Filing Details
- Accession Number:
- 0001209191-15-034194
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-04-15 08:00:39
- Reporting Period:
- 2015-04-14
- Filing Date:
- 2015-04-15
- Accepted Time:
- 2015-04-15 08:00:39
- 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 | 2015-04-14 | 2,000 | $3.73 | 180,013 | 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 represents the weighted average price per share. These securities were purchased in multiple open market transactions at prices ranging from $3.72 to $3.74. The Reporting Person undertakes to provide the staff of the SEC, the issuer, or a shareholder of the issuer, upon request, the number of shares purchased at each separate price within the range listed above.
- 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
