SEC Form 4 · accession 0001209191-15-000406
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacqueline M Simkin
Director
Period of report
Jan 2, 2015
Accepted (ET)
Jan 5, 2015 · 8:02 am 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 StockF1 | Jan 2, 2015 | P | 5,000 | $3.89 | A | 1,408,943 | I | Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03 |
| Common StockF2 | holding | — | — | — | 325,500 | I | Held by The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11 | |
| Common StockF3 | holding | — | — | — | 181,000 | I | Held by The Jacqueline Simkin Charitable Remainder Unitrust dtd 09/06/2002 | |
| 8.00% Series A Cumulative Redeemable Preferred StockF4,F1 | holding | — | — | — | 8,000 | I | Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is the trustee of the above-listed trust.
- F2The reporting person is a 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.
- F3The 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.
- F4The 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.