Osaic Financial Services, Inc. - Preferred Stock
US ˙ OTCPK ˙ US50575Q2012

Pendahuluan

Halaman ini memberikan analisis komprehensif tentang sejarah perdagangan orang dalam yang diketahui dari Adam Scott Malamed. Orang dalam adalah pejabat, direktur, atau investor signifikan dalam suatu perusahaan. Adalah ilegal bagi orang dalam untuk melakukan perdagangan di perusahaan mereka berdasarkan informasi spesifik yang tidak dipublikasikan. Ini tidak berarti bahwa mereka dilarang melakukan perdagangan apa pun di perusahaan mereka sendiri. Namun, mereka harus melaporkan semua perdagangan kepada SEC melalui Formulir 4. Terlepas dari pembatasan ini, penelitian akademis menunjukkan bahwa orang dalam - secara umum - cenderung mengungguli pasar di perusahaan mereka sendiri.

Rata-rata Profitabilitas Perdagangan

Profitabilitas perdagangan rata-rata adalah pengembalian rata-rata dari semua pembelian pasar terbuka yang dilakukan oleh orang dalam dalam tiga tahun terakhir. Untuk menghitung ini, kami memeriksa setiap pembelian pasar terbuka yang tidak direncanakan yang dilakukan oleh orang dalam, tidak termasuk semua perdagangan yang ditandai sebagai bagian dari rencana perdagangan 10b5-1. Kami kemudian menghitung kinerja rata-rata dari perdagangan tersebut selama 3, 6, dan 12 bulan, dengan merata-ratakan setiap durasi tersebut untuk menghasilkan metrik kinerja akhir untuk setiap perdagangan. Terakhir, kami merata-ratakan semua metrik kinerja untuk menghitung metrik kinerja untuk orang dalam. Daftar ini hanya mencakup orang dalam yang telah melakukan setidaknya tiga perdagangan dalam dua tahun terakhir.

Jika profitabilitas perdagangan orang dalam ini adalah "N/A", maka orang dalam tersebut belum melakukan pembelian di pasar terbuka dalam tiga tahun terakhir, atau perdagangan yang mereka lakukan terlalu baru untuk menghitung metrik kinerja yang andal.

Frekuensi Pembaruan: Setiap Hari

Lihat daftar pedagang dalam perusahaan yang paling menguntungkan.

Lihat Peringkat Tertinggi Orang Dalam
Perusahaan dengan Posisi Orang Dalam yang Dilaporkan

Pengajuan SEC menunjukkan bahwa Adam Scott Malamed telah melaporkan kepemilikan atau perdagangan di perusahaan-perusahaan berikut:

Keamanan Judul Kepemilikan Terakhir yang Dilaporkan
US:LTS / Ladenburg Thalmann Financial Services, Inc. 0
Cara Membaca Grafik

Grafik berikut menunjukkan kinerja saham sekuritas setelah setiap perdagangan pasar terbuka yang tidak direncanakan yang dilakukan oleh Adam Scott Malamed. Perdagangan yang tidak direncanakan adalah perdagangan yang tidak dilakukan sebagai bagian dari rencana perdagangan 10b5-1. Kinerja saham digambarkan sebagai perubahan persentase kumulatif dalam harga saham. Misalnya, jika perdagangan orang dalam dilakukan pada 1 Januari 2019, grafik akan menunjukkan perubahan persentase harian sekuritas hingga saat ini. Jika harga saham naik dari $10 menjadi $15 selama periode ini, perubahan persentase kumulatif dalam harga saham akan menjadi 50%. Perubahan harga dari $10 menjadi $20 akan menjadi 100%, dan perubahan harga dari $10 menjadi $5 akan menjadi -50%.

