SEC Form 4 · accession 0001209191-17-054788
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
joseph giovanniello
Officer — Senior Vice President
Period of report
Sep 29, 2017
Accepted (ET)
Oct 3, 2017 · 7:53 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 StockF1 | Sep 29, 2017 | A | 457 | $2.736 | A | 286,016 | D | |
| 8.00% Series A Cumulative Redeemable Preferred StockF2 | holding | — | — | — | 2,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Acquisition of stock under Issuer's employee stock purchase plan.
- F2The 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.