Filing Details

Accession Number:
0001209191-16-091560
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-01-15 07:30:28
Reporting Period:
2016-01-14
Filing Date:
2016-01-15
Accepted Time:
2016-01-15 07:30:28
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
1047092 Richard Lampen 4400 Biscayne Boulevard
12Th Floor
Miami FL 33137
President And Ceo Yes 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 2016-01-14 3,900 $2.24 1,130,817 No 4 P Direct
Common Stock Acquisiton 2016-01-14 1,100 $2.25 1,131,917 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
8.00% Series A Cumulative Redeemable Preferred Stock 4,200 Indirect By wife
Common Stock 63,333 Indirect By wife
Footnotes
  1. 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.
  2. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.