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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 14-Feb-20 3:20 PM View:  | Ladenburg Thalmann Financia... (LTS) | 14-Feb-20 | Disposition | 473,207 | $3.50 | $1,656,220.00 | (100%) 473.21K to 0 | |
| 14-Feb-20 3:20 PM View: | Ladenburg Thalmann Financia... (LTS) | 12-Feb-20 | Private Sale | 2,000 | $25.11 | $50,220.00 | (< 1%) 475.21K to 473.21K | |
| 09-Jan-20 7:46 AM View: | Ladenburg Thalmann Financia... (LTS) | 07-Jan-20 | Option Exercise | 50,000 | $0.90 | $45,000.00 | 12% 425.21K to 475.21K | |
| 02-Jul-19 7:27 AM View: | Ladenburg Thalmann Financia... (LTS) | 28-Jun-19 | Grant | 1,342 | $3.26 | $4,372.91 | < 1% 420.81K to 422.15K | |
| 02-Apr-19 7:59 AM View: | Ladenburg Thalmann Financia... (LTS) | 29-Mar-19 | Grant | 163 | $2.69 | $438.23 | < 1% 420.65K to 420.81K | 6% |
| 14-Jan-19 7:36 AM View: | Ladenburg Thalmann Financia... (LTS) | 10-Jan-19 | Grant | 60,000 | -- | -- | 17% 360.65K to 420.65K | |
| 03-Jan-19 7:51 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Dec-18 | Grant | 1,101 | $2.21 | $2,437.06 | < 1% 359.55K to 360.65K | 7% |
| 16-Oct-18 9:21 AM View: | Ladenburg Thalmann Financia... (LTS) | 15-Oct-18 | Market Purchase | 4,000 | $2.55 | $10,190.00 | 1% 355.55K to 359.55K | (10%) |
| 02-Oct-18 7:53 AM View: | Ladenburg Thalmann Financia... (LTS) | 28-Sep-18 | Grant | 1,535 | $2.57 | $3,937.28 | < 1% 354.01K to 355.55K | (11%) |
| 03-Jul-18 7:38 AM View: | Ladenburg Thalmann Financia... (LTS) | 29-Jun-18 | Grant | 755 | $3.23 | $2,438.65 | < 1% 353.26K to 354.01K | (29%) |
| 23-May-18 7:36 AM View: | Ladenburg Thalmann Financia... (LTS) | 22-May-18 | Option Exercise | 15,000 | $2.30 | $34,500.00 | 4% 338.26K to 353.26K | |
| 02-Apr-18 5:23 PM View: | Ladenburg Thalmann Financia... (LTS) | 29-Mar-18 | Grant | 241 | $3.11 | $748.67 | < 1% 338.02K to 338.26K | (27%) |
| 17-Jan-18 5:23 PM View: | Ladenburg Thalmann Financia... (LTS) | 12-Jan-18 | Grant | 50,000 | -- | -- | 17% 288.02K to 338.02K | |
| 03-Oct-17 7:53 AM View: | Ladenburg Thalmann Financia... (LTS) | 29-Sep-17 | Grant | 457 | $2.74 | $1,250.35 | < 1% 287.56K to 288.02K | |
| 05-Jul-17 7:48 AM View: | Ladenburg Thalmann Financia... (LTS) | 30-Jun-17 | Grant | 1,941 | $2.32 | $4,499.24 | < 1% 285.62K to 287.56K | (3%) |
| 04-Apr-17 7:40 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Mar-17 | Grant | 7,640 | $2.36 | $17,999.80 | 3% 277.98K to 285.62K | (5%) |
| 18-Jan-17 5:30 PM View: | Ladenburg Thalmann Financia... (LTS) | 13-Jan-17 | Grant | 40,000 | -- | -- | 17% 237.98K to 277.98K | |
| 04-Oct-16 7:35 AM View: | Ladenburg Thalmann Financia... (LTS) | 30-Sep-16 | Grant | 569 | $2.19 | $1,248.67 | < 1% 237.41K to 237.98K | 3% |
| 05-Jul-16 7:15 AM View: | Ladenburg Thalmann Financia... (LTS) | 30-Jun-16 | Market Purchase | 2,008 | $2.24 | $4,501.94 | < 1% 235.4K to 237.41K | < 1% |
| 04-Apr-16 7:38 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Mar-16 | Market Purchase | 7,578 | $2.38 | $17,997.80 | 3% 227.82K to 235.4K | (5%) |
