0001209191-18-039773.txt : 20180628
0001209191-18-039773.hdr.sgml : 20180628
20180628080221
ACCESSION NUMBER: 0001209191-18-039773
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180627
FILED AS OF DATE: 20180628
DATE AS OF CHANGE: 20180628
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAMPEN RICHARD
CENTRAL INDEX KEY: 0001047092
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15799
FILM NUMBER: 18923231
MAIL ADDRESS:
STREET 1: 4400 BISCAYNE BLVD.; 10TH FLOOR
CITY: MIAMI
STATE: FL
ZIP: 33137
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: 305-572-4100
MAIL ADDRESS:
STREET 1: 4400 BISCAYNE BLVD.
STREET 2: 12TH FLOOR
CITY: MIAMI
STATE: FL
ZIP: 33137
FORMER COMPANY:
FORMER CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC
DATE OF NAME CHANGE: 20010514
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-06-27
0
0001029730
LADENBURG THALMANN FINANCIAL SERVICES INC.
LTS
0001047092
LAMPEN RICHARD
4400 BISCAYNE BOULEVARD
12TH FLOOR
MIAMI
FL
33137
1
1
0
0
President and CEO
Common Stock
2018-06-27
4
P
0
5000
3.5695
A
2320059
D
Common Stock
73333
I
By wife
8.00% Series A Cumulative Redeemable Preferred Stock
4200
I
By wife
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.56 to $3.58, 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.
The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
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. Lampen
2018-06-28