LADENBURG THALMANN FINANCIAL SERVICES INC 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC · Filed Aug 16, 2013
Insider Transaction Report
Form 4
ROSENSTOCK RICHARD J
Director
Transactions
- Purchase
Common Stock
2013-08-15$1.67/sh+20,000$33,400→ 124,000 total(indirect: By IRA)
Holdings
- 5,000(indirect: By IRA)
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
- 2,701,586(indirect: By Trust)
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.