0001209191-17-035903.txt : 20170526
0001209191-17-035903.hdr.sgml : 20170526
20170526170005
ACCESSION NUMBER: 0001209191-17-035903
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170524
FILED AS OF DATE: 20170526
DATE AS OF CHANGE: 20170526
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: BEINSTEIN HENRY C
CENTRAL INDEX KEY: 0001182482
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15799
FILM NUMBER: 17874716
MAIL ADDRESS:
STREET 1: 8 DOGWOOD LANE
CITY: LARCHMONT
STATE: NY
ZIP: 10538-3418
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-05-24
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
2017-05-24
4
A
0
30000
0.00
A
132143
D
Common Stock
1532
I
Held by Spouse's IRA
Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Mr. Beinstein is then still a director of the issuer, subject to earlier vesting upon his death or disability or a change of control of the issuer.
/s/ Henry C. Beinstein
2017-05-26