Termination of Registration of a Class of Security Under Section 12(g) (15-12g)
March 05 2020 - 4:16PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
15
CERTIFICATION
AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO
FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934.
|
Commission
File Number 001-15799
|
Ladenburg
Thalmann Financial Services Inc.*
(Exact
name of registrant as specified in its charter)
4400
Biscayne Boulevard, 12th Floor
Miami,
Florida 33137
(305)
572-4100
(Address,
including zip code, and telephone number, including area code, of registrant’s principal executive offices)
8.00%
Series A Cumulative Redeemable Preferred Stock, Liquidation Preference $25.00 per share
6.50%
Senior Notes due 2027
7.00%
Senior Notes due 2028
7.25%
Senior Notes due 2028
7.75%
Senior Notes due 2029
(Title
of each class of securities covered by this Form)
None
(Titles
of all other classes of securities for which a duty to file reports under section 13(a) or 15(d) remains)
Please
place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file
reports:
|
Rule
12g-4(a)(1)
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[X]
|
|
Rule
12g-4(a)(2)
|
[ ]
|
|
Rule
12h-3(b)(1)(i)
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[X]
|
|
Rule
12h-3(b)(1)(ii)
|
[ ]
|
|
Rule
15d-6
|
[ ]
|
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Rule
15d-22(b)
|
[ ]
|
Approximate
number of holders of record as of the certification or notice date:
8.00%
Series A Cumulative Redeemable Preferred Stock, Liquidation Preference $25.00 per share: Less than 300
6.50%
Senior Notes due 2027: Less than 300
7.00%
Senior Notes due 2028: Less than 300
7.25%
Senior Notes due 2028: Less than 300
7.75%
Senior Notes due 2029: Less than 300
Explanatory
Note:
*Pursuant
to the Agreement and Plan of Merger (the “Merger Agreement”), dated as of November 11, 2019, by and among Ladenburg
Thalmann Financial Services Inc. (the “Company”), Advisor Group Holdings, Inc., a Delaware corporation (“Advisor
Group”), and Harvest Merger Sub, Inc., a Florida corporation and a wholly owned subsidiary of Advisor Group (“Merger
Sub”), on February 14, 2020 Merger Sub merged with and into the Company (the “Merger”), with the Company continuing
as the surviving corporation and a wholly owned subsidiary of Advisor Group in the Merger.
Pursuant
to the requirements of the Securities Exchange Act of 1934, Ladenburg Thalmann Financial Services Inc. has caused this certification/notice
to be signed on its behalf by the undersigned duly authorized person.
Date:
March 5, 2020
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By:
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/s/
Nina McKenna
|
|
Name:
|
Nina
McKenna
|
|
Title:
|
General
Counsel and Secretary
|
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