Filing Details
- Accession Number:
- 0001209191-14-074804
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-12 09:01:13
- Reporting Period:
- 2014-12-11
- Filing Date:
- 2014-12-12
- Accepted Time:
- 2014-12-12 09:01:13
- 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., 4400 Biscayne Blvd., 12Th Floor Miami FL 33137 | 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 | 2014-12-11 | 5,000 | $3.73 | 154,000 | 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 |
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
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.72 to $3.75, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
- 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.
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