0001209191-14-057602.txt : 20140912 0001209191-14-057602.hdr.sgml : 20140912 20140912074044 ACCESSION NUMBER: 0001209191-14-057602 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140911 FILED AS OF DATE: 20140912 DATE AS OF CHANGE: 20140912 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: Frost Nevada Investments Trust CENTRAL INDEX KEY: 0001464124 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 141099519 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frost Gamma Investments Trust CENTRAL INDEX KEY: 0001380896 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 141099520 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 FORMER NAME: FORMER CONFORMED NAME: Frost Gamma Investment Trust DATE OF NAME CHANGE: 20061113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FROST PHILLIP MD ET AL CENTRAL INDEX KEY: 0000898860 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 141099521 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 33137-3227 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-09-11 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0000898860 FROST PHILLIP MD ET AL 4400 BISCAYNE BOULEVARD MIAMI FL 33137 1 0 1 0 0001380896 Frost Gamma Investments Trust 4400 BISCAYNE BOULEVARD MIAMI FL 33137 0 0 1 0 0001464124 Frost Nevada Investments Trust 4400 BISCAYNE BOULEVARD MIAMI FL 33137 0 0 1 0 8.00% Series A Cumulative Redeemable Preferred Stock 2014-09-11 4 P 0 10000 22.91 A 910000 I Frost Nevada Investments Trust Common Stock 12263699 I Frost Gamma Investments Trust Common Stock 43013431 I Frost Nevada Investments 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. These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee and Frost Gamma, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of two limited partners of Frost Gamma, L.P. The general partner of Frost Gamma, L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. The Reporting Person is also the sole shareholder of Frost-Nevada Corporation. /s/ Phillip Frost, M.D. 2014-09-12 /s/ Phillip Frost, M.D., Trustee 2014-09-12 /s/ Phillip Frost, M.D., Trustee 2014-09-12 EX-99 2 attachment1.htm EX-99 DOCUMENT

JOINT FILER INFORMATION

NAME: 				Frost Gamma Investments Trust
ADDRESS:			4400 Biscayne Blvd
				Miami, FL 33137

Designated Filer:		Phillip Frost, M.D.

Issuer and Ticker Symbol: 	Ladenburg Thalmann Financial Services Inc. (LTS)

Date of Event Requiring
Statement:			September 11, 2014

				FROST GAMMA INVESTMENTS TRUST

				By:/s/ Phillip Frost, M.D.
				Phillip Frost, M.D., Trustee



NAME: 				Frost Nevada Investments Trust
ADDRESS:			4400 Biscayne Blvd
				Miami, FL 33137

Designated Filer:		Phillip Frost, M.D.

Issuer and Ticker Symbol: 	Ladenburg Thalmann Financial Services Inc. (LTS)

Date of Event Requiring
Statement:			September 11, 2014

				FROST NEVADA INVESTMENTS TRUST

				By:/s/ Phillip Frost, M.D.
				Phillip Frost, M.D., Trustee