SEC Form 4 · accession 0001209191-15-003006
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard M Lorber
Director
Period of report
Jan 6, 2015
Accepted (ET)
Jan 8, 2015 · 7:58 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 Stock | Jan 6, 2015 | M | 20,000 | $0.48 | A | 2,494,512 | D | |
| Common StockF1 | holding | — | — | — | 522,027 | I | Lorber Alpha II Partnership | |
| Common Stock | holding | — | — | — | 67 | I | By Howard Lorber Rollover IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $0.48 | Jan 6, 2015 | M | 20,000 | D | Mar 3, 2006 | Mar 2, 2015 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Held by Lorber Alpha II Limited Partnership, a Nevada limited partnership. Lorber Alpha II, Inc., a Nevada corporation, is the general partner of Lorber Alpha II Limited Partnership. Mr. Lorber is the director, officer and principal stockholder of Lorber Alpha II, Inc.