X0306 4 2016-12-22 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001093960 ZEITCHICK MARK 4400 BISCAYNE BOULEVARD 12TH FLOOR MIAMI FL 33137 1 1 0 0 Executive Vice President Common Stock 2016-12-22 5 G 0 E 25000 0.00 D 3046916 I Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member 8.00% Series A Cumulative Redeemable Preferred Stock 4000 I Held by MZ Trading LLC, of which Mr. Zeitchick is the sole managing member Transfer of shares as a charitable donation. 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/ Mark Zeitchick 2016-12-23