ROSENSTOCK RICHARD J 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC · Filed May 29, 2013
Insider Transaction Report
Form 4
ROSENSTOCK RICHARD J
Director
Transactions
- Purchase
8.00% Series A Cumulative Redeemable Preferred Stock
2013-05-24$25.00/sh+2,000$50,000→ 2,000 total(indirect: By Trust)
Holdings
- 2,701,586(indirect: By Trust)
Common Stock
- 5,000(indirect: By IRA)
Common Stock
- 115,000
Common Stock
- 104,000(indirect: By IRA)
Common Stock
- 5,000(indirect: By IRA)
Common Stock
Footnotes (2)
- [F1]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.
- [F2]Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.