SEC Form 5 · accession 0001209191-18-008928
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brett Kaufman
Officer — Senior Vice President and CFO
Period of report
Dec 31, 2017
Accepted (ET)
Feb 9, 2018 · 5:13 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 |
|---|---|---|---|---|---|---|---|---|
| 8.00% Series A Cumulative Redeemable Preferred StockF1 | Oct 30, 2017 | L | 1 | $24.88 | A | 204 | D | |
| 8.00% Series A Cumulative Redeemable Preferred StockF1 | Nov 28, 2017 | L | 1 | $25.24 | A | 204 | D | |
| 8.00% Series A Cumulative Redeemable Preferred StockF1 | Dec 28, 2017 | L | 1 | $25.35 | A | 204 | D | |
| Common StockF1 | Dec 28, 2017 | L | 145 | $3.30 | A | 138,021 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Automatic reinvestment of dividends by broker not made as part of a dividend reinvestment plan. This transaction is being reported on Form 5 pursuant to Rule 16a-6.