-----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, OkQYU5RlxxUKOW3MJKnGDEPWIZ+1xOAcclGYOaPTwZJrQi0hTezPzAjYR5RGGzNs 0aySzstRvwENP5gL1/HtLw== 0001209191-09-042440.txt : 20090828 0001209191-09-042440.hdr.sgml : 20090828 20090828162019 ACCESSION NUMBER: 0001209191-09-042440 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090827 FILED AS OF DATE: 20090828 DATE AS OF CHANGE: 20090828 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: 091043510 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 33137-3227 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 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-08-27 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0000898860 FROST PHILLIP MD ET AL 4400 BISCAYNE BOULEVARD MIAMI FL 33137 1 0 1 0 Stock Option (Right to Buy) 0.73 2009-08-27 4 A 0 20000 0.00 A 2010-08-27 2019-08-27 Common Stock 20000 20000 D Represents the closing price of the issuer's common stock on August 27, 2009, the date that the reporting person was re-elected as a director of the issuer. /s/ Phillip Frost, M.D. 2009-08-28 -----END PRIVACY-ENHANCED MESSAGE-----