0001209191-16-110466.txt : 20160324 0001209191-16-110466.hdr.sgml : 20160324 20160324172842 ACCESSION NUMBER: 0001209191-16-110466 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160323 FILED AS OF DATE: 20160324 DATE AS OF CHANGE: 20160324 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: 212-409-2000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD. STREET 2: 12TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 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: BEINSTEIN HENRY C CENTRAL INDEX KEY: 0001182482 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 161528143 MAIL ADDRESS: STREET 1: 8 DOGWOOD LANE CITY: LARCHMONT STATE: NY ZIP: 10538-3418 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-03-23 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0001182482 BEINSTEIN HENRY C C/O GAGNON SECURITIES 1370 AVENUE OF THE AMERICAS NEW YORK NY 10019 1 0 0 0 Common Stock 2016-03-23 4 M 0 20000 1.39 A 102143 D Common Stock 1532 I Held by Spouse's IRA Stock Option (Right to Buy) 1.39 2016-03-23 4 M 0 20000 0.00 D 2007-11-06 2016-11-05 Common Stock 20000 0 D Includes 22,143 shares of common stock that were erroneously omitted from prior reports. /s/ Henry C. Beinstein 2016-03-24