Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AFC BDC Inc.NONE · Entity 127694 | CFO, Treasurer | April 28, 2022 | May 02, 2022 |
| Advanced Flower Capital Inc.AFCG · Entity 6926 | CFO and Treasurer | January 03, 2023 | January 05, 2023 |
| LADENBURG THALMANN FINANCIAL SERVICES INC.LTS · Entity 120198 | Senior Vice President and CFO | February 14, 2020 | February 19, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AFC BDC Inc.
Report date April 28, 2022 · Filed May 02, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy the Brett H. Kaufman Revocable Family Trust | 5,000 |
Reported balance
After 2022-04-28 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-04-28 · Other · Acquired 5,000 · Balance 5,000 F1: These shares of Common Stock were acquired pursuant to an Agreement and Plan of Merger, by and among the AFC BDC Warehouse LLC and AFC BDC Inc., under which each share of AFC BDC Warehouse LLC converted automatically into a pro rata share (based on each member's percentage interest in AFC BDC Warehouse LLC, adjusted downward for fractional shares) of AFC BDC Inc., effective as of 12:01 p.m. on April 28, 2022. F2: Reflects shares held by the Brett H. Kaufman Revocable Family Trust. Mr. Kaufman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Common Stock were acquired pursuant to an Agreement and Plan of Merger, by and among the AFC BDC Warehouse LLC and AFC BDC Inc., under which each share of AFC BDC Warehouse LLC converted automatically into a pro rata share (based on each member's percentage interest in AFC BDC Warehouse LLC, adjusted downward for fractional shares) of AFC BDC Inc., effective as of 12:01 p.m. on April 28, 2022.
F2: Reflects shares held by the Brett H. Kaufman Revocable Family Trust. Mr. Kaufman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or any other purpose.
Advanced Flower Capital Inc.
Report date January 03, 2023 · Filed January 05, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 9,211 |
Reported balance
After 2023-01-03 transaction · row 1
1 source rowRow 1 · 2023-01-03 · Grant · Acquired 3,211 · Balance 9,211 F1: Represents restricted stock granted under the Issuer's Stock Incentive Plan that is fully-vested as of January 3, 2023. |
| Common StockSEC Table I · non-derivative | IndirectTrust | 49,043 |
Reported balance
Holding disclosure · report date 2023-01-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 49,043 F2: These shares are held by the Brett H. Kaufman Revocable Family Trust, of which the Reporting Person is the trustee and a beneficiary. The Reporting Person disclaims beneficial ownership of any shares in which he does not have a pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock granted under the Issuer's Stock Incentive Plan that is fully-vested as of January 3, 2023.
F2: These shares are held by the Brett H. Kaufman Revocable Family Trust, of which the Reporting Person is the trustee and a beneficiary. The Reporting Person disclaims beneficial ownership of any shares in which he does not have a pecuniary interest.
LADENBURG THALMANN FINANCIAL SERVICES INC.
Report date February 14, 2020 · Filed February 19, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 1
1 source rowRow 1 · 2020-02-14 · Disposition to issuer · Disposed 318,466.083 · Balance 0 F1: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. F2: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes. |
| 8.00% Series A Cumulative Redeemable Preferred StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-02-18 transaction · row 2
1 source rowRow 2 · 2020-02-18 · Sale · Disposed 205.352 · Balance 0 F3: The 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.28 · Expires 2021-03-02 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-02-14 · Disposition to issuer · Disposed 125,000 · Balance 0 F4: This option, which provided for vesting in four equal annual installments, commencing on March 2, 2012, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.80 · Expires 2022-01-30 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-02-14 · Disposition to issuer · Disposed 125,000 · Balance 0 F5: This option, which provided for vesting in four equal annual installments, commencing on January 31, 2013, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.40 · Expires 2023-01-28 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-02-14 · Disposition to issuer · Disposed 62,500 · Balance 0 F6: This option, which provided for vesting in four equal annual installments, commencing on January 28, 2014, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.25 · Expires 2024-01-17 | Direct | 0 |
Reported balance
After 2020-02-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-02-14 · Disposition to issuer · Disposed 75,000 · Balance 0 F7: This option, which provided for vesting in four equal annual installments, commencing on January 17, 2015, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan.
F2: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes.
F3: The 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.
