Malamed Adam Scott 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC. · Filed Apr 16, 2019
Insider Transaction Report
Form 4
Malamed Adam Scott
Chief Operating Officer
Transactions
- Purchase
Common Stock
2019-04-15$3.47/sh+15,000$52,124→ 1,503,541 total
Holdings
- 5,000(indirect: By IRA)
Common Stock
- 4,000
8.00% Series A Cumulative Redeemable Preferred Stock
Footnotes (2)
- [F1]The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.455 to $3.500, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
- [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.