Osaic Financial Services, Inc. - 우선주
US ˙ OTCPK ˙ US50575Q2012

소개

이 페이지에서는 Adam Scott Malamed의 공개된 내부자의 매매 거래 내역을 종합적으로 분석합니다. 내부자들은 기업의 임원(내부 경영진), 이사 또는 주요 투자자입니다. 일반적으로 내부자가 중요한 비공개 정보를 기반으로 자신이 속한 기업을 거래하는 것은 불법으로 간주됩니다. 이것은 내부자가 자신의 기업 내에서 행하는 모든 거래가 불법이라는 것을 뜻은 아닙니다. 그러나 그들은 자신들의 모든 거래를 양식 4를 통해 SEC에 보고해야만 합니다. 이러한 제한에도 불구하고, 학계 연구에 따르면 내부자는, 일반적으로, 자신의 회사 주식에 대한 실적이 시장의 수익률을 능가하는 경향성을 보였습니다.

평균 거래 수익성

평균 거래 수익성은 내부자가 지난 3년 동안 매입한 모든 "공개 시장"(Open market)에서의 매입의 평균 수익률입니다. 이를 계산하기 위해 10b5-1 거래 계획의 일부로 표시된 모든 거래를 제외하고 내부자가 계획되지 않은 모든 오픈 마켓에서의 매입을 조사합니다. 그런 다음 3개월, 6개월, 12개월 동안 해당 거래의 평균 성과를 계산하여 각 거래에 대한 최종 성과 지표를 생성합니다. 마지막으로 내부자에 대한 성과 지표를 계산하기 위해 모든 성과 지표의 평균을 내립니다. 이 목록에는 지난 2년 동안 최소 3번 이상 거래한 내부자만 포함됩니다.

내부자의 매매 거래 수익성이 "해당 없음"인 경우, 내부자는 지난 3년 동안 공개 시장에서 매수한 적이 없거나, 거래가 너무 최근에 이루어져서 신뢰할 수 있는 성과 지표를 산출할 수 없는 경우에 해당합니다.

업데이트 주기: 일별

최고 수익율의 내부자 목록을 확인하세요.

가장 높은 순위의 내부자를 확인하세요
내부자 포지션이 보고된 기업

SEC 서류에 따르면 Adam Scott Malamed 기업이 다음 기업에 대한 보유 또는 거래를 보고했습니다:

증권 소유권 최근 보고된 보유 주식
US:LTS / Ladenburg Thalmann Financial Services, Inc. 0
차트 해석 방법

아래 차트는 Adam Scott Malamed에 의한 각 "공개 시장"(Open market)에서 계획되지 않은 거래 이후 증권의 주가 실적을 보여줍니다. 계획되지 않은 거래는 10b5-1 거래 계획의 일환으로 이루어지지 않은 거래입니다. 주가 실적은 주가의 누적 백분율 변화로 표시됩니다. 예를 들어, 2019년 1월 1일 내부자의 매매 거래가 이루어졌을 경우, 차트는 현재까지 증권의 일별 백분율 변화를 보여줍니다. 이 기간 동안 주가가 10달러에서 15달러로 간다면, 주가의 누적 백분율 변화는 50%가 됩니다. 10달러에서 20달러로의 가격 변화는 100%가 되며, 10달러에서 5달러로의 가격 변화는 -50%가 됩니다.

궁극적으로 내부자의 매매 거래가 내부자의 정보를 이용하여 이익을 얻기 위해 거래 타이밍을 맞추고 있는지 확인하기 위해 내부자의 매매 거래가 주가의 초과 수익률(양 또는 음)과 얼마나 밀접한 상관 관계가 있는지 확인하고자 합니다. 내부자가 이러한 작업을 수행하고 있는 상황을 고려해 보겠습니다. 이러한 상황에서 우리는 (a) 매입 후 양의 수익률 또는 (b) 매각 후 음의 수익률을 기대할 수 있습니다. (a)의 경우, 매입 차트는 상향으로 기울어진 일련의 곡선을 보여주며, 각 매입 거래 후 양의 수익률을 나타냅니다. (b)의 경우, SALE 차트는 하향으로 기울어진 일련의 곡선을 보여주며, 각 판매 거래 후 음의 수익률을 나타냅니다.

