Current Report Filing (8-k)

Date : 11/08/2019 @ 9:54PM
Source : Edgar (US Regulatory)
Stock : Ladenburg Thalmann Financial Services Inc (LTS)
Quote : 3.49  0.01 (0.29%) @ 4:00PM

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): November 8, 2019

Ladenburg Thalmann Financial Services Inc.
(Exact name of registrant as specified in its charter)
 
Florida
 
001-15799
 
650701248
(State or other jurisdiction
 of incorporation)
 
(Commission File
 Number)
 
(IRS Employer
 Identification No.)

4400 Biscayne Boulevard, 12th Floor, Miami, Florida
 
33137
(Address of principal executive offices)
 
(Zip Code)

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

Not Applicable
(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 2.02.   Results of Operations and Financial Condition.

On November 8, 2019, Ladenburg Thalmann Financial Services Inc. (the "Company") issued a press release announcing financial results for the three and nine months ended September 30, 2019. A copy of the press release is attached hereto as Exhibit 99.1.

The information included in this Item 2.02 and in Exhibit 99.1 shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934 ("Exchange Act") or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, except as expressly set forth by specific reference in such a filing.

Item 9.01.   Financial Statements and Exhibits.

(d) Exhibits.
Exhibit No.
Description
99.1
 







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.

 
Ladenburg Thalmann Financial Services Inc.
 
 
 
Date: November 8, 2019
By:  
/s/ Brett H. Kaufman    
 
 
Name:  
Brett H. Kaufman
 
 
Title:  
Senior Vice President and Chief Financial Officer














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