0001209191-18-034730.txt : 20180601 0001209191-18-034730.hdr.sgml : 20180601 20180601165133 ACCESSION NUMBER: 0001209191-18-034730 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: LORBER HOWARD M CENTRAL INDEX KEY: 0001053471 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 18875735 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD STREET 2: 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 2018-05-30 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC. LTS 0001053471 LORBER HOWARD M C/O VECTOR GROUP LTD. 4400 BISCAYNE BLVD., 10TH FL MIAMI FL 33137 1 0 0 0 Common Stock 2018-05-30 4 A 0 30000 0.00 A 2722887 D Common Stock 522027 I Lorber Alpha II Limited Partnership Common Stock 67 I By Howard Lorber Rollover IRA 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. Lorber 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. Lorber Alpha II LLC, a Delaware limited liability company, is the general partner of Lorber Alpha II Limited Partnership, a Nevada limited partnership. The reporting person serves as the Managing Member of Lorber Alpha II LLC and has voting and dispositive power with respect to such shares. /s/ Howard M. Lorber 2018-06-01