 09:05:34
- Reporting Period:
- 2014-12-08
- Filing Date:
- 2014-12-09
- Accepted Time:
- 2014-12-09 09:05:34
- 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 |
|---|---|---|---|---|---|---|---|
| 898860 | Al Et Md Phillip Frost | 4400 Biscayne Boulevard Miami FL 33137 | Yes | No | Yes | No | |
| 1380896 | Trust Investments Gamma Frost | 4400 Biscayne Boulevard Miami FL 33137 | No | No | Yes | No | |
| 1464124 | Trust Investments Nevada Frost | 4400 Biscayne Boulevard Miami FL 33137 | No | No | Yes | 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 | 2014-12-08 | 15,000 | $3.49 | 12,278,699 | No | 4 | P | Indirect | Frost Gamma Investments Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Frost Gamma Investments Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 43,013,431 | Indirect | Frost Nevada Investments Trust |
| 8.00% Series A Cumulative Redeemable Preferred Stock | 910,000 | Indirect | Frost Nevada Investments Trust |
Footnotes
- These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee and Frost Gamma, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of two limited partners of Frost Gamma, L.P. The general partner of Frost Gamma, L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. The Reporting Person is also the sole shareholder of Frost-Nevada Corporation.
- These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.
- 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.
Billionaire Hedge Funds
