0001209191-14-034426.txt : 20140516
0001209191-14-034426.hdr.sgml : 20140516
20140516071806
ACCESSION NUMBER: 0001209191-14-034426
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140514
FILED AS OF DATE: 20140516
DATE AS OF CHANGE: 20140516
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC
CENTRAL INDEX KEY: 0001029730
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kaufman Brett
CENTRAL INDEX KEY: 0001431385
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15799
FILM NUMBER: 14849798
MAIL ADDRESS:
STREET 1: 4400 BISCAYNE BLVD., 12TH FLOOR
CITY: MIAMI
STATE: FL
ZIP: 33137
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-05-14
0
0001029730
LADENBURG THALMANN FINANCIAL SERVICES INC
LTS
0001431385
Kaufman Brett
4400 BISCAYNE BLVD.
12TH FLOOR
MIAMI
FL
33137
0
1
0
0
Senior Vice President and CFO
Common Stock
2014-05-14
4
P
0
3000
2.80
A
18000
D
8.00% Series A Cumulative Redeemable Preferred Stock
200
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.
/s/ Brett Kaufman
2014-05-15