0001209191-14-074804.txt : 20141212 0001209191-14-074804.hdr.sgml : 20141212 20141212090113 ACCESSION NUMBER: 0001209191-14-074804 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141211 FILED AS OF DATE: 20141212 DATE AS OF CHANGE: 20141212 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: ROSENSTOCK RICHARD J CENTRAL INDEX KEY: 0001044006 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 141282337 MAIL ADDRESS: STREET 1: C/O GAINES BERLAND INC STREET 2: 1055 STEWART AVENUE CITY: BETHPAGE STATE: NY ZIP: 11714 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-12-11 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001044006 ROSENSTOCK RICHARD J C/O LADENBURG THALMANN & CO. INC., 4400 BISCAYNE BLVD., 12TH FLOOR MIAMI FL 33137 1 0 0 0 Common Stock 2014-12-11 4 P 0 5000 3.7262 A 154000 I Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock Common Stock 115000 D Common Stock 2701586 I Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 Common Stock 5000 I Held by the NFS/FMTC IRA for the benefit of Richard J. Rosenstock Common Stock 5000 I Held by the NFS/FMTC IRA for the benefit of Roni L. Rosenstock 8.00% Series A Cumulative Redeemable Preferred Stock 2000 I Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.72 to $3.75, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (1) to this Form 4. Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust. 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/ Richard J. Rosenstock 2014-12-12