4//SEC Filing
Simkin Jacqueline M 4
Accession 0001209191-18-034743
CIK 0001029730other
Filed
May 31, 8:00 PM ET
Accepted
Jun 1, 4:54 PM ET
Size
8.5 KB
Accession
0001209191-18-034743
Insider Transaction Report
Form 4
Simkin Jacqueline M
Director
Transactions
- Award
Common Stock
2018-05-30+30,000→ 60,000 total
Holdings
- 158,000(indirect: By Trust)
Common Stock
- 8,000(indirect: By Trust)
8.00% Series A Cumulative Redeemable Preferred Stock
- 1,823,468(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Ms. Simkin is then still a director of the issuer, subject to earlier vesting upon her death or disability or a change of control of the issuer.
- [F2]The reporting person is the trustee of the above-listed trust.
- [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 typeother
Related Parties
1- filerCIK 0001446157
Filing Metadata
- Form type
- 4
- Filed
- May 31, 8:00 PM ET
- Accepted
- Jun 1, 4:54 PM ET
- Size
- 8.5 KB