4//SEC Filing
ROSENSTOCK RICHARD J 4
Accession 0001209191-13-029435
CIK 0001029730other
Filed
May 28, 8:00 PM ET
Accepted
May 29, 6:36 PM ET
Size
9.1 KB
Accession
0001209191-13-029435
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.
Documents
Issuer
LADENBURG THALMANN FINANCIAL SERVICES INC
CIK 0001029730
Entity typeother
Related Parties
1- filerCIK 0001044006
Filing Metadata
- Form type
- 4
- Filed
- May 28, 8:00 PM ET
- Accepted
- May 29, 6:36 PM ET
- Size
- 9.1 KB