0001209191-17-042421.txt : 20170630 0001209191-17-042421.hdr.sgml : 20170630 20170630072943 ACCESSION NUMBER: 0001209191-17-042421 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170628 FILED AS OF DATE: 20170630 DATE AS OF CHANGE: 20170630 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PODELL JEFFREY CENTRAL INDEX KEY: 0000946425 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 17940337 MAIL ADDRESS: STREET 1: 7338 FLORANADA WAY CITY: DELRAY BEACH STATE: FL ZIP: 33446 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-06-28 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC. LTS 0000946425 PODELL JEFFREY 7338 FLORANADA WAY DELRAY BEACH FL 33446 1 0 0 0 Common Stock 2017-06-28 4 M 0 20000 2.30 A 132013 D Common Stock 2017-06-28 4 F 0 19658 2.34 D 112355 D 8.00% Series A Cumulative Redeemable Preferred Stock 2000 D Stock Option (Right to Buy) 2.30 2017-06-28 4 M 0 20000 0.00 D 2008-06-29 2017-06-28 Common Stock 20000 0 D 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/ Jeffrey Podell 2017-06-29