0001209191-13-020614.txt : 20130408 0001209191-13-020614.hdr.sgml : 20130408 20130408090127 ACCESSION NUMBER: 0001209191-13-020614 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130405 FILED AS OF DATE: 20130408 DATE AS OF CHANGE: 20130408 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAMPEN RICHARD CENTRAL INDEX KEY: 0001047092 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 13747433 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 2013-04-05 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001047092 LAMPEN RICHARD 4400 BISCAYNE BOULEVARD 12TH FLOOR MIAMI FL 33137 1 1 0 0 President and CEO Common Stock 2013-04-05 4 P 0 500 1.57 A 817417 D Common Stock 2013-04-05 4 P 0 4351 1.60 A 821768 D Common Stock 2013-04-05 4 P 0 149 1.63 A 821917 D /s/ Richard J. Lampen 2013-04-05