Filing Details
- Accession Number:
- 0001209191-18-024889
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-04-16 07:50:59
- Reporting Period:
- 2018-04-13
- Accepted Time:
- 2018-04-16 07:50:59
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-04-13 | 5,000 | $3.30 | 2,849,731 | No | 4 | P | Indirect | Held by the Mark D. Zeitchick 2016 Revocable Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Held by the Mark D. Zeitchick 2016 Revocable Trust |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 706,250 | Direct | |
| 8.00% Series A Cumulative Redeemable Preferred Stock | 4,000 | Indirect | Held by the Mark D. Zeitchick 2016 Revocable Trust |
Footnotes
- The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.29 to $3.2999, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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.
- Includes the transfer of 114,448 shares previously held directly by the reporting person to the Mark D. Zeitchick 2016 Revocable Trust.
- The reporting person is the trustee of the above-listed 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.
Billionaire Hedge Funds
