0001209191-19-037245.txt : 20190614
0001209191-19-037245.hdr.sgml : 20190614
20190614174247
ACCESSION NUMBER: 0001209191-19-037245
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190613
FILED AS OF DATE: 20190614
DATE AS OF CHANGE: 20190614
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Simkin Jacqueline M
CENTRAL INDEX KEY: 0001446157
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15799
FILM NUMBER: 19899953
MAIL ADDRESS:
STREET 1: 801 BRICKELL AVENUE
STREET 2: SUITE 2350
CITY: MIAMI
STATE: FL
ZIP: 33131
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-06-13
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
2019-06-13
4
A
0
30000
0.00
A
75000
D
Common Stock
1829738
I
Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03
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
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 Ms. Simkin is then still a director of the issuer, subject to earlier vesting upon her death or disability or a change of control of the issuer.
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
2019-06-14