| 19-Jan-16 5:26 PM View: | Ladenburg Thalmann Financia... (LTS) | 14-Jan-16 | Grant | 40,000 | -- | -- | 21% 187.82K to 227.82K | |
| 05-Jan-16 7:56 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Dec-15 | Market Purchase | 428 | $2.62 | $1,122.22 | < 1% 187.4K to 187.82K | (14%) |
| 02-Oct-15 7:41 AM View: | Ladenburg Thalmann Financia... (LTS) | 30-Sep-15 | Market Purchase | 3,554 | $2.00 | $7,123.99 | 2% 183.84K to 187.4K | 12% |
| 22-Sep-15 8:00 AM View: | Ladenburg Thalmann Financia... (LTS) | 18-Sep-15 | Market Purchase | 1,000 | $2.39 | $2,390.00 | < 1% 182.84K to 183.84K | (6%) |
| 02-Jul-15 7:59 AM View: | Ladenburg Thalmann Financia... (LTS) | 30-Jun-15 | Market Purchase | 828 | $3.33 | $2,753.10 | < 1% 182.01K to 182.84K | (32%) |
| 15-Apr-15 8:00 AM View: | Ladenburg Thalmann Financia... (LTS) | 14-Apr-15 | Market Purchase | 2,000 | $3.73 | $7,467.00 | 1% 180.01K to 182.01K | (40%) |
| 02-Apr-15 7:59 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Mar-15 | Market Purchase | 3,477 | $3.67 | $12,750.20 | 2% 176.54K to 180.01K | (39%) |
| 30-Jan-15 4:24 PM View: | Ladenburg Thalmann Financia... (LTS) | 29-Jan-15 | Option Exercise | 30,000 | $0.58 | $17,400.00 | 20% 146.54K to 176.54K | |
| 22-Jan-15 5:28 PM View: | Ladenburg Thalmann Financia... (LTS) | 20-Jan-15 | Grant | 40,000 | -- | -- | 38% 106.54K to 146.54K | |
| 05-Jan-15 8:00 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Dec-14 | Market Purchase | 1,666 | $3.87 | $6,449.17 | 2% 104.87K to 106.54K | (42%) |
| 02-Oct-14 7:29 AM View: | Ladenburg Thalmann Financia... (LTS) | 30-Sep-14 | Market Purchase | 1,117 | $4.03 | $4,499.28 | 1% 103.75K to 104.87K | (44%) |
| 02-Jul-14 7:17 AM View: | Ladenburg Thalmann Financia... (LTS) | 30-Jun-14 | Market Purchase | 835 | $2.99 | $2,496.65 | < 1% 102.92K to 103.75K | (25%) |
| 02-Apr-14 6:59 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Mar-14 | Market Purchase | 4,009 | $2.87 | $11,501.80 | 4% 98.91K to 102.92K | (22%) |
| 03-Feb-14 8:47 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Jan-14 | Option Exercise | 30,000 | $1.01 | $30,300.00 | 44% 68.91K to 98.91K | |
| 03-Jan-14 6:26 AM View: | Ladenburg Thalmann Financia... (LTS) | 31-Dec-13 | Market Purchase | 840 | $2.97 | $2,497.74 | 1% 68.07K to 68.91K | (24%) |
| 02-Oct-13 8:49 AM View: | Ladenburg Thalmann Financia... (LTS) | 30-Sep-13 | Market Purchase | 2,617 | $1.72 | $4,501.24 | 4% 65.45K to 68.07K | 31% |
| 02-Jul-13 9:17 AM View: | Ladenburg Thalmann Financia... (LTS) | 28-Jun-13 | Market Purchase | 1,595 | $1.57 | $2,504.15 | 2% 63.86K to 65.45K | 43% |
| 29-May-13 6:29 PM View: | Ladenburg Thalmann Financia... (LTS) | 24-May-13 | Purchase | 2,000 | $25.00 | $50,000.00 | 3% 61.86K to 63.86K | |
| 01-Apr-13 5:09 PM View: | Ladenburg Thalmann Financia... (LTS) | 28-Mar-13 | Acquisition (other) | 1,506 | $1.58 | $2,379.48 | 2% 60.35K to 61.86K | 42% |