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) April 5, 2002 --------------------------- LADENBURG THALMANN FINANCIAL SERVICES INC. ------------------------------------------- (Exact Name of Registrant as Specified in Charter) Florida 1-15799 65-0701248 - ------------------------------- ------------------ ------------------ (State or Other Jurisdiction (Commission File (IRS Employer of Incorporation) Number) Identification No.) 590 Madison Avenue, 34th Floor, New York, New York 10022 - -------------------------------------------------- ----- (Address of Principal Executive Offices) (Zip Code) Registrant's telephone number, including area code (212) 409-2000 -------------- Not Applicable ----------------------------------------------------------- (Former Name or Former Address, if Changed Since Last Report) Item 5. Other Events Ladenburg Thalmann Financial Services Inc. ("Company") today announced it has signed a letter of intent with Gruntal Financial, L.L.C. ("Gruntal") pursuant to which the Company will acquire Gruntal and its broker-dealer affiliates, Gruntal & Co., L.L.C. and The GMS Group, L.C.C. The letter of intent and the press release announcing the signing of the letter of intent are attached to this Report as Exhibits 99.1 and 99.2, respectively. Item 7. Financial Statement and Exhibits (c) Exhibits: 99.1 Letter of Intent 99.2 Press release dated April 5, 2002 SIGNATURE 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. Date: April 8, 2002 LADENBURG THALMANN FINANCIAL SERVICES INC. By: /s/ J. Bryant Kirkland III ------------------------------------ Name: J. Bryant Kirkland III Title: Chief Financial Officer