0001209191-15-070376.txt : 20150911 0001209191-15-070376.hdr.sgml : 20150911 20150911175425 ACCESSION NUMBER: 0001209191-15-070376 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150909 FILED AS OF DATE: 20150911 DATE AS OF CHANGE: 20150911 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: Gilinski Saul CENTRAL INDEX KEY: 0001380207 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 151104090 MAIL ADDRESS: STREET 1: C.I. FARMACAPSULAS S.A. STREET 2: 1893 S.W. THIRD STREET CITY: POMPANO BEACH STATE: FL ZIP: 33069 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-09-09 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001380207 Gilinski Saul CAPSCANADA 1893 S.W. THIRD STREET POMPANO BEACH FL 33069 1 0 0 0 8.00% Series A Cumulative Redeemable Preferred Stock 2015-09-09 4 S 0 7008 23.6664 D 31400 D 8.00% Series A Cumulative Redeemable Preferred Stock 2015-09-10 4 S 0 3700 23.6456 D 27700 D 8.00% Series A Cumulative Redeemable Preferred Stock 2015-09-11 4 S 0 1700 23.8414 D 26000 D Common Stock 1503860 D The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.60 to $23.70, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. 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 Articles of Amendment to the Articles of Incorporation filed with the Securities and Exchange Commission as Exhibit 3.1 to the issuer's Form 8-K on June 25, 2013. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.55 to $23.95, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.80 to $23.85, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4. /s/ Saul Gilinski 2015-09-11