X0306 4 2012-11-14 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001446157 Simkin Jacqueline M 801 BRICKELL AVE, SUITE 2350 MIAMI FL 33131 1 0 0 0 Common Stock 2012-11-14 4 P 0 5000 1.22 A 993322 I Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03 Common Stock 2012-11-13 4 P 0 5000 1.23 A 998322 I Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03 Common Stock 521318 I Held by The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11 Common Stock 211000 I Held by The Jacqueline Simkin Charitable Remainder Unitrust dtd 09/06/2002 Since the date of the reporting person's last report, 197,682 shares previously held through The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11 were transferred to The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03. The reporting person is the trustee of the above-listed trust. The reporting person is a trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. The reporting person is a co-trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose. /s/ Jacqueline M. Simkin 2012-11-14