X0306 4 2019-04-17 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC. LTS 0001446157 Simkin Jacqueline M 4400 BISCAYNE BLVD., SUITE 514 MIAMI FL 33137 1 0 0 0 Common Stock 2019-04-17 5 G 0 E 8730 0.00 D 1829738 I Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03 Common Stock 45000 D Common Stock 158000 I Held by The Jacqueline Simkin Charitable Remainder Unitrust dtd 09/06/2002 8.00% Series A Cumulative Redeemable Preferred Stock 8000 I Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03 Transfer of shares as a charitable donation. Includes the transfer of 15,000 shares previously held directly by the reporting person 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 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. 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/ Jacqueline M. Simkin 2019-04-19