SEC Form 4 · accession 0001209191-19-005894
LADENBURG THALMANN FINANCIAL SERVICES INC. · LTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Liebowitz
Director
Period of report
Jan 25, 2019
Accepted (ET)
Jan 29, 2019 · 6:35 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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 25, 2019 | A | 30,000 | $0.00 | A | 173,496 | D |
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. Liebowitz 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.