SEC Form 4 · accession 0001209191-16-110466
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry C Beinstein
Director
Period of report
Mar 23, 2016
Accepted (ET)
Mar 24, 2016 · 5:28 pm EDT
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 | Mar 23, 2016 | M | 20,000 | $1.39 | A | 102,143 | D | |
| Common Stock | holding | — | — | — | 1,532 | I | Held by Spouse's 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) | $1.39 | Mar 23, 2016 | M | 20,000 | D | Nov 6, 2007 | Nov 5, 2016 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Includes 22,143 shares of common stock that were erroneously omitted from prior reports.