0001209191-14-072112.txt : 20141202 0001209191-14-072112.hdr.sgml : 20141202 20141202090906 ACCESSION NUMBER: 0001209191-14-072112 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141201 FILED AS OF DATE: 20141202 DATE AS OF CHANGE: 20141202 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: 141259368 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD., 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-12-01 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 2014-12-01 4 P 0 2000 3.30 A 20000 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 2014-12-02