Insider · CIK 0001431385

Kaufman Brett

Reports to the SEC for 3 companies · MIAMI, FL

sec.gov

Transactions

Companies

Filings

CIK

0001431385

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2023-01-03	AFCGAdvanced Flower Capital Inc.A Award	CFO and Treasurer	AAward	+3,211 sh	$15.57	+$50K	9,211
2022-05-11	AFCGAdvanced Flower Capital Inc.P Purchase	CFO and Treasurer	PPurchase	+3,000 sh	$16.70	+$50.1K	6,000
2022-04-28	AFC BDC Inc.J Other	CFO, Treasurer	JOther	+5,000 sh	$20.00	+$100K	5,000
2022-04-28	AFC BDC Inc.J Other	CFO, Treasurer	JOther	+5,000 sh	$20.00	+$100K	5,000
2022-03-18	AFCGAdvanced Flower Capital Inc.P Purchase	CFO and Treasurer	PPurchase	+2,000 sh	$19.27	+$38.5K	3,000
2022-03-18	AFCGAdvanced Flower Capital Inc.A Award	CFO and Treasurer	AAward	+2,000 sh	$19.27	+$38.5K	3,000
2022-01-11	AFCGAdvanced Flower Capital Inc. · Stock Option (right to buy)A Award	CFO and Treasurer	AAward	+5,000 sh	—	—	5,000
2021-09-02	AFCGAdvanced Flower Capital Inc.G Gift	CFO and Treasurer	GGift	−49K sh	—	—	1,000
2021-08-13	AFCGAdvanced Flower Capital Inc.A Award	CFO and Treasurer	AAward	+1,000 sh	$20.50	+$20.5K	50,043
2021-08-06	AFCGAdvanced Flower Capital Inc.A Award	CFO and Treasurer	AAward	+49K sh	—	—	49,043
2020-02-18	LADENBURG THALMANN FINANCIAL SERVICES INC.S Sale	Senior Vice President and CFO	SSale	−205.352 sh	$25.00	−$5,133.8	0
2020-02-14	LADENBURG THALMANN FINANCIAL SERVICES INC.D Disposition to Issuer	Senior Vice President and CFO	DDisposition to Issuer	−318K sh	$3.50	−$1.11M	0
2020-02-14	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)D Disposition to Issuer	Senior Vice President and CFO	DDisposition to Issuer	−125K sh	$2.22	−$278K	0
2020-02-14	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)D Disposition to Issuer	Senior Vice President and CFO	DDisposition to Issuer	−125K sh	$0.70	−$87.5K	0
2020-02-14	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)D Disposition to Issuer	Senior Vice President and CFO	DDisposition to Issuer	−62.5K sh	$2.10	−$131K	0
2020-02-14	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)D Disposition to Issuer	Senior Vice President and CFO	DDisposition to Issuer	−75K sh	$0.25	−$18.8K	0
2020-01-07	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)M Exercise/Conversion	Senior Vice President and CFO	MExercise/Conversion	−50K sh	—	—	0
2020-01-07	LADENBURG THALMANN FINANCIAL SERVICES INC.M Exercise/Conversion	Senior Vice President and CFO	MExercise/Conversion	+50K sh	$0.90	+$45K	318,466.083
2019-01-20	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−2,986 sh	$3.10	−$9,256.6	268,466.083
2019-01-14	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−3,080 sh	$3.01	−$9,270.8	271,452.083
2019-01-13	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−3,123 sh	$3.12	−$9,743.76	274,532.083
2019-01-12	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−3,903 sh	$3.12	−$12.2K	277,655.083
2019-01-10	LADENBURG THALMANN FINANCIAL SERVICES INC.A Award	Senior Vice President and CFO	AAward	+60K sh	—	—	281,558.083
2018-03-20	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−106K sh	$3.57	−$378K	221,558.083
2018-03-20	LADENBURG THALMANN FINANCIAL SERVICES INC.M Exercise/Conversion	Senior Vice President and CFO	MExercise/Conversion	+150K sh	$2.30	+$345K	327,361.083
2018-03-20	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)M Exercise/Conversion	Senior Vice President and CFO	MExercise/Conversion	−150K sh	—	—	0
2018-01-30	LADENBURG THALMANN FINANCIAL SERVICES INC.L Small Acquisition	Senior Vice President and CFO	LSmall Acquisition	+1.35 sh	$25.20	+$34.02	205.352
2018-01-20	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−3,484 sh	$3.13	−$10.9K	177,216
2018-01-14	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−3,588 sh	$3.21	−$11.5K	180,700
2018-01-13	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−3,588 sh	$3.21	−$11.5K	184,288
2018-01-12	LADENBURG THALMANN FINANCIAL SERVICES INC.A Award	Senior Vice President and CFO	AAward	+50K sh	—	—	187,876
2017-12-28	LADENBURG THALMANN FINANCIAL SERVICES INC.L Small Acquisition	Senior Vice President and CFO	LSmall Acquisition	+145.083 sh	$3.30	+$478.774	138,021.083
2017-12-28	LADENBURG THALMANN FINANCIAL SERVICES INC.L Small Acquisition	Senior Vice President and CFO	LSmall Acquisition	+1.333 sh	$25.35	+$33.792	204.002
2017-11-28	LADENBURG THALMANN FINANCIAL SERVICES INC.L Small Acquisition	Senior Vice President and CFO	LSmall Acquisition	+1.329 sh	$25.24	+$33.544	204.002
2017-10-30	LADENBURG THALMANN FINANCIAL SERVICES INC.L Small Acquisition	Senior Vice President and CFO	LSmall Acquisition	+1.34 sh	$24.88	+$33.339	204.002
2017-01-20	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−3,559 sh	$2.24	−$7,972.16	137,876
2017-01-14	LADENBURG THALMANN FINANCIAL SERVICES INC.F Tax Payment	Senior Vice President and CFO	FTax Payment	−3,565 sh	$2.39	−$8,520.35	141,435
2017-01-13	LADENBURG THALMANN FINANCIAL SERVICES INC.A Award	Senior Vice President and CFO	AAward	+40K sh	—	—	145,000
2016-01-14	LADENBURG THALMANN FINANCIAL SERVICES INC.A Award	Senior Vice President and CFO	AAward	+40K sh	—	—	105,000
2015-09-28	LADENBURG THALMANN FINANCIAL SERVICES INC.P Purchase	Senior Vice President and CFO	PPurchase	+5,000 sh	$1.90	+$9,500	65,000
2015-01-20	LADENBURG THALMANN FINANCIAL SERVICES INC.A Award	Senior Vice President and CFO	AAward	+40K sh	—	—	60,000
2014-12-01	LADENBURG THALMANN FINANCIAL SERVICES INC.P Purchase	Senior Vice President and CFO	PPurchase	+2,000 sh	$3.30	+$6,600	20,000
2014-01-17	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)A Award	Senior Vice President and CFO	AAward	+75K sh	—	—	75,000
2013-05-24	LADENBURG THALMANN FINANCIAL SERVICES INC.P Purchase	Senior Vice President and CFO	PPurchase	+200 sh	$25.00	+$5,000	200
2013-01-28	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)A Award	Senior Vice President and CFO	AAward	+62.5K sh	—	—	62,500
2012-01-31	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)A Award	Senior Vice President and CFO	AAward	+125K sh	—	—	125,000
2011-03-02	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)A Award	Senior Vice President and CFO	AAward	+125K sh	—	—	125,000
2010-01-14	LADENBURG THALMANN FINANCIAL SERVICES INC.Stock Option (Right to Buy)A Award	Senior Vice President and CFO	AAward	+50K sh	—	—	50,000
2009-06-26	LADENBURG THALMANN FINANCIAL SERVICES INC.P Purchase	Senior Vice President and CFO	PPurchase	+4,200 sh	$0.53	+$2,226	15,000
2009-06-26	LADENBURG THALMANN FINANCIAL SERVICES INC.P Purchase	Senior Vice President and CFO	PPurchase	+800 sh	$0.52	+$416	10,800