Pada akhirnya, kita mencoba menentukan seberapa erat korelasi perdagangan orang dalam dengan pengembalian berlebih (positif atau negatif) pada harga saham untuk melihat apakah orang dalam tersebut mengatur waktu perdagangannya untuk mendapatkan keuntungan dari informasi orang dalam. Pertimbangkan situasi di mana orang dalam melakukan hal ini. Dalam situasi ini, kita akan mengharapkan (a) pengembalian positif setelah pembelian, atau (b) pengembalian negatif setelah penjualan. Dalam kasus (a), grafik PEMBELIAN akan menunjukkan serangkaian kurva yang miring ke atas, menunjukkan pengembalian positif setelah setiap transaksi pembelian. Dalam kasus (b), grafik PENJUALAN akan menunjukkan serangkaian kurva yang miring ke bawah, menunjukkan pengembalian negatif setelah setiap transaksi penjualan.

Namun, ini saja tidak cukup untuk menarik kesimpulan. Jika, misalnya, harga saham perusahaan berada dalam tren kenaikan non-siklikal selama bertahun-tahun, maka kita akan mengharapkan semua plot pasca-pembelian memiliki kemiringan ke atas. Demikian pula, penurunan non-siklikal selama bertahun-tahun akan menghasilkan plot pasca-perdagangan dengan kemiringan ke bawah. Tak satu pun dari grafik ini akan menunjukkan aktivitas perdagangan orang dalam.

Indikator terkuat adalah situasi di mana harga saham sangat siklikal, dan terdapat sinyal positif pada grafik PEMBELIAN dan plot negatif pada grafik PENJUALAN. Situasi ini akan sangat menunjukkan adanya orang dalam yang mengatur waktu perdagangan untuk keuntungan finansial mereka.

Pembelian Orang Dalam LTSAP / Osaic Financial Services, Inc. - Preferred Stock - Analisis Keuntungan Jangka Pendek

