SEC Form 4 · accession 0001209191-18-034726
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
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 4:50 pm 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 | May 30, 2018 | A | 30,000 | $0.00 | A | 105,000 | 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
- F1Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Dr. Krasno is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer.
- F2Dr. Richard M. Krasno is the sole trustee and beneficiary of The Richard M. Krasno Living Trust dated 10/6/2009.