LADENBURG THALMANN FINANCIAL SERVICES INC 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC · Filed Dec 12, 2014
Insider Transaction Report
Form 4
ROSENSTOCK RICHARD J
Director
Transactions
- Purchase
Common Stock
2014-12-11$3.73/sh+5,000$18,631→ 154,000 total(indirect: By IRA)
Holdings
- 5,000(indirect: By IRA)
Common Stock
- 2,000(indirect: By Trust)
8.00% Series A Cumulative Redeemable Preferred Stock
- 115,000
Common Stock
- 2,701,586(indirect: By Trust)
Common Stock
- 5,000(indirect: By IRA)
Common Stock
Footnotes (3)
- [F1]The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.72 to $3.75, 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.
- [F2]Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust.
- [F3]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.