Filing Details

Accession Number:
0001209191-12-028463
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-05-16 10:08:54
Reporting Period:
2012-05-15
Filing Date:
2012-05-16
Accepted Time:
2012-05-16 09:08:54
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 2012-05-15 25 $1.45 105,025 No 4 P Direct
Common Stock Acquisiton 2012-05-15 457 $1.46 105,482 No 4 P Direct
Common Stock Acquisiton 2012-05-15 4,518 $1.47 110,000 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 59,000 Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
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
Footnotes
  1. Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.