4//SEC Filing
LADENBURG THALMANN FINANCIAL SERVICES INC 4
Accession 0001209191-14-074804
CIK 0001029730operating
Filed
Dec 11, 7:00 PM ET
Accepted
Dec 12, 9:01 AM ET
Size
9.6 KB
Accession
0001209191-14-074804
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.
Documents
Issuer
LADENBURG THALMANN FINANCIAL SERVICES INC
CIK 0001029730
Entity typeoperating
IncorporatedFL
Related Parties
1- filerCIK 0001029730
Filing Metadata
- Form type
- 4
- Filed
- Dec 11, 7:00 PM ET
- Accepted
- Dec 12, 9:01 AM ET
- Size
- 9.6 KB