-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HlVr0ogwzZE0xUHGcYMf4bH74Sz9ixPIDJpLFYlpwRn5oGsrGda907XENkz4HLd7 Pdr2G0W43+n/zB7DoVIV6w== 0001209191-09-056314.txt : 20091210 0001209191-09-056314.hdr.sgml : 20091210 20091210080708 ACCESSION NUMBER: 0001209191-09-056314 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091209 FILED AS OF DATE: 20091210 DATE AS OF CHANGE: 20091210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LORBER HOWARD M CENTRAL INDEX KEY: 0001053471 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 091232225 MAIL ADDRESS: STREET 1: 70 SUNRISE HIGHWAY CITY: VALLEY STREAM STATE: NY ZIP: 11581 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001029730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 650701248 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 5164701000 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-12-09 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001053471 LORBER HOWARD M C/O NEW VALLEY LLC 100 SE SECOND ST MIAMI FL 33131 1 0 0 0 Common Stock 2009-12-09 4 P 0 200000 0.55 A 2919580 D Common Stock 301227 I By Lorber Epsilon 1999 Limited Partnership Common Stock 220800 I By Lorber Alpha II Limited Partnership Common Stock 67 I By Howard Lorber Rollover IRA Lorber Epsilon 1999 LLC, a Delaware limited liability company, is the general partner of Lorber Epsilon 1999 Limited Partnership. Lorber Alpha II Limited Partnership, a Nevada limited partnership, is the sole member of, and Mr. Lorber is the manager of, Lorber Epsilon 1999 LLC. Lorber Alpha II, Inc., a Nevada corporation, is the general partner of Lorber Alpha II Limited Partnership. Mr. Lorber is the director, officer and principal stockholder of Lorber Alpha II, Inc. /s/ Howard M. Lorber 2009-12-09 -----END PRIVACY-ENHANCED MESSAGE-----