0001209191-13-005261.txt : 20130130 0001209191-13-005261.hdr.sgml : 20130130 20130130174423 ACCESSION NUMBER: 0001209191-13-005261 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130128 FILED AS OF DATE: 20130130 DATE AS OF CHANGE: 20130130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LORBER HOWARD M CENTRAL INDEX KEY: 0001053471 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 13560082 MAIL ADDRESS: STREET 1: 70 SUNRISE HIGHWAY CITY: VALLEY STREAM STATE: NY ZIP: 11581 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 2013-01-28 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001053471 LORBER HOWARD M C/O NEW VALLEY LLC 100 SE SECOND ST MIAMI FL 33131 1 0 0 0 Stock Option (Right to Buy) 1.40 2013-01-28 4 A 0 300000 0.00 A 2023-01-28 Common Stock 300000 300000 D The option will vest in four equal annual installments commencing on the first anniversary of the date of grant provided that Mr. Lorber is then still a director of the Company, subject to earlier vesting upon his death or disability or a change of control of the Company. /s/ Howard M. Lorber 2013-01-30