SEC Form 4 · accession 0001209191-18-047566
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
Aug 17, 2018
Accepted (ET)
Aug 20, 2018 · 8:30 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 | Aug 17, 2018 | P | 5,000 | $3.1999 | A | 2,859,731 | I | Held by the Mark D. Zeitchick 2016 Revocable Trust |
| Common Stock | holding | — | — | — | 706,250 | D | ||
| 8.00% Series A Cumulative Redeemable Preferred StockF2,F1 | 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
- F1The reporting person is the trustee of the above-listed trust.
- 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.