Filing Details

Accession Number:
0001209191-14-003020
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-14 07:48:10
Reporting Period:
2014-01-13
Filing Date:
2014-01-14
Accepted Time:
2014-01-14 07:48:10
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
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 2014-01-13 381 $2.93 124,381 No 4 P Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
Common Stock Acquisiton 2014-01-13 479 $2.95 124,860 No 4 P Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
Common Stock Acquisiton 2014-01-13 3,017 $2.96 127,877 No 4 P Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
Common Stock Acquisiton 2014-01-13 1,123 $2.97 129,000 No 4 P Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
No 4 P Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
No 4 P Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
No 4 P Indirect Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 115,000 Direct
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
8.00% Series A Cumulative Redeemable Preferred Stock 2,000 Indirect Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96
Footnotes
  1. Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.
  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.