F4: This option, which provided for vesting in four equal annual installments, commencing on March 2, 2012, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
F5: This option, which provided for vesting in four equal annual installments, commencing on January 31, 2013, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
F6: This option, which provided for vesting in four equal annual installments, commencing on January 28, 2014, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
F7: This option, which provided for vesting in four equal annual installments, commencing on January 17, 2015, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 03, 2023 Filed Jan 5, 2023 18:01 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantCommon Stock | 3,211 | $15.57 | $49,995.27 |
DisclosureSEC source: 0001209191-23-002043 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,211 F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan that is fully-vested as of January 3, 2023. Read SEC document |
| May 11, 2022 Filed May 13, 2022 08:45 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | PurchaseCommon Stock | 3,000 | $16.70 | $50,100.00 |
DisclosureSEC source: 0001209191-22-028751 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| April 28, 2022 Filed May 2, 2022 21:54 UTC | AFC BDC Inc. NONE · Entity 127694 | OtherCommon Stock | 5,000 | $20.00 | $100,000.00 |
DisclosureSEC source: 0001829126-22-009535 · ownership.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO, Treasurer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Brett H. Kaufman Revocable Family Trust Disclosed balance after: 5,000 F1 · kind: These shares of Common Stock were acquired pursuant to an Agreement and Plan of Merger, by and among the AFC BDC Warehouse LLC and AFC BDC Inc., under which each share of AFC BDC Warehouse LLC converted automatically into a pro rata share (based on each member's percentage interest in AFC BDC Warehouse LLC, adjusted downward for fractional shares) of AFC BDC Inc., effective as of 12:01 p.m. on April 28, 2022. F2 · balance_after: Reflects shares held by the Brett H. Kaufman Revocable Family Trust. Mr. Kaufman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or any other purpose. Read SEC document |
| April 28, 2022 Filed May 2, 2022 21:53 UTC | AFC BDC Inc. NONE · Entity 127694 | OtherCommon Stock | 5,000 | $20.00 | $100,000.00 |
DisclosureSEC source: 0001829126-22-009532 · ownership.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO, Treasurer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Brett H. Kaufman Revocable Family Trust Disclosed balance after: 5,000 F1 · kind: These shares of Common Stock were acquired pursuant to an Agreement and Plan of Merger, by and among the AFC BDC Warehouse LLC and AFC BDC Inc., under which each share of AFC BDC Warehouse LLC converted automatically into a pro rata share (based on each member's percentage interest in AFC BDC Warehouse LLC, adjusted downward for fractional shares) of AFC BDC Inc., effective as of 12:01 p.m. on April 28, 2022. F2 · balance_after: Reflects shares held by the Brett H. Kaufman Revocable Family Trust. Mr. Kaufman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission for purposes of Section 16 or any other purpose. Read SEC document |
| March 18, 2022 Filed Mar 21, 2022 17:34 UTC Amendment | Advanced Flower Capital Inc. AFCG · Entity 6926 | PurchaseCommon Stock | 2,000 | $19.27 | $38,540.00 |
DisclosureSEC source: 0001209191-22-020305 · doc4a.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 F1 · kind: The original Form 4, filed on March 21, 2022, is being amended by this Form 4/A to correct an administrative error relating to the transaction code, which this Form 4/A correctly reports as an open market purchase. F2 · price: 2,000 shares were acquired in an open market purchase transaction on March 18, 2022 at a price of $19.27 per share. Read SEC document |
| March 18, 2022 Filed Mar 21, 2022 17:00 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantCommon Stock | 2,000 | $19.27 | $38,540.00 |
DisclosureSEC source: 0001209191-22-020275 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 18:00 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantStock Option (right to buy) · Derivative | 5,000 | $0.00 Strike: $20.18 | $0.00 |
DisclosureSEC source: 0001140361-22-001643 · form4.xml · derivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2029-01-10 F1 · derivative.exercise_date: The Stock Option will vest and become exercisable over a four-year period with approximately 33% vesting and exercisable on each of the second, third and fourth anniversaries of the grant date, subject to early termination and adjustment as provided in the applicable stock option agreement. Read SEC document |
| September 02, 2021 Filed Feb 11, 2022 17:00 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GiftCommon Stock | 49,043 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-008919 · doc5.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 18:00 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantCommon Stock | 1,000 | $20.50 | $20,500.00 |
DisclosureSEC source: 0001209191-21-052000 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,043 F1 · balance_after: A portion of this amount is held through a restricted stock grant under the Issuer's Stock Incentive Plan and shall vest over a four-year period with 33% vesting on each of the second, third and fourth anniversaries of August 2, 2021, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| August 06, 2021 Filed Aug 10, 2021 18:20 UTC | Advanced Flower Capital Inc. AFCG · Entity 6926 | GrantCommon Stock | 49,043 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-050674 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,043 F1 · shares: Represents restricted stock granted under the Issuer's Stock Incentive Plan and shall vest over a four-year period with 33% vesting on each of the second, third and fourth anniversaries of August 2, 2021, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| February 18, 2020 Filed Feb 19, 2020 17:00 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Sale8.00% Series A Cumulative Redeemable Preferred Stock | 205.352 | $25.00 | $5,133.80 |
