LADENBURG THALMANN FINANCIAL SERVICES INC 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC · Filed Mar 17, 2014
Insider Transaction Report
Form 4
ROSENSTOCK RICHARD J
Director
Transactions
- Purchase
Common Stock
2014-03-14$2.99/sh+1,250$3,738→ 131,099 total(indirect: By IRA) - Purchase
Common Stock
2014-03-14$3.00/sh+2,901$8,703→ 134,000 total(indirect: By IRA) - Purchase
Common Stock
2014-03-14$2.97/sh+849$2,522→ 129,849 total(indirect: By IRA)
Holdings
- 115,000
Common Stock
- 5,000(indirect: By IRA)
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.