Pada bagian ini, kami menganalisis profitabilitas setiap pembelian saham oleh orang dalam di pasar terbuka yang tidak direncanakan yang dilakukan di LTSAP / Osaic Financial Services, Inc. - Preferred Stock. Analisis ini membantu memahami apakah orang dalam tersebut secara konsisten menghasilkan pengembalian abnormal, dan layak untuk diikuti. Analisis ini dilakukan selama satu tahun setelah setiap transaksi, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan pembelian pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Maksimal		 Harga di
Maksimal		 Maksimal
Keuntungan ($)		 Maksimum Pengembalian (%)
2019-05-31 LTS Malamed Adam Scott 10,000 3.2011 10,000 3.2011 32,011 27
2019-05-22 LTS Malamed Adam Scott 10,000 3.3459 10,000 3.3459 33,459
2019-04-15 LTS Malamed Adam Scott 15,000 3.4749 15,000 3.4749 52,124
2019-04-12 LTS Malamed Adam Scott 10,000 3.4600 10,000 3.4600 34,600
2019-04-05 LTS Malamed Adam Scott 15,000 2.9325 15,000 2.9325 43,988
2019-01-03 LTS Malamed Adam Scott 5,000 2.4592 5,000 2.4592 12,296
2019-01-02 LTS Malamed Adam Scott 5,000 2.3750 5,000 2.3750 11,875
2018-10-02 LTS Malamed Adam Scott 10,000 2.5000 10,000 2.5000 25,000
2018-08-17 LTS Malamed Adam Scott 5,000 3.2039 5,000 3.2039 16,020
2018-06-27 LTS Malamed Adam Scott 5,000 3.4443 5,000 3.4443 17,222
2018-04-13 LTS Malamed Adam Scott 5,000 3.2799 5,000 3.2799 16,400
2017-05-19 LTS Malamed Adam Scott 5,000 2.1500 5,000 2.1500 10,750
2017-03-22 LTS Malamed Adam Scott 5,000 2.2000 5,000 2.2000 11,000
2017-03-20 LTS Malamed Adam Scott 5,000 2.3800 5,000 2.3800 11,900
2017-03-17 LTS Malamed Adam Scott 5,000 2.3582 5,000 2.3582 11,791
2016-08-29 LTS Malamed Adam Scott 5,000 2.2509 5,000 2.2509 11,254
2016-01-14 LTS Malamed Adam Scott 5,000 2.2144 5,000 2.2144 11,072
2015-08-28 LTS Malamed Adam Scott 5,000 2.5715 5,000 2.5715 12,858
2015-06-04 LTS Malamed Adam Scott 5,000 3.5539 5,000 3.5539 17,770
2014-12-11 LTS Malamed Adam Scott 5,000 3.7095 5,000 3.7095 18,548
2014-06-12 LTS Malamed Adam Scott 4,900 2.7900 4,900 2.7900 13,671
2014-06-12 LTS Malamed Adam Scott 100 2.7800 100 2.7800 278
2014-05-20 LTS Malamed Adam Scott 5,000 2.6700 5,000 2.6700 13,350
2014-05-09 LTS Malamed Adam Scott 640 2.6700 640 2.6700 1,709
2014-05-09 LTS Malamed Adam Scott 168 2.7000 168 2.7000 454
2014-05-09 LTS Malamed Adam Scott 4,192 2.7200 4,192 2.7200 11,402
2014-04-11 LTS Malamed Adam Scott 1,500 2.6700 1,500 2.6700 4,005
2014-04-11 LTS Malamed Adam Scott 2,000 2.6800 2,000 2.6800 5,360
2014-04-11 LTS Malamed Adam Scott 1,500 2.6900 1,500 2.6900 4,035
2014-03-14 LTS Malamed Adam Scott 850 2.9700 850 2.9700 2,524
2014-03-14 LTS Malamed Adam Scott 1,250 2.9900 1,250 2.9900 3,738
2014-03-14 LTS Malamed Adam Scott 2,900 3.0000 2,900 3.0000 8,700
2014-01-13 LTS Malamed Adam Scott 400 2.9300 400 2.9300 1,172
2014-01-13 LTS Malamed Adam Scott 479 2.9521 479 2.9521 1,414
2014-01-13 LTS Malamed Adam Scott 3,009 2.9616 3,009 2.9616 8,911
2014-01-13 LTS Malamed Adam Scott 1,112 2.9700 1,112 2.9700 3,303
2013-10-02 LTS Malamed Adam Scott 10,000 1.7500 10,000 1.7500 17,500
2013-10-02 LTS Malamed Adam Scott 10,000 1.7600 10,000 1.7600 17,600
2013-09-17 LTS Malamed Adam Scott 2,347 1.6900 2,347 1.6900 3,966
