0001209191-12-006960.txt : 20120202 0001209191-12-006960.hdr.sgml : 20120202 20120202161108 ACCESSION NUMBER: 0001209191-12-006960 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120131 FILED AS OF DATE: 20120202 DATE AS OF CHANGE: 20120202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Malamed Adam Scott CENTRAL INDEX KEY: 0001537445 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 12566076 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH 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 & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] 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 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2012-01-31 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001537445 Malamed Adam Scott 4400 BISCAYNE BLVD., 12TH FLOOR MIAMI FL 33137 0 1 0 0 Chief Operating Officer Stock Option (Right to Buy) 2.80 2012-01-31 4 A 0 200000 0.00 A 2022-01-30 Common Stock 200000 200000 D The option will vest in four equal annual installments commencing on the first anniversary of the date of grant provided that Mr. Malamed is then still an employee of the Company, subject to earlier vesting upon his death or disability or a change of control of the Company. /s/ Adam Malamed 2012-02-01