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Filing Details

Accession Number:
0001209191-18-024891
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-04-16 07:52:13
Reporting Period:
2018-04-13
Accepted Time:
2018-04-16 07:52:13
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
1047092 Richard Lampen 4400 Biscayne Boulevard
12Th Floor
Miami FL 33137
President And Ceo 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 2018-04-13 5,000 $3.30 73,333 No 4 P Indirect By wife
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By wife
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,310,059 Direct
8.00% Series A Cumulative Redeemable Preferred Stock 4,200 Indirect By wife
Footnotes
  1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.29 to $3.32, 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 reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
  3. 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.