2013-09-17 LTS Malamed Adam Scott 12,653 1.7000 12,653 1.7000 21,510
2013-09-17 LTS Malamed Adam Scott 5,000 1.7100 5,000 1.7100 8,550
2013-08-15 LTS Malamed Adam Scott 20,000 1.6700 20,000 1.6700 33,400
2013-04-09 LTS Malamed Adam Scott 4,600 1.6000 4,600 1.6000 7,360
2013-04-09 LTS Malamed Adam Scott 400 1.6200 400 1.6200 648
2013-04-08 LTS Malamed Adam Scott 5,000 1.6000 5,000 1.6000 8,000
2013-04-05 LTS Malamed Adam Scott 4,349 1.6000 4,349 1.6000 6,958
2013-04-05 LTS Malamed Adam Scott 651 1.6300 651 1.6300 1,061
2013-04-04 LTS Malamed Adam Scott 5,000 1.6000 5,000 1.6000 8,000
2013-04-03 LTS Malamed Adam Scott 2,000 1.6200 2,000 1.6200 3,240
2013-04-03 LTS Malamed Adam Scott 2,900 1.6400 2,900 1.6400 4,756
2013-04-03 LTS Malamed Adam Scott 100 1.6500 100 1.6500 165
2013-04-02 LTS Malamed Adam Scott 1,098 1.6700 1,098 1.6700 1,834
2013-04-02 LTS Malamed Adam Scott 2,444 1.6800 2,444 1.6800 4,106
2013-04-02 LTS Malamed Adam Scott 1,458 1.6900 1,458 1.6900 2,464
2013-04-01 LTS Malamed Adam Scott 5,000 1.6800 5,000 1.6800 8,400
2013-03-21 LTS Malamed Adam Scott 25 1.6800 25 1.6800 42
2013-03-21 LTS Malamed Adam Scott 2,120 1.6900 2,120 1.6900 3,583
2013-03-21 LTS Malamed Adam Scott 4,633 1.7000 4,633 1.7000 7,876
2013-03-20 LTS Malamed Adam Scott 790 1.6500 790 1.6500 1,304
2013-03-20 LTS Malamed Adam Scott 532 1.6600 532 1.6600 883
2013-03-20 LTS Malamed Adam Scott 1,250 1.6700 1,250 1.6700 2,088
2013-03-20 LTS Malamed Adam Scott 650 1.6800 650 1.6800 1,092
2012-11-14 LTS Malamed Adam Scott 5,000 1.1500 5,000 1.1500 5,750
2012-11-09 LTS Malamed Adam Scott 1,275 1.2800 1,275 1.2800 1,632
2012-11-09 LTS Malamed Adam Scott 3,725 1.2900 3,725 1.2900 4,805
2012-10-15 LTS Malamed Adam Scott 5,000 1.2500 5,000 1.2500 6,250
2012-10-04 LTS Malamed Adam Scott 5,000 1.3200 5,000 1.3200 6,600
2012-08-15 LTS Malamed Adam Scott 5,000 1.3400 5,000 1.3400 6,700
2012-08-10 LTS Malamed Adam Scott 4,500 1.3804 4,500 1.3804 6,212
2012-08-10 LTS Malamed Adam Scott 5,500 1.3900 5,500 1.3900 7,645
2012-06-19 LTS Malamed Adam Scott 5,000 1.5500 5,000 1.5500 7,750
2012-05-23 LTS Malamed Adam Scott 5,000 1.4400 5,000 1.4400 7,200
2012-05-15 LTS Malamed Adam Scott 300 1.4600 300 1.4600 438
2012-05-15 LTS Malamed Adam Scott 4,700 1.4700 4,700 1.4700 6,909
2012-04-10 LTS Malamed Adam Scott 5,000 1.5800 5,000 1.5800 7,900
2012-04-04 LTS Malamed Adam Scott 3,000 1.7700 3,000 1.7700 5,310
2012-04-04 LTS Malamed Adam Scott 2,000 1.7800 2,000 1.7800 3,560
2012-03-23 LTS Malamed Adam Scott 5,000 1.8600 5,000 1.8600 9,300
2012-01-05 LTS Malamed Adam Scott 1,300 2.4900 1,300 2.4900 3,237
2012-01-05 LTS Malamed Adam Scott 800 2.5000 800 2.5000 2,000
2012-01-05 LTS Malamed Adam Scott 400 2.5100 400 2.5100 1,004
2012-01-05 LTS Malamed Adam Scott 1,000 2.5200 1,000 2.5200 2,520
2012-01-05 LTS Malamed Adam Scott 1,500 2.5300 1,500 2.5300 3,795
2012-01-03 LTS Malamed Adam Scott 2,050 2.4500 2,050 2.4500 5,022
2012-01-03 LTS Malamed Adam Scott 76 2.4900 76 2.4900 189
2012-01-03 LTS Malamed Adam Scott 1,676 2.5000 1,676 2.5000 4,190
2012-01-03 LTS Malamed Adam Scott 900 2.5300 900 2.5300 2,277
2012-01-03 LTS Malamed Adam Scott 298 2.5400 298 2.5400 757

