0001209191-17-004233.txt : 20170118 0001209191-17-004233.hdr.sgml : 20170118 20170118172823 ACCESSION NUMBER: 0001209191-17-004233 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170113 FILED AS OF DATE: 20170118 DATE AS OF CHANGE: 20170118 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: 305-572-4100 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 FORMER COMPANY: FORMER CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC DATE OF NAME CHANGE: 20010514 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: Kaufman Brett CENTRAL INDEX KEY: 0001431385 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 17534226 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD., 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-13 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC. LTS 0001431385 Kaufman Brett 4400 BISCAYNE BLVD. 12TH FLOOR MIAMI FL 33137 0 1 0 0 Senior Vice President and CFO Common Stock 2017-01-13 4 A 0 40000 0.00 A 145000 D Common Stock 2017-01-14 4 F 0 3565 2.39 D 141435 D 8.00% Series A Cumulative Redeemable Preferred Stock 200 D Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in four equal annual installments commencing on the first anniversary of the date of grant provided Mr. Kaufman is then still an employee of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. 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/ Brett Kaufman 2017-01-18