SEC Form 4 · accession 0001209191-18-005013
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
Jan 20, 2018
Accepted (ET)
Jan 23, 2018 · 9:36 pm EST
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 | Jan 20, 2018 | F | 19,392 | $3.13 | D | 815,698 | D | |
| Common StockF1,F2 | holding | — | — | — | 2,730,283 | I | Held by the Mark D. Zeitchick 2016 Revocable Trust | |
| 8.00% Series A Cumulative Redeemable Preferred StockF3,F2 | holding | — | — | — | 4,000 | I | Held by the Mark D. Zeitchick 2016 Revocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes the transfer of 1,514,211 shares previously held by MZ Trading LLC to the Mark D. Zeitchick 2016 Revocable Trust.
- F2The reporting person is the trustee of the above-listed trust.
- F3The 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.