0001209191-15-072891.txt : 20151002
0001209191-15-072891.hdr.sgml : 20151002
20151002074156
ACCESSION NUMBER: 0001209191-15-072891
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151002
DATE AS OF CHANGE: 20151002
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: giovanniello joseph
CENTRAL INDEX KEY: 0001567315
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15799
FILM NUMBER: 151138459
MAIL ADDRESS:
STREET 1: 520 MADISON AVENUE, 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-09-30
0
0001029730
LADENBURG THALMANN FINANCIAL SERVICES INC
LTS
0001567315
giovanniello joseph
C/O LADENBURG THALMANN FINANCIAL SERVICE
4400 BISCAYNE BLVD.
MIAMI
FL
33137
0
1
0
0
Senior Vice President
Common Stock
2015-09-30
4
P
0
3554
2.0045
A
185395
D
8.00% Series A Cumulative Redeemable Preferred Stock
2000
D
Acquisition of stock under Issuer's employee stock purchase plan.
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/ Joseph Giovanniello Jr.
2015-10-02