SEC Form 4 · accession 0001209191-18-022635
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
Apr 2, 2018
Accepted (ET)
Apr 3, 2018 · 8:02 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 | Apr 2, 2018 | P | 5,000 | $3.1026 | A | 55,000 | D | |
| Common StockF2 | holding | — | — | — | 298,089 | I | Held by The Richard M. Krasno Living Trust dated 10/6/2009 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.0950 to $3.1745, inclusive. The reporting person undertakes to provide to Ladenburg Thalmann Financial Services Inc. (the "Company"), any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4.
- F2Dr. Richard M. Krasno is the sole trustee and beneficiary of The Richard M. Krasno Living Trust dated 10/6/2009.