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