Filing Details

Accession Number:
0001209191-16-091552
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-01-15 07:18:08
Reporting Period:
2016-01-14
Filing Date:
2016-01-15
Accepted Time:
2016-01-15 07:18:08
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
1446157 M Jacqueline Simkin 801 Brickell Ave, Suite 2350
Miami FL 33131
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 2016-01-14 10,000 $2.26 1,627,943 No 4 P Indirect Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 194,500 Indirect Held by The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11
Common Stock 181,000 Indirect Held by The Jacqueline Simkin Charitable Remainder Unitrust dtd 09/06/2002
8.00% Series A Cumulative Redeemable Preferred Stock 8,000 Indirect Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03
Footnotes
  1. The price reported represents the weighted average price per share. These securities were purchased in multiple open market transactions at prices ranging from $2.22 to $2.30. The Reporting Person undertakes to provide the staff of the SEC, the issuer, or a shareholder of the issuer, upon request, the number of shares purchased at each separate price within the range listed above.
  2. Includes the transfer of 131,000 shares from The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11 to The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03.
  3. The reporting person is the trustee of the above-listed trust.
  4. The reporting person is a trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
  5. The reporting person is a co-trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
  6. 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.