Simkin Jacqueline M 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC. · Filed Apr 19, 2019
Insider Transaction Report
Form 4
Simkin Jacqueline M
Director
Transactions
- Gift
Common Stock
2019-04-17−8,730→ 1,829,738 total(indirect: By Trust)
Holdings
- 8,000(indirect: By Trust)
8.00% Series A Cumulative Redeemable Preferred Stock
- 45,000
Common Stock
- 158,000(indirect: By Trust)
Common Stock
Footnotes (5)
- [F1]Transfer of shares as a charitable donation.
- [F2]Includes the transfer of 15,000 shares previously held directly by the reporting person 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 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.
- [F5]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.