SEC Form 4 · accession 0001209191-18-054294
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Glenn C Davis
Director
Period of report
Oct 2, 2018
Accepted (ET)
Oct 4, 2018 · 5:54 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 | Oct 2, 2018 | A | 30,000 | $0.00 | A | 30,000 | D | |
| Common StockF2 | holding | — | — | — | 4,000 | I | By spouse |
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 Mr. Davis 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.
- F2The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.