4//SEC Filing
giovanniello joseph 4
Accession 0001209191-18-004041
CIK 0001029730other
Filed
Jan 16, 7:00 PM ET
Accepted
Jan 17, 5:23 PM ET
Size
6.3 KB
Accession
0001209191-18-004041
Insider Transaction Report
Form 4
giovanniello joseph
Senior Vice President
Transactions
- Award
Common Stock
2018-01-12+50,000→ 336,016 total
Holdings
- 2,000
8.00% Series A Cumulative Redeemable Preferred Stock
Footnotes (2)
- [F1]Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided Mr. Giovanniello is then still an employee of the issuer, subject to earlier vesting upon his death or disability.
- [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.
Documents
Issuer
LADENBURG THALMANN FINANCIAL SERVICES INC.
CIK 0001029730
Entity typeother
Related Parties
1- filerCIK 0001567315
Filing Metadata
- Form type
- 4
- Filed
- Jan 16, 7:00 PM ET
- Accepted
- Jan 17, 5:23 PM ET
- Size
- 6.3 KB