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