그러나 이것만으로는 결론을 도출하기에 충분하지 않습니다. 예를 들어, 해당 기업의 주가가 수년에 걸쳐 비주기적 상승 추세에 있다면, Fintel은 매입 후 도표가 모두 상향 곡선으로 예상할 수 있습니다. 마찬가지로, 수년에 걸쳐 비주기적 하락은 거래 후에 하향 곡선으로 초래할 가능성이 높습니다. 이 도표들 중 어느 것도 내부자의 매매 거래 활동을 시사하지는 않습니다.

가장 강력한 지표는 주가가 극단적으로 순환하는 상황일 것이고, PURCHASE 차트에는 긍정적인 시그널이, SALE 차트에는 부정적인 플롯이 존재했습니다. 이는 자신들의 금전적 이익을 위한 거래 타이밍을 재던 내부자에 의한 상황일 가능성이 높습니다.

내부자 매입 LTSAP / Osaic Financial Services, Inc. - Preferred Stock: 단기 이익 분석

이 섹션에서는 LTSAP / Osaic Financial Services, Inc. - Preferred Stock에 대한 "공개 시장"(Open market)에서 계획되지 않은 내부자의 매입이 발생한 모든 상품의 수익성을 분석합니다. 이 분석은 내부자가 지속적으로 비정상적인 수익을 창출하는지 이해하는 데 도움이 되며, 이를 따를 가치가 있습니다. 이 분석은 각 거래 후 1년 동안 수행되며, 결과는 이론 값입니다.

아래 표는 사전 거래 계획(Automated trading plan)에 포함되지 않은 가장 최근의 공개 시장 매입을 보여줍니다.

거래일 티커 내부자 보고된
지분		 보고된
가격		 조정된
지분		 조정된
가격		 가격 기준 최고까지
일수		 최고
가격		 최고
이익 ($)		 최고 수익률 (%)
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

조정 가격은 분할 조정된 가격입니다. 조정된 주식은 조정된 지분입니다.

LTSAP / Osaic Financial Services, Inc. - Preferred Stock Insider Trades
내부자 매매 LTSAP / Osaic Financial Services, Inc. - Preferred Stock: 단기 손실 분석

이 섹션에서는 LTSAP / Osaic Financial Services, Inc. - Preferred Stock에서 이루어진 계획되지 않은 모든 공개 시장에서의 내부자 매도의 단기 손실 회피를 분석합니다. 일관된 손실 회피 패턴은 향후 매각 거래에서 가격 하락이 발생할 수도 있다는 것을 예측할 수 있습니다. 이 분석은 각 거래 후 1년을 대상으로 한 것이며, 결과는 이론 값입니다.

아래 표는 자동 거래 계획에 포함되지 않은 가장 최근의 "공개 시장"(Open market) 매매를 보여줍니다.

거래일 티커 내부자 보고된
지분		 보고된
가격		 조정된
지분		 조정된
가격		 가격 기준 최저까지
일수		 최저에서
가격		 회피된
최대 손실($)		 회피된
최대 손실율(%)
이 내부자와 유가 증권의 조합과 관련하여 계획되지 않은 공개된 "공개 시장"(Open market) 거래는 없습니다.

조정 가격은 분할 조정된 가격입니다. 조정된 주식은 조정된 지분입니다.

LTSAP / Osaic Financial Services, Inc. - Preferred Stock Insider Trades
내부자의 매매 거래 내역

아래 표는 증권거래위원회(SEC)에 공시된 Adam Scott Malamed의 내부자의 전체 거래 목록입니다.

보고일 거래일 보고 티커 증권 코드 10b5-1 지분 잔여 지분 변동률
(%)		 지분
가치		 거래
가치		 잔여
가치
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
공개 시장에서 또는 사적으로 비파생증권 또는 파생증권 매입
S
공개 시장에서 또는 사적으로 비파생증권 또는 파생증권 매각
A
자사로부터 유가증권(옵션 등)을 보조, 지급 또는 기타 취득
C
파생상품 전환
D
자사에게 유가증권을 매각 또는 양도
F
기업으로부터 인도 받은 유가증권의 일부를 사용한 행사 가격 또는 조세 채무의 지급
G
내부자에 의한 또는 내부자에게 증권 증여
K
지분스왑 및 유사 위험 회피거래
M
자사로부터 인도 받은 파생증권(옵션 등)의 행사 또는 전환
V
보고서 양식 4에 자진 신고된 거래
J
기타 (거래 내용을 설명하는 각주와 동반)