0001209191-12-000714.txt : 20120104 0001209191-12-000714.hdr.sgml : 20120104 20120104080027 ACCESSION NUMBER: 0001209191-12-000714 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120103 FILED AS OF DATE: 20120104 DATE AS OF CHANGE: 20120104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Malamed Adam Scott CENTRAL INDEX KEY: 0001537445 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 12503943 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001029730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 650701248 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 212-409-2000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 FORMER COMPANY: FORMER CONFORMED NAME: GBI CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19990826 FORMER COMPANY: FORMER CONFORMED NAME: FROST HANNA CAPITAL GROUP INC DATE OF NAME CHANGE: 19961227 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2012-01-03 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001537445 Malamed Adam Scott 4400 BISCAYNE BLVD., 12TH FLOOR MIAMI FL 33137 0 1 0 0 Chief Operating Officer Common Stock 2012-01-03 4 P 0 2050 2.45 A 130528 D Common Stock 2012-01-03 4 P 0 76 2.49 A 130604 D Common Stock 2012-01-03 4 P 0 1676 2.50 A 132280 D Common Stock 2012-01-03 4 P 0 900 2.53 A 133180 D Common Stock 2012-01-03 4 P 0 298 2.54 A 133478 D /s/ Adam S. Malamed 2012-01-03