0001209191-19-023910.txt : 20190408 0001209191-19-023910.hdr.sgml : 20190408 20190408074350 ACCESSION NUMBER: 0001209191-19-023910 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190405 FILED AS OF DATE: 20190408 DATE AS OF CHANGE: 20190408 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Liebowitz Michael CENTRAL INDEX KEY: 0001766109 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 19736402 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 12TH 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 2019-04-05 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC. LTS 0001766109 Liebowitz Michael 4400 BISCAYNE BOULEVARD SUITE 818 MIAMI FL 33137 1 0 0 0 Common Stock 2019-04-05 4 P 0 10000 2.92 A 183496 D The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.90 to $2.94, 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 purchased at each separate price within the range set forth in footnote (1) to this Form 4. /s/ Michael Liebowitz 2019-04-08