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