Filing Details
- Accession Number:
- 0001209191-18-055018
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-16 09:21:42
- Reporting Period:
- 2018-10-15
- Accepted Time:
- 2018-10-16 09:21:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1567315 | Joseph Giovanniello | C/O Ladenburg Thalmann Financial Service 4400 Biscayne Blvd. Miami FL 33137 | Senior Vice President | No | 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 | 2018-10-15 | 4,000 | $2.55 | 357,547 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| 8.00% Series A Cumulative Redeemable Preferred Stock | 2,000 | Direct |
Footnotes
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.53 to $2.57, 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.
- 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
