Rosenstock Richard J - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	1	51	3	5	8	20	26	43	17
P	%wins				84	71	67	69	73	78	74
S	%ret	1	1	1	4	1	2	-21	-6	-72	-15
S	%wins				0	0	0	100	100	100	50

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
12/12/14 09:01	12/11/14	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security Brokers, Dealers & F	Rosenstock Richard J	FL	D	P	19	3.73	2	5	0	2,983	I	206	22	36	6	-8	13	13	11	-2	10	3	3	-4	-27
5/22/14 07:17	5/21/14	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security Brokers, Dealers & F	Rosenstock Richard J	FL	D	P	13	2.68	1	5	0	2,978	I	83	66	5	4	-3	1	-6	0	3	11	11	33	33	23
5/12/14 07:11	5/9/14	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security Brokers, Dealers & F	Rosenstock Richard J	FL	D	P	14	2.71	1	5	0	2,973	I	78	86	22	11	-9	-5	0	3	7	0	11	23	50	22
4/14/14 07:00	4/11/14	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security Brokers, Dealers & F	Rosenstock Richard J	FL	D	P	13	2.68	1	5	0	2,968	I	65	66	48	-15	-10	-17	-16	-7	1	9	10	38	61	43
3/17/14 06:38	3/14/14	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security Brokers, Dealers & F	Rosenstock Richard J	NY	D	P	15	2.99	1	5	0	2,963	I	49	101	78	-5	25	11	1	5	3	5	-12	-6	20	31
1/14/14 07:48	1/13/14	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security Brokers, Dealers & F	Rosenstock Richard J	NY	D	P	15	2.96	1	5	0	2,958	I	13	106	49	60	-2	-7	-2	-4	2	-2	-18	-10	27	34
8/16/13 08:41	8/15/13	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	33	1.67	1	20	1	2,953	I	29	21	23	7	-16	-18	-9	-2	6	14	5	60	51	128
5/29/13 18:36	5/24/13	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	50	25.00	0	2	0	2,933	I	38	15	34	29	9	17	8	1	-1	0	4	13	67	88
4/16/13 08:48	4/15/13	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	7	1.44	0	5	0	2,931	I	19	-12	16	2	12	-14	-10	-12	4	2	0	36	26	81
4/8/13 09:02	4/4/13	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	8	1.60	1	5	0	2,926	I	34	-11	21	11	21	1	-5	-7	3	0	-9	22	11	82
3/22/13 09:11	3/20/13	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P.m	17	1.69	0	10	0	2,921	I	64	-14	21	20	31	33	22	6	1	-2	-12	-4	4	87
11/15/12 09:03	11/14/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	6	1.15	0	5	0	2,911	I	-5	-40	-21	-9	-14	-7	-9	-9	3	4	10	10	32	135
11/13/12 09:05	11/9/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	6	1.29	0	5	0	2,906	I	-3	-23	-14	-6	-4	-2	-2	8	-3	-6	-6	2	18	98
10/11/12 08:55	10/10/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	13	1.25	0	10	0	2,901	I	10	-23	-27	-20	-11	-11	-5	-2	1	12	2	12	22	52
8/16/12 08:29	8/15/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	7	1.33	0	5	0	2,891	I	19	12	-32	-15	-18	-8	-4	0	4	1	4	-11	-6	39
5/25/12 08:08	5/24/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	8	1.52	0	5	0	2,886	D	11	26	-34	-26	-7	-1	0	-1	0	-5	1	-8	-17	7
5/16/12 09:08	5/15/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	7	1.47	0	5	0	2,881	D	7	28	-24	-27	-15	-12	-1	-2	6	-5	1	-13	-21	4
4/17/12 09:14	4/13/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	7	1.64	1	4	0	2,876	I	17	41	-2	-31	-12	-9	-1	5	-1	-8	-13	-6	-28	-16
4/10/12 09:08	4/9/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	9	1.72	1	5	0	2,872	I	31	39	9	-35	-17	-15	-10	-5	-5	3	-5	-3	-24	-4
3/26/12 09:16	3/23/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	9	1.86	1	5	0	2,867	I	90	68	26	-30	-8	-3	-5	-1	0	-6	-14	-19	-26	-14
1/6/12 07:47	1/4/12	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	M.d	220	0.8800	1	250	9	2,886	I	297	108	74	70	12	1	-4	2	2	-1	-14	-32	-36	-43
11/14/11 08:52	11/10/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	9	1.70	1	5	0	2,727	D	210	59	68	52	38	15	10	13	1	18	27	4	-24	-40
10/7/11 08:50	10/6/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	7	1.49	1	5	0	2,722	D	125	34	28	-3	1	-16	-3	9	-2	15	10	69	9	-17
9/8/11 09:06	9/7/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	8	1.60	1	5	0	2,712	D	123	87	74	38	31	38	8	15	-4	9	-11	47	16	-19
8/26/11 07:40	8/25/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	8	1.60	1	5	0	2,707	D	101	59	51	20	9	26	25	8	6	-1	4	43	34	-9
