Washington, D.C. 20549





Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): June 13, 2019


Ladenburg Thalmann Financial Services Inc.

(Exact name of registrant as specified in its charter)


Florida   001-15799   65-0701248

(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer

Identification No.)


4400 Biscayne Boulevard, 12th Floor

Miami, Florida

(Address of principal executive offices)   (Zip Code)


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




(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 5.07 Submission of Matters to a Vote of Security Holders.


Ladenburg Thalmann Financial Services Inc. (the “Company”), a Florida corporation, held its 2019 annual meeting of shareholders on June 13, 2019. Listed below are the matters voted upon and the final results of such voting:


1. The Company’s shareholders elected the individuals named below to serve as the Company’s directors until the next annual meeting of shareholders or until their respective successors are elected and qualified:


Name  For   Authority Withheld   Broker Non-Votes 
Henry C. Beinstein   89,928,887    2,978,359    32,024,181 
Glenn C. Davis   89,690,465    3,216,781    32,024,181 
Brian S. Genson   82,315,127    10,592,119    32,024,181 
Dr. Richard M. Krasno   82,232,306    10,674,940    32,024,181 
Richard J. Lampen   89,826,804    3,080,442    32,024,181 
Michael S. Liebowitz   90,267,883    2,639,363    32,024,181 
Howard M. Lorber   67,791,334    25,115,912    32,024,181 
Adam Malamed   89,913,625    2,993,621    32,024,181 
Jacqueline M. Simkin   89,320,318    3,586,928    32,024,181 
Mark Zeitchick   89,857,948    3,049,298    32,024,181 


2. Approval, on a non-binding advisory basis, of the compensation of the Company’s named executive officers:


For   Against   Abstain   Broker Non-Votes 
 88,129,891    4,659,359    117,996    32,024,181 


3. Ratification of the appointment of EisnerAmper LLP as the Company’s independent registered public accounting firm for 2019:


For   Against   Abstain   Broker Non-Votes 
 124,016,433    801,486    113,508    N/A 


4. Shareholder proposal regarding majority voting in uncontested director elections:


For   Against   Abstain   Broker Non-Votes 
 30,772,335    60,419,282    1,715,629    32,024,181 






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.


  By: /s/ Brett H. Kaufman
  Name: Brett H. Kaufman
  Title: Senior Vice President and Chief Financial Officer