SEC Form 4 · accession 0001209191-17-021583
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Zeitchick
Officer — Executive Vice President · Director
Period of report
Mar 17, 2017
Accepted (ET)
Mar 20, 2017 · 7:17 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 | Mar 17, 2017 | P | 10,000 | $2.36 | A | 3,285,042 | I | Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member |
| 8.00% Series A Cumulative Redeemable Preferred StockF1 | holding | — | — | — | 4,000 | I | Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member |
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.