Simkin Jacqueline M 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC. · Filed Dec 22, 2017
Insider Transaction Report
Form 4
Simkin Jacqueline M
Director
Transactions
- Gift
Common Stock
2017-12-22−18,521→ 1,823,468 total(indirect: By Trust)
Holdings
- 158,000(indirect: By Trust)
Common Stock
- 30,000
Common Stock
- 8,000(indirect: By Trust)
8.00% Series A Cumulative Redeemable Preferred Stock
Footnotes (3)
- [F1]The reporting person is the trustee of the above-listed trust.
- [F2]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.
- [F3]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.