0001209191-14-027801.txt : 20140416
0001209191-14-027801.hdr.sgml : 20140416
20140416085010
ACCESSION NUMBER: 0001209191-14-027801
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140415
FILED AS OF DATE: 20140416
DATE AS OF CHANGE: 20140416
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC
CENTRAL INDEX KEY: 0001029730
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
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
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: 14766659
MAIL ADDRESS:
STREET 1: 4400 BISCAYNE BLVD.; 10TH FLOOR
CITY: MIAMI
STATE: FL
ZIP: 33137
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-04-15
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
2014-04-15
4
P
0
5000
2.59
A
841917
D
Common Stock
50000
I
By wife
8.00% Series A Cumulative Redeemable Preferred Stock
4000
I
By wife
The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013.
/s/ Richard J. Lampen
2014-04-15