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Filing Details

Accession Number:: 0001209191-14-054136
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-08-25 11:02:37
Reporting Period:: 2014-08-21

Filing Date:: 2014-08-25
Accepted Time:: 2014-08-25 11:02:37
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1029730	Ladenburg Thalmann Financial Services Inc	LTS	Security Brokers, Dealers & Flotation Companies (6211)	650701248

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1446157	M Jacqueline Simkin	801 Brickell Ave, Suite 2350 Miami FL 33131		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-08-21	5,000	$3.57	1,265,443	No	4	P	Indirect	Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	414,000	Indirect	Held by The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11
Common Stock	211,000	Indirect	Held by The Jacqueline Simkin Charitable Remainder Unitrust dtd 09/06/2002
8.00% Series A Cumulative Redeemable Preferred Stock	8,000	Indirect	Held by The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03

Footnotes

The price reported represents the weighted average price per share. These securities were purchased in multiple open market transactions at prices ranging from $3.46 to $3.58. The Reporting Person undertakes to provide the staff of the SEC, the issuer, or a shareholder of the issuer, upon request, the number of shares purchased at each separate price within the range listed above.
Includes the transfer of 107,318 shares from The LTS #2 Grantor Retained Annuity Trust dtd 11/18/11 to The Jacqueline Simkin Revocable Trust as Amended & Restated 12/16/03.
The reporting person is the trustee of the above-listed trust.
The reporting person is a 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 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.