Current Report Filing (8-k)
August 08 2019 - 5:27PM
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): August 8, 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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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
[ ]
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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))
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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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|
|
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Common
Stock, par value $.0001 per share
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LTS
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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
|
|
LTSL
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NYSE
American
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7%
Senior Notes due 2028
|
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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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7.75%
Senior Notes due 2029
|
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LTSH
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NYSE
American
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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
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[ ]
|
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
August 8, 2019, Ladenburg Thalmann Financial Services Inc. (the “Company”) issued a press release announcing financial
results for the three and six months ended June 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.
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:
August 8, 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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