Filing Details

Accession Number:
0001209191-16-130624
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-07-05 07:15:36
Reporting Period:
2016-06-30
Filing Date:
2016-07-05
Accepted Time:
2016-07-05 07:15:36
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 2016-06-30 2,008 $2.24 235,409 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
  1. Acquisition of stock under Issuer's employee stock purchase plan.
  2. 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.