X0306 4 2018-04-06 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 2018-04-06 4 P 0 5000 3.10 A 68333 I By wife Common Stock 2305059 D 8.00% Series A Cumulative Redeemable Preferred Stock 4200 I By wife 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. /s/ Richard J. Lampen 2018-04-09