0001144204-14-051901.txt : 20140821 0001144204-14-051901.hdr.sgml : 20140821 20140821161541 ACCESSION NUMBER: 0001144204-14-051901 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20140821 DATE AS OF CHANGE: 20140821 EFFECTIVENESS DATE: 20140821 FILER: 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 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-223421 FILM NUMBER: 141057739 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 D 1 primary_doc.xml X0707 D LIVE 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC 4400 BISCAYNE BLVD. 12TH FLOOR MIAMI FL FLORIDA 33137 305-572-4100 FLORIDA None GBI CAPITAL MANAGEMENT CORP FROST HANNA CAPITAL GROUP INC Corporation true Richard J. Lampen 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Executive Officer Director Mark Zeitchick 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Executive Officer Director Brett Kaufman 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Executive Officer Henry C. Beinstein 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Phillip Frost 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Brian S. Genson 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Saul Gilinski 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Richard M. Krasno 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Howard M. Lorber 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Jeffrey S. Podell 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Richard J. Rosenstock 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Jacqueline M. Simkin 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Dmitry Kolosov 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Director Adam Malamed 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Executive Officer Joseph Giovanniello, Jr. 4400 Biscayne Blvd. 12th Floor Miami FL FLORIDA 33137 Executive Officer Other Banking and Financial Services Over $100,000,000 06b false 2014-08-08 false true true true Shares of common stock and promissory notes will be issued as part of the consideration for the acquisition of KMS Financial Services, Inc. by the Issuer. 0 13000000 13000000 0 $8,000,000 principal amount of promissory notes and 1,440,922 shares of common stock valued at the average closing price of the common stock on NYSE MKT for the 20 consecutive trading days ending two days before the date of the stock purchase agreement. true 3 7 0 0 0 false LADENBURG THALMANN FINANCIAL SERVICES INC /s/ Brett Kaufman Brett Kaufman Senior Vice President and Chief Financial Officer 2014-08-21