4//SEC Filing
LADENBURG THALMANN FINANCIAL SERVICES INC 4
Accession 0001209191-15-067832
CIK 0001029730operating
Filed
Aug 24, 8:00 PM ET
Accepted
Aug 25, 5:15 PM ET
Size
8.5 KB
Accession
0001209191-15-067832
Insider Transaction Report
Form 4
Simkin Jacqueline M
Director
Transactions
- Purchase
Common Stock
2015-08-21$2.52/sh+5,000$12,600→ 1,486,943 total(indirect: By Trust)
Holdings
- 181,000(indirect: By Trust)
Common Stock
- 8,000(indirect: By Trust)
8.00% Series A Cumulative Redeemable Preferred Stock
- 325,500(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]The reporting person is the trustee of the above-listed trust.
- [F2]The reporting person is a trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- [F3]The reporting person is a co-trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
- [F4]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
- Aug 24, 8:00 PM ET
- Accepted
- Aug 25, 5:15 PM ET
- Size
- 8.5 KB