8/19/11 07:47	8/18/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	34	1.34	1	25	1	2,702	D	125	29	23	8	-15	-3	3	4	6	14	30	61	42	5
5/31/11 09:02	5/27/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	6	1.27	0	5	0	2,677	D	68	-12	1	23	6	5	4	8	7	-5	12	24	64	14
5/17/11 09:06	5/16/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	6	1.17	0	5	0	2,672	D	78	-17	-6	15	-2	-6	3	-3	3	3	7	10	68	28
4/4/11 08:19	4/1/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	6	1.17	0	5	0	2,667	I	83	19	9	0	14	17	5	2	1	5	-5	19	32	51
3/16/11 17:52	3/15/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	10	1.03	0	10	0	2,662	I	86	6	9	-19	-4	10	6	11	2	2	13	22	61	90
1/10/11 09:06	1/7/11	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	6	1.20	0	5	0	2,652	I	27	89	1	6	-7	-10	0	1	7	8	-8	3	37	118
11/19/10 07:13	11/18/10	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	6	1.27	0	5	0	2,647	I	26	95	-2	26	13	9	3	8	2	1	2	-19	-6	76
10/12/10 07:48	10/7/10	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	3	1.13	0	3	0	2,642	I	15	61	-13	-14	31	12	11	4	0	12	9	12	8	40
10/4/10 07:41	10/1/10	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	50	1.00	0	50	2	2,640	D	-42	53	9	-11	6	-1	6	-2	3	5	1	9	9	45
4/5/10 10:46	4/1/10	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	4	0.8995	0	5	0	2,590	I	-52	75	33	50	-7	-9	-1	-4	2	32	65	25	6	20
3/25/10 09:00	3/24/10	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	5	0.9700	0	5	0	2,585	I	-48	71	38	57	6	-12	-1	-5	1	-5	35	46	2	12
12/10/09 07:55	12/9/09	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	28	0.5500	0	50	2	2,580	I	-69	-41	-16	-20	-9	-6	-3	0	7	3	2	72	121	110
11/16/09 07:15	11/13/09	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	3	0.6396	0	5	0	2,530	I	-67	-45	-10	12	2	-4	-4	0	5	-3	-5	57	105	82
10/13/09 08:55	10/9/09	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	3	0.6953	0	5	0	2,525	I	-64	-28	-4	48	0	3	6	9	9	7	-12	-16	99	53
9/3/09 08:53	9/2/09	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	3	0.6700	0	5	0	2,520	I	-67	-66	70	-15	39	10	-3	-7	0	12	0	-9	68	40
7/1/09 15:40	6/29/09	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P.m	3	0.5302	0	5	0	2,515	I	-77	-64	-25	2	-23	-22	-25	-16	2	-6	15	39	13	131
6/11/09 06:50	6/10/09	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	4	0.7100	0	5	0	2,510	I	-70	-64	-36	44	-20	1	-17	-9	6	3	-29	7	-13	94
5/28/09 10:12	5/28/09	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	4	0.7500	0	5	0	2,505	I	-68	-64	-30	15	-15	-9	6	10	4	14	-7	3	-12	94
3/19/09 07:39	3/18/09	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	6	0.6000	0	10	0	2,500	I	-79	-70	-69	-34	-15	11	45	15	-3	-3	44	16	26	64
4/2/08 07:38	4/1/08	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	S	-2,700	1.80	1	-1,500	-38	2,490	I	46	-28	-3	-12	-4	-7	1	-1	4	1	2	-21	-6	-72
12/14/07 09:17	12/13/07	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	10	1.91	0	5	0	3,976	D	349	64	-29	3	2	-1	7	-1	0	6	8	-3	-2	-46
11/28/07 09:14	11/26/07	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P.m	9	1.88	1	5	0	3,971	D	272	53	-18	-2	-4	2	1	3	4	-8	13	-5	1	-49
11/15/07 17:01	11/13/07	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P.m	37	1.87	1	20	1	3,966	D	263	39	-27	-13	-4	-1	3	8	4	-2	-1	2	-1	-39
8/15/07 07:50	8/13/07	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	43	2.15	1	20	1	3,936	D	265	161	-11	-17	-7	19	28	-5	5	7	-15	-16	-2	4
1/10/07 16:11	1/8/07	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	12	1.20	0	10	0	3,916	I	189	166	41	37	3	19	7	11	17	26	87	95	65	47
1/5/07 08:51	1/3/07	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	18	1.22	0	15	0	3,906	I	126	150	13	18	2	2	-1	-2	0	35	53	132	109	63
1/3/07 16:52	12/29/06	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	25	1.26	0	20	1	3,891	I	122	171	22	16	-7	5	9	0	0	10	52	131	95	71
4/28/06 08:57	4/27/06	LTS	Ladenburg Thalmann Financial Services Inc	FL	Financ	FinTrd	Security & Commodity Brokers,	Rosenstock Richard J	NY	D	P	45	0.4500	0	100	3	3,871	H									4	24	18	-27	12	142

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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