SEC Form 4 · accession 0001209191-16-137405
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Lampen
Officer — President and CEO · Director
Period of report
Aug 16, 2016
Accepted (ET)
Aug 17, 2016 · 8:01 am 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 Stock | Aug 16, 2016 | P | 2,600 | $2.28 | A | 1,600,071 | D | |
| Common Stock | Aug 16, 2016 | P | 2,400 | $2.29 | A | 1,602,471 | D | |
| 8.00% Series A Cumulative Redeemable Preferred StockF1,F2 | holding | — | — | — | 4,200 | I | By wife | |
| Common StockF2 | holding | — | — | — | 63,333 | I | By wife |
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.
- F2The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.