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

LTSAP / Osaic Financial Services, Inc. - Preferred Stock Insider Trades
Penjualan Orang Dalam LTSAP / Osaic Financial Services, Inc. - Preferred Stock - Analisis Kerugian Jangka Pendek

Pada bagian ini, kami menganalisis penghindaran kerugian jangka pendek dari setiap penjualan internal pasar terbuka yang tidak direncanakan yang dilakukan di LTSAP / Osaic Financial Services, Inc. - Preferred Stock. Pola penghindaran kerugian yang konsisten dapat menunjukkan bahwa transaksi penjualan di masa mendatang dapat memprediksi penurunan harga. Analisis ini berlaku untuk satu tahun setelah setiap perdagangan, dan hasilnya bersifat teoritis .

Tabel berikut menunjukkan penjualan pasar terbuka terbaru yang bukan bagian dari rencana perdagangan otomatis.

Tanggal Perdagangan Ticker Orang Dalam Dilaporkan
Saham		 Dilaporkan
Harga		 Disesuaikan
Saham		 Disesuaikan
Harga		 Dasar Biaya Hari-hari menuju
Menit		 Harga di
Menit		 Kerugian Maksimal
Dihindari ($)		 Kerugian Maksimal
Dihindari (%)
Tidak ada transaksi pasar terbuka tak terduga yang diketahui untuk kombinasi orang dalam dan sekuritas ini.

Harga yang Disesuaikan adalah harga yang disesuaikan dengan pemisahan saham. Saham yang Disesuaikan adalah saham yang disesuaikan dengan pemisahan saham.

LTSAP / Osaic Financial Services, Inc. - Preferred Stock Insider Trades
Sejarah Perdagangan Orang Dalam

Tabel ini menunjukkan daftar lengkap transaksi orang dalam yang dilakukan oleh Adam Scott Malamed sebagaimana diungkapkan kepada Komisi Bursa Efek (Securities Exchange Commission/SEC).

