0001209191-17-046020.txt : 20170721 0001209191-17-046020.hdr.sgml : 20170721 20170721191838 ACCESSION NUMBER: 0001209191-17-046020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170720 FILED AS OF DATE: 20170721 DATE AS OF CHANGE: 20170721 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: 17977372 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD.; 10TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-07-20 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 2017-07-20 4 M 0 600000 2.30 A 2542471 D Common Stock 2017-07-20 4 F 0 572412 2.49 D 1970059 D Common Stock 63333 I By wife 8.00% Series A Cumulative Redeemable Preferred Stock 4200 I By wife Stock Option (Right to Buy) 2.30 2017-07-20 4 M 0 600000 0.00 D 2017-07-25 Common Stock 600000 0 D 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. The options were granted on July 26, 2007 and vested in four equal installments beginning on July 26, 2008. /s/ Richard J. Lampen 2017-07-21