Recent filings

Accepted (ET)
Jan 54
Kaufman Brett0001209191-23-002043
SEC(opens sec.gov)
May 134
Kaufman Brett0001209191-22-028751
SEC(opens sec.gov)
May 24
Kaufman Brett0001829126-22-009532
SEC(opens sec.gov)
May 24
Kaufman Brett0001829126-22-009535
SEC(opens sec.gov)
Mar 214/A
Kaufman Brett0001209191-22-020305
SEC(opens sec.gov)
Mar 214
Kaufman Brett0001209191-22-020275
SEC(opens sec.gov)
Feb 115
Kaufman Brett0001209191-22-008919
SEC(opens sec.gov)
Jan 134
Kaufman Brett0001140361-22-001643
SEC(opens sec.gov)
Aug 174
Kaufman Brett0001209191-21-052000
SEC(opens sec.gov)
Aug 104
Kaufman Brett0001209191-21-050674
SEC(opens sec.gov)
Feb 194
Kaufman Brett0001493152-20-002738
SEC(opens sec.gov)
Jan 94
Kaufman Brett0001209191-20-002658
SEC(opens sec.gov)
Jan 234
Kaufman Brett0001209191-19-005063
SEC(opens sec.gov)
Jan 154
Kaufman Brett0001209191-19-003787
SEC(opens sec.gov)

Companies

Address

4400 BISCAYNE BLVD. 12TH FLOOR

MIAMI, FL, 33137