SEC Form 3 · accession 0000899243-18-031911
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
VECTOR GROUP LTD
10% Owner
Period of report
Dec 24, 2018
Accepted (ET)
Dec 27, 2018 · 9:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001029730
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 15,191,205 | D | ||
| 8% Series A Cumulative Redeemable Preferred StockF1 | holding | — | — | — | 240,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.