4//SEC Filing
giovanniello joseph 4
Accession 0001209191-20-002656
CIK 0001029730other
Filed
Jan 8, 7:00 PM ET
Accepted
Jan 9, 7:46 AM ET
Size
8.4 KB
Accession
0001209191-20-002656
Insider Transaction Report
Form 4
giovanniello joseph
Senior Vice President
Transactions
- Exercise/Conversion
Common Stock
2020-01-07$0.90/sh+50,000$45,000→ 473,207 total - Exercise/Conversion
Stock Option (Right to Buy)
2020-01-07−50,000→ 0 totalExercise: $0.90Exp: 2020-01-14→ Common Stock (50,000 underlying)
Holdings
- 2,000
8.00% Series A Cumulative Redeemable Preferred Stock
Footnotes (3)
- [F1]Includes 3,054 shares acquired under the Issuer's employee stock purchase plan on September 30, 2019.
- [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.
Documents
Issuer
LADENBURG THALMANN FINANCIAL SERVICES INC.
CIK 0001029730
Entity typeother
Related Parties
1- filerCIK 0001567315
Filing Metadata
- Form type
- 4
- Filed
- Jan 8, 7:00 PM ET
- Accepted
- Jan 9, 7:46 AM ET
- Size
- 8.4 KB