LADENBURG THALMANN FINANCIAL SERVICES INC 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC · Filed Jan 14, 2014
Insider Transaction Report
Form 4
ROSENSTOCK RICHARD J
Director
Transactions
- Purchase
Common Stock
2014-01-13$2.96/sh+3,017$8,935→ 127,877 total(indirect: By IRA) - Purchase
Common Stock
2014-01-13$2.97/sh+1,123$3,335→ 129,000 total(indirect: By IRA) - Purchase
Common Stock
2014-01-13$2.93/sh+381$1,116→ 124,381 total(indirect: By IRA) - Purchase
Common Stock
2014-01-13$2.95/sh+479$1,414→ 124,860 total(indirect: By IRA)
Holdings
- 2,701,586(indirect: By Trust)
Common Stock
- 115,000
Common Stock
- 5,000(indirect: By IRA)
Common Stock
- 2,000(indirect: By Trust)
8.00% Series A Cumulative Redeemable Preferred Stock
- 5,000(indirect: By IRA)
Common Stock
Footnotes (2)
- [F1]Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.
- [F2]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.