-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QieeERJwzgmDOIkLBGGxQ4EuFAPRgE2zzWwt6v0NuF6yttq9xveLPQWM45rEMBjq M9YggRPbiyWgV6GFG4v2Yg== 0001209191-07-044360.txt : 20070727 0001209191-07-044360.hdr.sgml : 20070727 20070727170415 ACCESSION NUMBER: 0001209191-07-044360 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070726 FILED AS OF DATE: 20070727 DATE AS OF CHANGE: 20070727 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001029730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 650701248 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 5164701000 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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: ZEITCHICK MARK CENTRAL INDEX KEY: 0001093960 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 071007317 BUSINESS ADDRESS: BUSINESS PHONE: 5164701000 MAIL ADDRESS: STREET 1: GBI CAPITAL MANAGEMENT CORP STREET 2: 1055 STEWART AVE CITY: BETHPAGE STATE: NY ZIP: 11714 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2007-07-26 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001093960 ZEITCHICK MARK 4400 BISCAYNE BOULEVARD 12TH FLOOR MIAMI FL 33137 1 1 0 0 Executive Vice President Stock Option (Right to Buy) 2.30 2007-07-26 4 A 0 600000 2.30 A 2017-07-25 Common Stock 600000 600000 I Held by MZ Trading LLC, of which the reporting person is the sole managing member The option will vest in four equal annual installments commencing on the first anniversary of the date of grant provided that Mr. Zeitchick is then still an employee or director of the Company or any of its subsidiaries, subject to earlier vesting upon his death or disability or a change of control of the Company. /s/ Mark Zeitchick 2007-07-27 -----END PRIVACY-ENHANCED MESSAGE-----