Current Report Filing (8-k)
May 09 2019 - 5:06PM
Edgar (US Regulatory)
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): May 9, 2019
Ladenburg
Thalmann Financial Services Inc.
(Exact
name of registrant as specified in its charter)
Florida
|
|
001-15799
|
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650701248
|
(State
or other jurisdiction
of
incorporation)
|
|
(Commission
File
Number)
|
|
(IRS
Employer
Identification
No.)
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4400
Biscayne Boulevard, 12
th
Floor, Miami, Florida
|
|
33137
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(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)
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|
|
[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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|
[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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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. [ ]
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
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Trading
Symbol(s)
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|
Name
of each exchange on which registered
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Common
Stock, par value $.0001 per share
|
|
LTS
|
|
NYSE
American
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8.00%
Series A Cumulative Redeemable Preferred Stock, Liquidation Preference $25.00 per share
|
|
LTS
PrA
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NYSE
American
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6.50%
Senior Notes due 2027
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|
LTSL
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NYSE
American
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7%
Senior Notes due 2028
|
|
LTSF
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|
NYSE
American
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7.25%
Senior Notes due 2028
|
|
LTSK
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|
NYSE
American
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Item
7.01 Regulation FD Disclosure.
Ladenburg
Thalmann Financial Services Inc. has prepared an updated investor presentation as of May 9, 2019. A copy of this presentation
is furnished as Exhibit 99.1 to this Current Report on Form 8-K.
In
accordance with General Instruction B.2 of Form 8-K, the information in this Current Report on Form 8-K and Exhibit 99.1 attached
hereto are being furnished pursuant to Item 7.01 of Form 8-K and will not, except to the extent required by applicable law or
regulation, be deemed filed by Ladenburg Thalmann Financial Services Inc. for purposes of Section 18 of the Securities Exchange
Act of 1934, as amended, or otherwise subject to the liabilities of that Section, nor will any of such information or exhibits
be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Securities Exchange Act
of 1934, as amended, except as expressly set forth by specific reference in such filing.
Item
9.01 Financial Statements and Exhibits.
(d)
Exhibits.
99.1 Ladenburg Thalmann Financial Services Inc. Investor Presentation.
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.
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Ladenburg
Thalmann Financial Services Inc.
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|
|
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Date:
May 9, 2019
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By:
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/s/
Brett H. Kaufman
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Name:
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Brett
H. Kaufman
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Title:
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Senior
Vice President and Chief Financial Officer
|
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