Filing Details

Accession Number:
0001209191-19-024443
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-04-12 07:53:46
Reporting Period:
2019-04-11
Accepted Time:
2019-04-12 07:53:46
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 2019-04-11 7,000 $3.38 3,050,343 No 4 P Indirect Held by the Mark D. Zeitchick 2016 Revocable Trust
Common Stock Acquisiton 2019-04-11 3,000 $3.37 3,053,343 No 4 P Indirect Held by the Mark D. Zeitchick 2016 Revocable Trust
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Held by the Mark D. Zeitchick 2016 Revocable Trust
No 4 P Indirect Held by the Mark D. Zeitchick 2016 Revocable Trust
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,001,203 Direct
8.00% Series A Cumulative Redeemable Preferred Stock 4,000 Indirect Held by the Mark D. Zeitchick 2016 Revocable Trust
Footnotes
  1. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.375 to $3.38, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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 is the trustee of the above-listed trust.
  3. The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.365 to $3.37, inclusive. The reporting person undertakes to provide Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company, 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 (3) to this Form 4.
  4. 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.