4//SEC Filing
LADENBURG THALMANN FINANCIAL SERVICES INC 4
Accession 0001209191-16-091552
CIK 0001029730operating
Filed
Jan 14, 7:00 PM ET
Accepted
Jan 15, 7:18 AM ET
Size
9.3 KB
Accession
0001209191-16-091552
Insider Transaction Report
Form 4
Simkin Jacqueline M
Director
Transactions
- Purchase
Common Stock
2016-01-14$2.26/sh+10,000$22,556→ 1,627,943 total(indirect: By Trust)
Holdings
- 194,500(indirect: By Trust)
Common Stock
- 181,000(indirect: By Trust)
Common Stock
- 8,000(indirect: By Trust)
8.00% Series A Cumulative Redeemable Preferred Stock
Footnotes (6)
- [F1]The price reported represents the weighted average price per share. These securities were purchased in multiple open market transactions at prices ranging from $2.22 to $2.30. The Reporting Person undertakes to provide the staff of the SEC, the issuer, or a shareholder of the issuer, upon request, the number of shares purchased at each separate price within the range listed above.
- [F2]Includes the transfer of 131,000 shares from The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11 to The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03.
- [F3]The reporting person is the trustee of the above-listed trust.
- [F4]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.
- [F5]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.
- [F6]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
- Jan 14, 7:00 PM ET
- Accepted
- Jan 15, 7:18 AM ET
- Size
- 9.3 KB