Filing Details

Accession Number:
0001209191-14-003024
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-14 07:53:45
Reporting Period:
2014-01-13
Filing Date:
2014-01-14
Accepted Time:
2014-01-14 07:53:45
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
1093960 Mark Zeitchick 4400 Biscayne Boulevard
12Th Floor
Miami FL 33137
Executive Vice President 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 2014-01-13 3,700 $2.95 2,160,036 No 4 P Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
Common Stock Acquisiton 2014-01-13 200 $2.95 2,160,236 No 4 P Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
Common Stock Acquisiton 2014-01-13 1,000 $2.94 2,161,236 No 4 P Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
Common Stock Acquisiton 2014-01-13 100 $2.94 2,161,336 No 4 P Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
No 4 P Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
No 4 P Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
No 4 P Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
8.00% Series A Cumulative Redeemable Preferred Stock 4,000 Indirect Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member
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.