0001209191-12-019819.txt : 20120326 0001209191-12-019819.hdr.sgml : 20120326 20120326091605 ACCESSION NUMBER: 0001209191-12-019819 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120323 FILED AS OF DATE: 20120326 DATE AS OF CHANGE: 20120326 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENSTOCK RICHARD J CENTRAL INDEX KEY: 0001044006 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 12713485 MAIL ADDRESS: STREET 1: C/O GAINES BERLAND INC STREET 2: 1055 STEWART AVENUE CITY: BETHPAGE STATE: NY ZIP: 11714 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 X0305 4 2012-03-23 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001044006 ROSENSTOCK RICHARD J C/O LADENBURG THALMANN & CO. INC., 520 MADISON AVE, 9TH FLOOR NEW YORK NY 10022 1 0 0 0 Common Stock 2012-03-23 4 P 0 5000 1.86 A 2701586 I Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 Common Stock 105000 D Common Stock 50000 I Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock Common Stock 5000 I Held by the NFS/FMTC IRA for the benefit of Richard J. Rosenstock Common Stock 5000 I Held by the NFS/FMTC IRA for the benefit of Roni L. Rosenstock Subsequent to the Reporting Person's last Form 4 filing, it was determined that the total number of shares beneficially owned by the Reporting Person as reported on the Reporting Person's prior Forms 4 mistakenly included additional shares not actually owned. Accordingly, the number of shares reported as being beneficially owned by the Reporting Person in this Form 4 corrects such mistake and reflects the actual number of shares held by the Reporting Person. Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust. /s/ Richard J. Rosenstock 2012-03-26