Filing Details

Accession Number:
0001209191-14-076509
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-18 08:26:59
Reporting Period:
2014-12-17
Filing Date:
2014-12-18
Accepted Time:
2014-12-18 08:26:59
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
1380207 Saul Gilinski Capscanada
1893 S.w. Third Street
Pompano Beach FL 33069
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 2014-12-17 17,100 $3.97 1,438,860 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 40,000 Direct
Footnotes
  1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.95 to $4.04, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
  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 Articles of Amendment to the Articles of Incorporation filed with the Securities and Exchange Commission as Exhibit 3.1 to the issuer's Form 8-K on June 25, 2013.