SEC Form 4 · accession 0001209191-16-147223
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard M Krasno
Director
Period of report
Oct 26, 2016
Accepted (ET)
Oct 28, 2016 · 7:44 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 | Oct 26, 2016 | M | 20,000 | $1.39 | A | 20,000 | D | |
| Common StockF1 | Oct 26, 2016 | F | 12,411 | $2.24 | D | 298,089 | I | Held by The Richard M. Krasno Living Trust dated 10/6/2009 |
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 | Oct 26, 2016 | M | 20,000 | D | Nov 6, 2007 | Nov 5, 2016 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Dr. Richard M. Krasno is the sole trustee and beneficiary of The Richard M. Krasno Living Trust dated 10/6/2009.