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