Tanggal File Tanggal Transaksi Formulir Ticker Keamanan Kode 10b5-1 Saham Sisa Saham Persen
Ubah		 Bagikan
Harga		 Tran
Nilai		 Sisa
Nilai
2020-02-14 2020-02-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Stock Option (Right to Buy) 		D - Sale to Issuer -50,000 0 -100.00 0.85 -42,500
2020-02-14 2020-02-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Stock Option (Right to Buy) 		D - Sale to Issuer -50,000 0 -100.00
2020-02-14 2020-02-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Stock Option (Right to Buy) 		D - Sale to Issuer -135,000 0 -100.00 0.25 -33,750
2020-02-14 2020-02-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Stock Option (Right to Buy) 		D - Sale to Issuer -100,000 0 -100.00 2.10 -210,000
2020-02-14 2020-02-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Stock Option (Right to Buy) 		D - Sale to Issuer -200,000 0 -100.00 0.70 -140,000
2020-02-14 2020-02-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Stock Option (Right to Buy) 		D - Sale to Issuer -200,000 0 -100.00 2.22 -444,000
2020-02-14 2020-02-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		D - Sale to Issuer -5,000 0 -100.00 3.50 -17,500
2020-02-14 2020-02-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		D - Sale to Issuer -1,612,290 0 -100.00 3.50 -5,643,015
2020-02-14 2020-02-12 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
8.00% Series A Cumulative Redeemable Preferred Stock 		S - Sale -3,900 100 -97.50 25.10 -97,899 2,510
2019-06-03 2019-05-31 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 10,000 1,612,290 0.62 3.20 32,011 5,161,102
2019-05-23 2019-05-22 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 10,000 1,602,290 0.63 3.35 33,459 5,361,102
2019-05-17 2019-05-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Stock Option (Right to Purchase) 		M - Exercise -200,000 0 -100.00
2019-05-17 2019-05-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -111,251 1,592,290 -6.53 3.39 -377,141 5,397,863
2019-05-17 2019-05-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		M - Exercise 200,000 1,703,541 13.30 0.90 180,000 1,533,187
2019-04-16 2019-04-15 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 15,000 1,503,541 1.01 3.47 52,124 5,224,655
2019-04-15 2019-04-12 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 10,000 1,488,541 0.68 3.46 34,600 5,150,352
2019-04-08 2019-04-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 15,000 1,478,541 1.02 2.93 43,988 4,335,821
2019-01-23 2019-01-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -12,099 1,463,541 -0.82 3.10 -37,507 4,536,977
2019-01-15 2019-01-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -12,481 1,475,640 -0.84 3.01 -37,568 4,441,676
2019-01-15 2019-01-13 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -15,182 1,488,121 -1.01 3.12 -47,368 4,642,938
2019-01-15 2019-01-12 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -19,214 1,503,303 -1.26 3.12 -59,948 4,690,305
2019-01-14 2019-01-10 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		A - Award 275,000 1,522,517 22.04
2019-01-04 2019-01-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,247,517 0.40 2.46 12,296 3,067,894
2019-01-03 2019-01-02 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,242,517 0.40 2.38 11,875 2,950,978
2018-12-31 2018-12-27 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		G - Gift -10,000 1,237,517 -0.80
2018-10-18 2018-10-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Stock Option (Right to Purchase) 		M - Exercise -150,000 0 -100.00
2018-10-18 2018-10-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -107,847 1,247,517 -7.96 2.92 -314,913 3,642,750
2018-10-18 2018-10-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		M - Exercise 150,000 1,355,364 12.44 1.58 237,000 2,141,475
2018-10-03 2018-10-02 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 10,000 1,205,364 0.84 2.50 25,000 3,013,410
2018-08-20 2018-08-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,195,364 0.42 3.20 16,020 3,829,827
2018-06-28 2018-06-27 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,190,364 0.42 3.44 17,222 4,099,971
2018-04-16 2018-04-13 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,185,364 0.42 3.28 16,400 3,887,875
2018-01-23 2018-01-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -11,504 1,180,364 -0.97 3.13 -36,008 3,694,539
2018-01-17 2018-01-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -11,846 1,191,868 -0.98 3.21 -38,026 3,825,896
2018-01-17 2018-01-13 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -14,215 1,203,714 -1.17 3.21 -45,630 3,863,922
2018-01-17 2018-01-12 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		A - Award 200,000 1,217,929 19.65
2017-12-29 2017-12-28 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		G - Gift -10,000 1,017,929 -0.97
2017-05-22 2017-05-19 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,027,929 0.49 2.15 10,750 2,210,047
2017-03-23 2017-03-22 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,022,929 0.49 2.20 11,000 2,250,444
2017-03-21 2017-03-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,017,929 0.49 2.38 11,900 2,422,671
2017-03-20 2017-03-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		P - Purchase 5,000 1,012,929 0.50 2.36 11,791 2,388,689
2017-01-24 2017-01-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -11,751 1,007,929 -1.15 2.24 -26,322 2,257,761
2017-01-18 2017-01-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		F - Taxes -11,770 1,019,680 -1.14 2.39 -28,130 2,437,035
