0001209191-12-053136.txt : 20121115 0001209191-12-053136.hdr.sgml : 20121115 20121115090314 ACCESSION NUMBER: 0001209191-12-053136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121114 FILED AS OF DATE: 20121115 DATE AS OF CHANGE: 20121115 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: 121207102 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 X0306 4 2012-11-14 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 2012-11-14 4 P 0 5000 1.15 A 84000 I Held by the NFS/FMTC Rollover IRA for the benefit of Richard J. Rosenstock Common Stock 115000 D Common Stock 2701586 I Held by The Richard J. Rosenstock Revocable Living Trust Dated 3/5/96 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 Mr. Rosenstock is the sole trustee and beneficiary of The Richard J. Rosenstock Revocable Living Trust. /s/ Richard J. Rosenstock 2012-11-14