Filing Details

Accession Number:
0001209191-15-000405
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-01-05 08:02:03
Reporting Period:
2014-12-31
Filing Date:
2015-01-05
Accepted Time:
2015-01-05 08:02:03
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
898860 Al Et Md Phillip Frost 4400 Biscayne Boulevard
Miami FL 33137
Yes No Yes No
1380896 Trust Investments Gamma Frost 4400 Biscayne Boulevard
Miami FL 33137
No No Yes No
1464124 Trust Investments Nevada Frost 4400 Biscayne Boulevard
Miami FL 33137
No No Yes 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 2014-12-31 100,000 $4.09 12,528,699 No 4 P Indirect Frost Gamma Investments Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Frost Gamma Investments Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 43,013,431 Indirect Frost Nevada Investments Trust
8.00% Series A Cumulative Redeemable Preferred Stock 910,000 Indirect Frost Nevada Investments Trust
Footnotes
  1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.02 to $4.11, 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.
  2. These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee and Frost Gamma, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of two limited partners of Frost Gamma, L.P. The general partner of Frost Gamma, L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. The Reporting Person is also the sole shareholder of Frost-Nevada Corporation.
  3. These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P.
  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.