Malamed Adam Scott 4
4 · LADENBURG THALMANN FINANCIAL SERVICES INC. · Filed May 17, 2019
Insider Transaction Report
Form 4
Malamed Adam Scott
Chief Operating Officer
Transactions
- Exercise/Conversion
Common Stock
2019-05-17$0.90/sh+200,000$180,000→ 1,703,541 total - Tax Payment
Common Stock
2019-05-17$3.39/sh−111,251$377,141→ 1,592,290 total - Exercise/Conversion
Stock Option (Right to Purchase)
2019-05-17−200,000→ 0 totalExercise: $0.90Exp: 2020-01-14→ Common Stock (200,000 underlying)
Holdings
- 4,000
8.00% Series A Cumulative Redeemable Preferred Stock
- 5,000(indirect: By IRA)
Common Stock
Footnotes (3)
- [F1]Represents shares withheld to cover the exercise price of the options exercised and tax withholding obligations.
- [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.
- [F3]The option vested in four equal annual installments commencing on January 14, 2011.