| Filed | As-Of/On | Form | Fullname | Fund Class | Shares | Activity | Shares Change | Shares Pct. Change | Hypothetical Old Value | Hypothetical New Value | Hypothetical Value Chg. | Hypotheticals Return |
Hypotheticals Results |
Director |
Other |
Ten Pct |
Officer |
Officer Title |
News Article |
History |
|---|
| 2009-11-17 | 2009-09-30 | 13F-HR/A | Credit Suisse First Boston | Institution | | Sold All | -387,027 | -100 % | | | | -3.07 % | $7,741 | | | | | | News Article | History of Credit Suisse First Boston Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-17 | 2009-09-30 | 13F-HR | Wells Fargo And Co | Institution | 4,895 | No Change | 0 | 0 % | $3,182 | $3,084 | $-98 | -3.07 % | $0 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Artis Capital Management Llc | Institution | 376,000 | New Holding | 376,000 | 100 % | $255,680 | $236,880 | $-18,800 | -7.35 % | $-18,800 | | | | | | News Article | History of Artis Capital Management Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Citadel L P | Institution | 17,851 | New Holding | 17,851 | 100 % | $12,139 | $11,246 | $-893 | -7.35 % | $-893 | | | | | | News Article | History of Citadel L P Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Ing Groep Nv | Institution | 2,293,804 | No Change | 0 | 0 % | $1,559,787 | $1,445,097 | $-114,690 | -7.35 % | $0 | | | | | | News Article | History of Ing Groep Nv Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Millennium Management Llc | Institution | 175,000 | Sold Some | -25,000 | -12.50 % | $119,000 | $110,250 | $-8,750 | -7.35 % | $1,250 | | | | | | News Article | History of Millennium Management Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Morgan Stanley | Institution | 261,539 | Sold Some | -238,029 | -47.64 % | $177,847 | $164,770 | $-13,077 | -7.35 % | $11,901 | | | | | | News Article | History of Morgan Stanley Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Northern Trust Corp | Institution | 315,447 | Sold Some | -383,088 | -54.84 % | $214,504 | $198,732 | $-15,772 | -7.35 % | $19,154 | | | | | | News Article | History of Northern Trust Corp Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Shaw D E And Co Inc | Institution | 244,008 | Sold Some | -46,026 | -15.86 % | $165,925 | $153,725 | $-12,200 | -7.35 % | $2,301 | | | | | | News Article | History of Shaw D E And Co Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-16 | 2009-09-30 | 13F-HR | Wexford Capital Llc | Institution | 73,600 | New Holding | 73,600 | 100 % | $50,048 | $46,368 | $-3,680 | -7.35 % | $-3,680 | | | | | | News Article | History of Wexford Capital Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Alpine Woods Capital Investors Llc | Institution | | Sold All | -11,116 | -100 % | | | | -3.07 % | $222 | | | | | | News Article | History of Alpine Woods Capital Investors Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Ameriprise Financial Inc | Institution | 2,242 | No Change | 0 | 0 % | $1,457 | $1,412 | $-45 | -3.07 % | $0 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Axa | Institution | | Sold All | -2 | -100 % | | | | -3.07 % | $0 | | | | | | News Article | History of Axa Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barclays Plc | Institution | 1 | Sold Some | -209,600 | -99.99 % | $1 | $1 | $0 | -3.07 % | $4,192 | | | | | | News Article | History of Barclays Plc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Barrett Associates Inc Ny | Institution | 118 | No Change | 0 | 0 % | $77 | $74 | $-2 | -3.07 % | $0 | | | | | | News Article | History of Barrett Associates Inc Ny Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Del Mar Asset Management Lp | Institution | | Sold All | -12,720 | -100 % | | | | -3.07 % | $254 | | | | | | News Article | History of Del Mar Asset Management Lp Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Geduld E E | Institution | 360,000 | No Change | 0 | 0 % | $234,000 | $226,800 | $-7,200 | -3.07 % | $0 | | | | | | News Article | History of Geduld E E Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Geode Capital Management Llc | Institution | 98,328 | No Change | 0 | 0 % | $63,913 | $61,947 | $-1,967 | -3.07 % | $0 | | | | | | News Article | History of Geode Capital Management Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Goldman Sachs Group Inc | Institution | 193,483 | Sold Some | -1,199,328 | -86.10 % | $125,764 | $121,894 | $-3,870 | -3.07 % | $23,987 | | | | | | News Article | History of Goldman Sachs Group Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Jefferies Group Inc | Institution | | Sold All | -84,700 | -100 % | | | | -3.07 % | $1,694 | | | | | | News Article | History of Jefferies Group Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Knight Capital Group Inc | Institution | 14,889 | Added More | 3,786 | 34.09 % | $9,678 | $9,380 | $-298 | -3.07 % | $-76 | | | | | | News Article | History of Knight Capital Group Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR/A | Neuberger Berman Group Llc | No Data | 10,000 | No Change | 0 | 0 % | $6,500 | $6,300 | $-200 | -3.07 % | $0 | | | | | | News Article | History of Neuberger Berman Group Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Oppenheimer And Co Inc | Institution | | Sold All | -27,908 | -100 % | | | | -3.07 % | $558 | | | | | | News Article | History of Oppenheimer And Co Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Price T Rowe Associates Inc | Institution | 47,600 | No Change | 0 | 0 % | $30,940 | $29,988 | $-952 | -3.07 % | $0 | | | | | | News Article | History of Price T Rowe Associates Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Rbc Dain Rauscher Inc | Institution | 91 | No Change | 0 | 0 % | $59 | $57 | $-2 | -3.07 % | $0 | | | | | | News Article | History of Rbc Dain Rauscher Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-13 | 2009-09-30 | 13F-HR | Vanguard Group Inc | Institution | 1,487,040 | No Change | 0 | 0 % | $966,576 | $936,835 | $-29,741 | -3.07 % | $0 | | | | | | News Article | History of Vanguard Group Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Bank Of America Corp | Institution | 10,500 | No Change | 0 | 0 % | $6,615 | $6,615 | $0 | 0.00 % | $0 | | | | | | News Article | History of Bank Of America Corp Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Barclays Global Investors Uk Holdings Ltd | Institution | 887,771 | Sold Some | -4,082 | -0.45 % | $559,296 | $559,296 | $0 | 0.00 % | $0 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Great Oaks Capital Management Llc | Institution | 137,000 | New Holding | 137,000 | 100 % | $86,310 | $86,310 | $0 | 0.00 % | $0 | | | | | | News Article | History of Great Oaks Capital Management Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Mccormack Advisors International | Institution | 15,000 | New Holding | 15,000 | 100 % | $9,450 | $9,450 | $0 | 0.00 % | $0 | | | | | | News Article | History of Mccormack Advisors International Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Merrill Lynch And Co Inc | Institution | 20,264 | No Change | 0 | 0 % | $12,766 | $12,766 | $0 | 0.00 % | $0 | | | | | | News Article | History of Merrill Lynch And Co Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR/A | Qa3 Financial Llc | No Data | 1 | No Change | 0 | 0 % | $1 | $1 | $0 | 0.00 % | $0 | | | | | | News Article | History of Qa3 Financial Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Rock Point Advisors Llc | Institution | 30,000 | No Change | 0 | 0 % | $18,900 | $18,900 | $0 | 0.00 % | $0 | | | | | | News Article | History of Rock Point Advisors Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-12 | 2009-09-30 | 13F-HR | Susquehanna International Group Llp | Institution | 69,459 | Sold Some | -32,148 | -31.63 % | $43,759 | $43,759 | $0 | 0.00 % | $0 | | | | | | News Article | History of Susquehanna International Group Llp Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Citigroup Inc | Institution | | Sold All | -202,359 | -100 % | | | | -3.07 % | $4,047 | | | | | | News Article | History of Citigroup Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Glenmede Trust Co Na | Institution | 13,027 | No Change | 0 | 0 % | $8,468 | $8,207 | $-261 | -3.07 % | $0 | | | | | | News Article | History of Glenmede Trust Co Na Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Tesseract Capital Llc | No Data | | Sold All | -12,100 | -100 % | | | | -3.07 % | $242 | | | | | | News Article | History of Tesseract Capital Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-10 | 2009-09-30 | 13F-HR | Ubs Ag | Institution | 7,160 | Sold Some | -167,277 | -95.89 % | $4,654 | $4,511 | $-143 | -3.07 % | $3,346 | | | | | | News Article | History of Ubs Ag Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-11-03 | 2009-09-30 | 13F-HR | Prudential Financial Inc | Institution | 10,163 | No Change | 0 | 0 % | $6,809 | $6,403 | $-407 | -5.97 % | $0 | | | | | | News Article | History of Prudential Financial Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-10-30 | 2009-09-30 | 13F-HR | Oxford Asset Management | Institution | | Sold All | -157,500 | -100 % | | | | -5.97 % | $6,300 | | | | | | News Article | History of Oxford Asset Management Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-10-29 | 2009-09-30 | 13F-HR | Dimensional Fund Advisors Inc | Institution | 2 | Sold Some | -1,400 | -99.85 % | $1 | $1 | $0 | -7.35 % | $70 | | | | | | News Article | History of Dimensional Fund Advisors Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-10-26 | 2009-06-30 | 13F-HR/A | Ameriprise Financial Inc | Institution | 2,242 | No Change | 0 | 0 % | $1,525 | $1,412 | $-112 | -7.35 % | $0 | | | | | | News Article | History of Ameriprise Financial Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-10-22 | 2009-09-30 | 13F-HR | Blackrock Investment Management Llc | Institution | 5,581 | No Change | 0 | 0 % | $4,018 | $3,516 | $-502 | -12.50 % | $0 | | | | | | News Article | History of Blackrock Investment Management Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-10-21 | 2009-09-30 | 13F-HR | Bank Of New York Mellon Corp | Institution | 25,280 | Sold Some | -4,100 | -13.95 % | $18,202 | $15,926 | $-2,275 | -12.50 % | $369 | | | | | | News Article | History of Bank Of New York Mellon Corp Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-10-13 | 2009-09-30 | 13F-HR | Gofen And Glossberg Llc | Institution | 20,000 | No Change | 0 | 0 % | $16,200 | $12,600 | $-3,600 | -22.22 % | $0 | | | | | | News Article | History of Gofen And Glossberg Llc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-10-08 | 2009-06-30 | 13F-HR/A | Del Mar Asset Management Lp | Institution | 12,720 | New Holding | 12,720 | 100 % | $8,777 | $8,014 | $-763 | -8.69 % | $-763 | | | | | | News Article | History of Del Mar Asset Management Lp Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-09-24 | 2009-06-30 | 13F-HR/A | Credit Agricole S A | Institution | | Sold All | -275,000 | -100 % | | | | -16.00 % | $33,000 | | | | | | News Article | History of Credit Agricole S A Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-09-15 | 2008-03-31 | 13F-HR/A | Segall Bryant And Hamill | Institution | 15,000 | New Holding | 15,000 | 100 % | $11,100 | $9,450 | $-1,650 | -14.86 % | $-1,650 | | | | | | News Article | History of Segall Bryant And Hamill Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-09-11 | 2009-06-30 | 13F-HR/A | Barclays Global Investors Uk Holdings Ltd | Institution | 891,853 | Sold Some | -2,986,906 | -77.00 % | $668,890 | $561,867 | $-107,022 | -16.00 % | $358,429 | | | | | | News Article | History of Barclays Global Investors Uk Holdings Ltd Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-09-01 | 2009-06-30 | 13F-HR/A | Amvescap Plc | Institution | | Sold All | -484 | -100 % | | | | -10.00 % | $34 | | | | | | News Article | History of Amvescap Plc Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-08-28 | 2009-06-30 | 13F-HR/A | Wells Fargo And Co | Institution | 4,895 | Sold Some | -255 | -4.95 % | $3,573 | $3,084 | $-490 | -13.69 % | $26 | | | | | | News Article | History of Wells Fargo And Co Ownership Of Ladenburg Thalmann Financial Services Inc |
| 2009-08-25 | 2009-06-30 | 13F-HR/A | Jefferies Group Inc | Institution | 84,700 | New Holding | 84,700 | 100 % | $60,137 | $53,361 | $-6,776 | -11.26 % | $-6,776 | | | | | | News Article | History of Jefferies Group Inc Ownership Of Ladenburg Thalmann Financial Services Inc |
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