0001209191-19-037230.txt : 20190614 0001209191-19-037230.hdr.sgml : 20190614 20190614173614 ACCESSION NUMBER: 0001209191-19-037230 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190613 FILED AS OF DATE: 20190614 DATE AS OF CHANGE: 20190614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KRASNO RICHARD M CENTRAL INDEX KEY: 0001215060 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 19899920 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 31337 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 2019-06-13 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC. LTS 0001215060 KRASNO RICHARD M C/O LADENBURG THALMANN FINANCIAL SERVICE 4400 BISCAYNE BOULEVARD MIAMI FL 33137 1 0 0 0 Common Stock 2019-06-13 4 A 0 30000 0.00 A 135000 D Common Stock 298089 I Held by The Richard M. Krasno Living Trust dated 10/6/2009 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 Dr. Krasno 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. Dr. Richard M. Krasno is the sole trustee and beneficiary of The Richard M. Krasno Living Trust dated 10/6/2009. /s/ Dr. Richard M. Krasno 2019-06-14