DisclosureSEC source: 0001493152-20-002738 · ownership.xml · nonDerivative · entry 2 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · shares: The 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. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 17:00 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 75,000 | $0.25 Strike: $3.25 | $18,750.00 |
DisclosureSEC source: 0001493152-20-002738 · ownership.xml · derivative · entry 6 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2024-01-17 F7 · price: This option, which provided for vesting in four equal annual installments, commencing on January 17, 2015, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F7 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on January 17, 2015, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 17:00 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 62,500 | $2.10 Strike: $1.40 | $131,250.00 |
DisclosureSEC source: 0001493152-20-002738 · ownership.xml · derivative · entry 5 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 62,500 shares Expires 2023-01-28 F6 · price: This option, which provided for vesting in four equal annual installments, commencing on January 28, 2014, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F6 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on January 28, 2014, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 17:00 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 125,000 | $0.70 Strike: $2.80 | $87,500.00 |
DisclosureSEC source: 0001493152-20-002738 · ownership.xml · derivative · entry 4 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 125,000 shares Expires 2022-01-30 F5 · price: This option, which provided for vesting in four equal annual installments, commencing on January 31, 2013, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F5 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on January 31, 2013, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 17:00 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerStock Option (Right to Buy) · Derivative | 125,000 | $2.22 Strike: $1.28 | $277,500.00 |
DisclosureSEC source: 0001493152-20-002738 · ownership.xml · derivative · entry 3 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 125,000 shares Expires 2021-03-02 F4 · price: This option, which provided for vesting in four equal annual installments, commencing on March 2, 2012, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. F4 · derivative.exercise_date: This option, which provided for vesting in four equal annual installments, commencing on March 2, 2012, was cancelled in the Merger and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of common stock subject to such option and (ii) the excess, if any, of the Per Share Merger Consideration over the exercise price per share of the option. Figure above does not include any deduction for taxes. Read SEC document |
| February 14, 2020 Filed Feb 19, 2020 17:00 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Disposition to issuerCommon Stock | 318,466.083 | $3.50 | $1,114,631.29 |
DisclosureSEC source: 0001493152-20-002738 · ownership.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Includes restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. F2 · price: Disposed of in connection with the Agreement and Plan of Merger dated as of November 11, 2019, pursuant to which Ladenburg Thalmann Financial Services Inc. ("Ladenburg") would merge with a subsidiary of Advisor Group Holdings, Inc. (the "Merger"). Pursuant to the Merger, each issued and outstanding share of Ladenburg common stock was converted into the right to receive cash in the amount of $3.50 per share (the "Per Share Merger Consideration") and each restricted share of common stock became vested at the effective time of the Merger and was converted into the right to receive an amount of cash equal to the product of (i) the number of restricted shares of common stock and (ii) the Per Share Merger Consideration. As a result of the Merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Ladenburg common stock. Figure above does not include any deduction for taxes. Read SEC document |
| January 07, 2020 Filed Jan 9, 2020 07:48 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $0.90 | $0.00 |
DisclosureSEC source: 0001209191-20-002658 · doc4.xml · derivative · entry 3 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2020-01-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option vested in four equal annual installments commencing on January 14, 2011. Read SEC document |
| January 07, 2020 Filed Jan 9, 2020 07:48 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 50,000 | $0.90 | $45,000.00 |
DisclosureSEC source: 0001209191-20-002658 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 318,466.083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 20, 2019 Filed Jan 23, 2019 19:57 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 2,986 | $3.10 | $9,256.60 |
DisclosureSEC source: 0001209191-19-005063 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,466.083 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of shares of restricted stock. Read SEC document |
| January 14, 2019 Filed Jan 15, 2019 18:12 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 3,080 | $3.01 | $9,270.80 |
DisclosureSEC source: 0001209191-19-003787 · doc4.xml · nonDerivative · entry 3 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,452.083 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of shares of restricted stock. Read SEC document |
| January 13, 2019 Filed Jan 15, 2019 18:12 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 3,123 | $3.12 | $9,743.76 |
DisclosureSEC source: 0001209191-19-003787 · doc4.xml · nonDerivative · entry 2 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,532.083 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of shares of restricted stock. Read SEC document |
| January 12, 2019 Filed Jan 15, 2019 18:12 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 3,903 | $3.12 | $12,177.36 |
DisclosureSEC source: 0001209191-19-003787 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 277,655.083 F1 · kind: Represents shares withheld to cover tax withholding obligations in connection with the vesting of shares of restricted stock. Read SEC document |