2017-01-18 2017-01-13 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC.
Common Stock 		A - Award 150,000 1,031,450 17.02
2016-12-23 2016-12-21 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		G - Gift -10,000 881,450 -1.12
2016-08-30 2016-08-29 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 891,450 0.56 2.25 11,254 2,006,565
2016-07-07 2016-07-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Stock Option (Right to Purchase) 		M - Exercise -500,000 0 -100.00
2016-07-07 2016-07-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		F - Taxes -334,937 886,450 -27.42 2.27 -760,307 2,012,242
2016-07-07 2016-07-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		M - Exercise 500,000 1,221,387 69.31 1.05 525,000 1,282,456
2016-07-01 2016-06-29 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Warrant 		M - Exercise -301,500 0 -100.00
2016-07-01 2016-06-29 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		F - Taxes -183,591 721,387 -20.29 2.30 -422,259 1,659,190
2016-07-01 2016-06-29 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		M - Exercise 301,500 904,978 49.96 0.94 283,410 850,679
2016-01-19 2016-01-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Stock Option (Right to Buy) 		A - Award 50,000 50,000
2016-01-19 2016-01-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		A - Award 125,000 603,478 26.12
2016-01-15 2016-01-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 478,478 1.06 2.21 11,072 1,059,542
2015-08-31 2015-08-28 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 473,478 1.07 2.57 12,858 1,217,549
2015-06-05 2015-06-04 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 468,478 1.08 3.55 17,770 1,664,924
2015-01-22 2015-01-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Stock Option (Right to Buy) 		A - Award 50,000 50,000
2015-01-22 2015-01-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		A - Award 125,000 463,478 36.93
2014-12-12 2014-12-11 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 338,478 1.50 3.71 18,548 1,255,584
2014-06-13 2014-06-12 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 100 333,478 0.03 2.78 278 927,069
2014-06-13 2014-06-12 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 4,900 333,378 1.49 2.79 13,671 930,125
2014-05-21 2014-05-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 328,478 1.55 2.67 13,350 877,036
2014-05-12 2014-05-09 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 4,192 323,478 1.31 2.72 11,402 879,860
2014-05-12 2014-05-09 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 168 319,286 0.05 2.70 454 862,072
2014-05-12 2014-05-09 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 640 319,118 0.20 2.67 1,709 852,045
2014-04-14 2014-04-11 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,500 318,478 0.47 2.69 4,035 856,706
2014-04-14 2014-04-11 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,000 316,978 0.63 2.68 5,360 849,501
2014-04-14 2014-04-11 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,500 314,978 0.48 2.67 4,005 840,991
2014-03-17 2014-03-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,900 5,000 138.10 3.00 8,700 15,000
2014-03-17 2014-03-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,250 2,100 147.06 2.99 3,738 6,279
2014-03-17 2014-03-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 850 850 2.97 2,524 2,524
2014-01-21 2014-01-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Stock Option (Right to Buy) 		A - Award 135,000 135,000
2014-01-14 2014-01-13 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,112 313,478 0.36 2.97 3,303 931,030
2014-01-14 2014-01-13 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 3,009 312,366 0.97 2.96 8,911 925,103
2014-01-14 2014-01-13 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 479 309,357 0.16 2.95 1,414 913,253
2014-01-14 2014-01-13 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 400 308,878 0.13 2.93 1,172 905,013
2013-10-03 2013-10-02 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 10,000 308,478 3.35 1.76 17,600 542,921
2013-10-03 2013-10-02 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 10,000 298,478 3.47 1.75 17,500 522,336
2013-09-18 2013-09-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 288,478 1.76 1.71 8,550 493,297
2013-09-18 2013-09-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 12,653 283,478 4.67 1.70 21,510 481,913
2013-09-18 2013-09-17 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,347 270,825 0.87 1.69 3,966 457,694
2013-08-16 2013-08-15 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 20,000 268,478 8.05 1.67 33,400 448,358
2013-05-29 2013-05-24 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
8.00% Series A Cumulative Redeemable Preferred Stock 		P - Purchase 4,000 4,000 25.00 100,000 100,000
2013-04-10 2013-04-09 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 400 248,478 0.16 1.62 648 402,534
2013-04-10 2013-04-09 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 4,600 248,078 1.89 1.60 7,360 396,925
2013-04-09 2013-04-08 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 243,478 2.10 1.60 8,000 389,565
2013-04-08 2013-04-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 651 238,478 0.27 1.63 1,061 388,719
2013-04-08 2013-04-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 4,349 237,827 1.86 1.60 6,958 380,523
2013-04-05 2013-04-04 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 233,478 2.19 1.60 8,000 373,565
