0001209191-18-034719.txt : 20180601 0001209191-18-034719.hdr.sgml : 20180601 20180601164815 ACCESSION NUMBER: 0001209191-18-034719 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180530 FILED AS OF DATE: 20180601 DATE AS OF CHANGE: 20180601 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GENSON BRIAN S CENTRAL INDEX KEY: 0001208655 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 18875700 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 2018-05-30 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC. LTS 0001208655 GENSON BRIAN S 6000 ISLAND BLVD. AVENTURA FL 33160 1 0 0 0 Common Stock 2018-05-30 4 A 0 30000 0.00 A 150000 D Common Stock 10000 I By Genson Capital LLC 8.00% Series A Cumulative Redeemable Preferred Stock 2000 I By Genson Capital LLC Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Mr. Genson is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer. The reporting person is the managing member of Genson Capital LLC. 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/ Brian S. Genson 2018-06-01