Filing Details
- Accession Number:
- 0001209191-11-044967
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-19 07:47:18
- Reporting Period:
- 2011-08-18
- Filing Date:
- 2011-08-19
- Accepted Time:
- 2011-08-19 07:47:18
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1029730 | Ladenburg Thalmann Financial Services Inc | LTS | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 650701248 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1044006 | J Richard Rosenstock | C/O Ladenburg Thalmann &Amp; Co. Inc., 520 Madison Ave, 9Th Floor New York NY 10022 | 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 | 2011-08-18 | 25,000 | $1.34 | 328,562 | 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 |
---|---|---|---|
Common Stock | 2,313,846 | Indirect | Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 |
Common Stock | 50,000 | Indirect | Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock |
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 |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.33 to $1.35, inclusive. The reporting person undertakes to provide to 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
- Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.