Earnings Feed
Start Free
Home/Filings/4/0001209191-18-030265
4//SEC Filing

Gilinski Saul 4

Accession 0001209191-18-030265

CIK 0001029730other
View on SEC.govCompany Profile

Filed

May 14, 8:00 PM ET

Accepted

May 15, 5:29 PM ET

Size

37.0 KB

Accession

0001209191-18-030265

Insider Transaction Report

Form 4
Period: 2018-05-11
LADENBURG THALMANN FINANCIAL SERVICES INC.LTS
Gilinski Saul
Director
Transactions
  • Exercise/Conversion

    Common Stock

    2018-05-14$0.73/sh+20,000$14,600→ 1,528,391 total
  • Tax Payment

    Common Stock

    2018-05-14$3.81/sh−3,832$14,600→ 1,524,559 total
  • Exercise/Conversion

    Common Stock

    2018-05-14$1.11/sh+20,000$22,200→ 1,544,559 total
  • Tax Payment

    Common Stock

    2018-05-14$3.81/sh−5,827$22,201→ 1,538,732 total
  • Exercise/Conversion

    Common Stock

    2018-05-14$1.79/sh+20,000$35,800→ 1,558,732 total
  • Tax Payment

    Common Stock

    2018-05-14$3.81/sh−9,396$35,799→ 1,549,336 total
  • Exercise/Conversion

    Common Stock

    2018-05-14$1.32/sh+20,000$26,400→ 1,569,336 total
  • Tax Payment

    Common Stock

    2018-05-14$3.81/sh−6,929$26,399→ 1,562,407 total
  • Sale

    Common Stock

    2018-05-15$3.73/sh−6,400$23,903→ 1,556,007 total
  • Exercise/Conversion

    Stock Option (Right to Buy)

    2018-05-14−20,000→ 0 total
    Exercise: $1.79From: 2012-11-10Exp: 2021-11-10→ Common Stock (20,000 underlying)
  • Sale

    Common Stock

    2018-05-11$3.78/sh−20,000$75,610→ 1,513,860 total
  • Sale

    Common Stock

    2018-05-14$3.81/sh−15,600$59,416→ 1,498,260 total
  • Exercise/Conversion

    Common Stock

    2018-05-14$1.88/sh+20,000$37,600→ 1,518,260 total
  • Tax Payment

    Common Stock

    2018-05-14$3.81/sh−9,869$37,601→ 1,508,391 total
  • Exercise/Conversion

    Stock Option (Right to Buy)

    2018-05-14−20,000→ 0 total
    Exercise: $1.88From: 2009-06-06Exp: 2018-06-05→ Common Stock (20,000 underlying)
  • Exercise/Conversion

    Stock Option (Right to Buy)

    2018-05-14−20,000→ 0 total
    Exercise: $0.73From: 2010-08-27Exp: 2019-08-27→ Common Stock (20,000 underlying)
  • Exercise/Conversion

    Stock Option (Right to Buy)

    2018-05-14−20,000→ 0 total
    Exercise: $1.11From: 2011-09-24Exp: 2020-09-24→ Common Stock (20,000 underlying)
  • Exercise/Conversion

    Stock Option (Right to Buy)

    2018-05-14−20,000→ 30,000 total
    Exercise: $1.32From: 2013-09-28Exp: 2022-09-28→ Common Stock (20,000 underlying)
Holdings

  • 8.00% Series A Cumulative Redeemable Preferred Stock

    26,000
Footnotes (5)
  • [F1]The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.75 to $3.81, 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 sold at each separate price within the range set forth in footnote (1) to this Form 4.
  • [F2]The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.76 to $3.83, 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 sold at each separate price within the range set forth in footnote (2) to this Form 4.
  • [F3]Represents shares withheld to cover the exercise price of the options exercised.
  • [F4]The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.71 to $3.76, 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 sold at each separate price within the range set forth in footnote (4) to this Form 4.
  • [F5]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 Articles of Amendment to the Articles of Incorporation filed with the Securities and Exchange Commission as Exhibit 3.1 to the issuer's Form 8-K on June 25, 2013.

Documents

1 file

Issuer

LADENBURG THALMANN FINANCIAL SERVICES INC.

CIK 0001029730

→
Entity typeother

Related Parties

1
  • filerCIK 0001380207

Filing Metadata

Form type
4
Filed
May 14, 8:00 PM ET
Accepted
May 15, 5:29 PM ET
Size
37.0 KB
View on SEC.gov