| January 10, 2019 Filed Jan 14, 2019 07:41 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-003511 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,558.083 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided Mr. Kaufman is then still an employee of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
| March 20, 2018 Filed Mar 22, 2018 17:14 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001209191-18-021278 · doc4.xml · derivative · entry 4 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 150,000 shares Expires 2018-03-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option vested in four equal annual installments commencing on March 25, 2009. Read SEC document |
| March 20, 2018 Filed Mar 22, 2018 17:14 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 105,803 | $3.57 | $377,716.71 |
DisclosureSEC source: 0001209191-18-021278 · doc4.xml · nonDerivative · entry 3 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,558.083 F3 · shares: Shares surrendered in payment of exercise price and tax withholding due upon exercise of stock option. Read SEC document |
| March 20, 2018 Filed Mar 22, 2018 17:14 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Exercise / conversionCommon Stock | 150,000 | $2.30 | $345,000.00 |
DisclosureSEC source: 0001209191-18-021278 · doc4.xml · nonDerivative · entry 2 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 327,361.083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 30, 2018 Filed Mar 22, 2018 17:14 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Other8.00% Series A Cumulative Redeemable Preferred Stock | 1.35 | $25.20 | $34.02 |
DisclosureSEC source: 0001209191-18-021278 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205.352 F1 · shares: Automatic reinvestment of dividends by broker not made as part of a dividend reinvestment plan. This transaction qualified for the reporting deferral pursuant to Rule 16a-6 and is being reported voluntarily on Form 4. F2 · balance_after: The 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. Read SEC document |
| January 20, 2018 Filed Jan 23, 2018 21:39 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 3,484 | $3.13 | $10,904.92 |
DisclosureSEC source: 0001209191-18-005017 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,216 Read SEC document |
| January 14, 2018 Filed Jan 17, 2018 17:23 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 3,588 | $3.21 | $11,517.48 |
DisclosureSEC source: 0001209191-18-004039 · doc4.xml · nonDerivative · entry 3 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,700 Read SEC document |
| January 13, 2018 Filed Jan 17, 2018 17:23 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 3,588 | $3.21 | $11,517.48 |
DisclosureSEC source: 0001209191-18-004039 · doc4.xml · nonDerivative · entry 2 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,288 Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 17:23 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004039 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,876 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided Mr. Kaufman is then still an employee of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
| December 28, 2017 Filed Feb 9, 2018 17:13 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | OtherCommon Stock | 145.083 | $3.30 | $478.77 |
DisclosureSEC source: 0001209191-18-008928 · doc5.xml · nonDerivative · entry 4 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,021.083 F1 · shares: Automatic reinvestment of dividends by broker not made as part of a dividend reinvestment plan. This transaction is being reported on Form 5 pursuant to Rule 16a-6. Read SEC document |
| December 28, 2017 Filed Feb 9, 2018 17:13 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Other8.00% Series A Cumulative Redeemable Preferred Stock | 1.333 | $25.35 | $33.79 |
DisclosureSEC source: 0001209191-18-008928 · doc5.xml · nonDerivative · entry 3 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204.002 F1 · shares: Automatic reinvestment of dividends by broker not made as part of a dividend reinvestment plan. This transaction is being reported on Form 5 pursuant to Rule 16a-6. Read SEC document |
| November 28, 2017 Filed Feb 9, 2018 17:13 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Other8.00% Series A Cumulative Redeemable Preferred Stock | 1.329 | $25.24 | $33.54 |
DisclosureSEC source: 0001209191-18-008928 · doc5.xml · nonDerivative · entry 2 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204.002 F1 · shares: Automatic reinvestment of dividends by broker not made as part of a dividend reinvestment plan. This transaction is being reported on Form 5 pursuant to Rule 16a-6. Read SEC document |
| October 30, 2017 Filed Feb 9, 2018 17:13 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Other8.00% Series A Cumulative Redeemable Preferred Stock | 1.34 | $24.88 | $33.34 |
DisclosureSEC source: 0001209191-18-008928 · doc5.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204.002 F1 · shares: Automatic reinvestment of dividends by broker not made as part of a dividend reinvestment plan. This transaction is being reported on Form 5 pursuant to Rule 16a-6. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 18:01 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 3,559 | $2.24 | $7,972.16 |
DisclosureSEC source: 0001209191-17-005364 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,876 Read SEC document |
| January 14, 2017 Filed Jan 18, 2017 17:28 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | Tax withholdingCommon Stock | 3,565 | $2.39 | $8,520.35 |
DisclosureSEC source: 0001209191-17-004233 · doc4.xml · nonDerivative · entry 2 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,435 Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 17:28 UTC | LADENBURG THALMANN FINANCIAL SERVICES INC. LTS · Entity 120198 | GrantCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-004233 · doc4.xml · nonDerivative · entry 1 Kaufman Brett · CIK 0001431385 · Senior Vice President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 F1 · shares: Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided Mr. Kaufman is then still an employee of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.