KAUFMAN BRETT (Senior Vice President and CFO) reported 3 transactions at LADENBURG THALMANN FINANCIAL SERVICES INC.
Review the transaction codes below to understand the nature of each event.
Filed: 1/15/2019ACC: 0001209191-19-003787
Officer· Senior Vice President and CFO
Since Jan 2019
-10.11K
Net shares
Net seller
$31.2K
Total sold
0
Open market trades
0B · 0S
3
Total transactions
10.11K disposed
Non-Derivative Transactions3
Common Stock
Direct
Shares
−3.90K
Price / share
$3.12
Trade value
$12.18K
% of position
1.4%
1/12/2019
281.56K→277.66K
Common Stock
Direct
Shares
−3.12K
Price / share
$3.12
Trade value
$9.74K
% of position
1.1%
1/13/2019
277.66K→274.53K
Common Stock
Direct
Shares
−3.08K
Price / share
$3.01
Trade value
$9.27K
% of position
1.1%
1/14/2019
274.53K→271.45K
Total
Net shares
−10.11K
Net value
-$31.19K
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 1/12/2019 | F · Tax Withholding | −3.90K | $3.12 | $12.18K | 1.4% | 281.56K | 277.66K |
| Common Stock Direct | 1/13/2019 | F · Tax Withholding | −3.12K | $3.12 | $9.74K | 1.1% | 277.66K | 274.53K |
| Common Stock Direct | 1/14/2019 | F · Tax Withholding | −3.08K | $3.01 | $9.27K | 1.1% | 274.53K | 271.45K |
| Total | −10.11K | -$31.19K | ||||||
Derivative Transactions0
No derivative transactions reported
Non-Derivative Holdings (Post-Transaction)1
8.00% Series A Cumulative Redeemable Preferred Stock
DirectShares owned205.35
Total
205.35 direct205.35
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| 8.00% Series A Cumulative Redeemable Preferred Stock | 205.35 | Direct |
| Total | 205.35 | 205.35 direct |
Derivative Holdings (Post-Transaction)0
No derivative holdings reported