0001209191-13-029416.txt : 20130529
0001209191-13-029416.hdr.sgml : 20130529
20130529182357
ACCESSION NUMBER: 0001209191-13-029416
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130524
FILED AS OF DATE: 20130529
DATE AS OF CHANGE: 20130529
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GENSON BRIAN S
CENTRAL INDEX KEY: 0001208655
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15799
FILM NUMBER: 13879476
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
X0306
4
2013-05-24
0
0001029730
LADENBURG THALMANN FINANCIAL SERVICES INC
LTS
0001208655
GENSON BRIAN S
6000 ISLAND BLVD.
AVENTURA
FL
33160
1
0
0
0
8.00% Series A Cumulative Redeemable Preferred Stock
2013-05-24
4
P
0
2000
25.00
A
2000
I
By Genson Capital LLC
Common Stock
10000
I
By Genson Capital LLC
Common Stock
30000
D
The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013.
The reporting person is the managing member of Genson Capital LLC.
/s/ Brian S. Genson
2013-05-28