Current Report Filing (8-k)

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 13, 2019

Ladenburg Thalmann Financial Services Inc.

(Exact name of registrant as specified in its charter)

Florida

001-15799

65-0701248

(State or other jurisdiction

of incorporation)

(Commission

File Number)

(IRS Employer

Identification No.)

4400 Biscayne Boulevard, 12 ^th Floor

Miami, Florida

33137

(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code: (305) 572-4100

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[ ]	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ]	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ]	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ]	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Common Stock, par value $.0001 per share	LTS	NYSE American
8.00% Series A Cumulative Redeemable Preferred Stock, Liquidation Preference $25.00 per share	LTS PrA	NYSE American
6.50% Senior Notes due 2027	LTSL	NYSE American
7% Senior Notes due 2028	LTSF	NYSE American
7.25% Senior Notes due 2028	LTSK	NYSE American
7.75% Senior Notes due 2029	LTSH	NYSE American

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company [ ]

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]

Item 5.07 Submission of Matters to a Vote of Security Holders.

Ladenburg Thalmann Financial Services Inc. (the “ Company ”), a Florida corporation, held its 2019 annual meeting of shareholders on June 13, 2019. Listed below are the matters voted upon and the final results of such voting:

1.	The Company’s shareholders elected the individuals named below to serve as the Company’s directors until the next annual meeting of shareholders or until their respective successors are elected and qualified:

Name	For		Authority Withheld		Broker Non-Votes
Henry C. Beinstein		89,928,887		2,978,359		32,024,181
Glenn C. Davis		89,690,465		3,216,781		32,024,181
Brian S. Genson		82,315,127		10,592,119		32,024,181
Dr. Richard M. Krasno		82,232,306		10,674,940		32,024,181
Richard J. Lampen		89,826,804		3,080,442		32,024,181
Michael S. Liebowitz		90,267,883		2,639,363		32,024,181
Howard M. Lorber		67,791,334		25,115,912		32,024,181
Adam Malamed		89,913,625		2,993,621		32,024,181
Jacqueline M. Simkin		89,320,318		3,586,928		32,024,181
Mark Zeitchick		89,857,948		3,049,298		32,024,181

2.	Approval, on a non-binding advisory basis, of the compensation of the Company’s named executive officers:

For				Against				Abstain				Broker Non-Votes
	88,129,891				4,659,359				117,996				32,024,181

3.	Ratification of the appointment of EisnerAmper LLP as the Company’s independent registered public accounting firm for 2019:

For

Against

Abstain

Broker Non-Votes

124,016,433

801,486

113,508

N/A

4.	Shareholder proposal regarding majority voting in uncontested director elections:

For				Against				Abstain				Broker Non-Votes
	30,772,335				60,419,282				1,715,629				32,024,181

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

June 14, 2019	LADENBURG THALMANN FINANCIAL SERVICES INC.

	By:	/s/ Brett H. Kaufman
	Name:	Brett H. Kaufman
	Title:	Senior Vice President and Chief Financial Officer