2013-04-04 2013-04-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 100 228,478 0.04 1.65 165 376,989
2013-04-04 2013-04-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,900 228,378 1.29 1.64 4,756 374,540
2013-04-04 2013-04-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,000 225,478 0.89 1.62 3,240 365,274
2013-04-03 2013-04-02 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,458 223,478 0.66 1.69 2,464 377,678
2013-04-03 2013-04-02 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,444 222,020 1.11 1.68 4,106 372,994
2013-04-03 2013-04-02 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,098 219,576 0.50 1.67 1,834 366,692
2013-04-02 2013-04-01 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 218,478 2.34 1.68 8,400 367,043
2013-03-22 2013-03-21 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 4,633 213,478 2.22 1.70 7,876 362,913
2013-03-22 2013-03-21 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,120 208,845 1.03 1.69 3,583 352,948
2013-03-22 2013-03-21 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 25 206,725 0.01 1.68 42 347,298
2013-03-22 2013-03-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 650 206,700 0.32 1.68 1,092 347,256
2013-03-22 2013-03-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,250 206,050 0.61 1.67 2,088 344,104
2013-03-22 2013-03-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 532 204,800 0.26 1.66 883 339,968
2013-03-22 2013-03-20 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 790 204,268 0.39 1.65 1,304 337,042
2013-01-30 2013-01-28 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Stock Option (Right to Buy) 		A - Award 100,000 100,000
2012-11-15 2012-11-14 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 203,478 2.52 1.15 5,750 234,000
2012-11-13 2012-11-09 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 3,725 198,478 1.91 1.29 4,805 256,037
2012-11-13 2012-11-09 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,275 194,753 0.66 1.28 1,632 249,284
2012-10-16 2012-10-15 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 193,478 2.65 1.25 6,250 241,848
2012-10-05 2012-10-04 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 188,478 2.73 1.32 6,600 248,791
2012-08-16 2012-08-15 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 183,478 2.80 1.34 6,700 245,861
2012-08-13 2012-08-10 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,500 178,478 3.18 1.39 7,645 248,084
2012-08-13 2012-08-10 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 4,500 172,978 2.67 1.38 6,212 238,779
2012-06-20 2012-06-19 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 168,478 3.06 1.55 7,750 261,141
2012-05-24 2012-05-23 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 163,478 3.16 1.44 7,200 235,408
2012-05-16 2012-05-15 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 4,700 158,478 3.06 1.47 6,909 232,963
2012-05-16 2012-05-15 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 300 153,778 0.20 1.46 438 224,516
2012-04-11 2012-04-10 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 153,478 3.37 1.58 7,900 242,495
2012-04-05 2012-04-04 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,000 148,478 1.37 1.78 3,560 264,291
2012-04-05 2012-04-04 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 3,000 146,478 2.09 1.77 5,310 259,266
2012-03-26 2012-03-23 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 5,000 143,478 3.61 1.86 9,300 266,869
2012-02-02 2012-01-31 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Stock Option (Right to Buy) 		A - Award 200,000 200,000
2012-01-06 2012-01-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,500 138,478 1.10 2.53 3,795 350,349
2012-01-06 2012-01-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,000 136,978 0.74 2.52 2,520 345,185
2012-01-06 2012-01-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 400 135,978 0.30 2.51 1,004 341,305
2012-01-06 2012-01-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 800 135,578 0.59 2.50 2,000 338,945
2012-01-06 2012-01-05 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,300 134,778 0.97 2.49 3,237 335,597
2012-01-04 2012-01-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 298 133,478 0.22 2.54 757 339,034
2012-01-04 2012-01-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 900 133,180 0.68 2.53 2,277 336,945
2012-01-04 2012-01-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 1,676 132,280 1.28 2.50 4,190 330,700
2012-01-04 2012-01-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 76 130,604 0.06 2.49 189 325,204
2012-01-04 2012-01-03 4 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		P - Purchase 2,050 130,528 1.60 2.45 5,022 319,794
2012-01-03 3 LTS LADENBURG THALMANN FINANCIAL SERVICES INC
Common Stock 		128,478
P
Pembelian sekuritas non-derivatif atau derivatif di pasar terbuka atau secara pribadi.
S
Penjualan terbuka atau penjualan pribadi atas sekuritas non-derivatif atau derivatif.
A
Hibah, penghargaan, atau perolehan sekuritas lainnya dari perusahaan (seperti opsi)
C
Konversi turunan
D
Penjualan atau pengalihan sekuritas kembali ke perusahaan.
F
Pembayaran harga pelaksanaan atau kewajiban pajak menggunakan sebagian sekuritas yang diterima dari perusahaan.
G
Pemberian sekuritas oleh atau kepada orang dalam.
K
Swap ekuitas dan transaksi lindung nilai serupa
M
Pelaksanaan atau konversi sekuritas derivatif yang diterima dari perusahaan (seperti opsi)
V
Transaksi yang dilaporkan secara sukarela pada Formulir 4.
J
Lainnya (disertai dengan catatan kaki yang menjelaskan transaksi tersebut)