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): | November 10, 2011 |
Ladenburg Thalmann Financial Services Inc.
__________________________________________
(Exact name of registrant as specified in its charter)
| Florida | 001-15799 | 650701248 |
|
_____________________ (State or other jurisdiction |
_____________ (Commission |
______________ (I.R.S. Employer |
| of incorporation) | File Number) | Identification No.) |
| 4400 Biscayne Blvd., 12th Floor, Miami, Florida | 33137 | |
|
_________________________________ (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
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))
Item 5.07 Submission of Matters to a Vote of Security Holders.
Ladenburg Thalmann Financial Services Inc. held its 2011 annual meeting of shareholders on November 10, 2011. Listed below are the matters voted upon and the final results of such voting:
1. Our shareholders elected each of the individuals nominated for election for a one-year term and until their successors are elected and qualified as follows:
| Name | For | Authority Withheld | Broker Non-Votes | |||||||||
Henry C. Beinstein |
111,996,851 | 8,036,476 | 34,415,111 | |||||||||
Dr. Phillip Frost |
104,477,202 | 15,556,125 | 34,415,111 | |||||||||
Brian S. Genson |
112,006,081 | 8,027,246 | 34,415,111 | |||||||||
Saul Gilinski |
112,151,078 | 7,882,249 | 34,415,111 | |||||||||
Dr. Richard M. Krasno |
112,014,428 | 8,018,899 | 34,415,111 | |||||||||
Richard J. Lampen |
112,101,628 | 7,931,699 | 34,415,111 | |||||||||
Howard M. Lorber |
104,520,877 | 15,512,450 | 34,415,111 | |||||||||
Jeffrey S. Podell |
112,158,739 | 7,874,588 | 34,415,111 | |||||||||
Richard J. Rosenstock |
112,153,459 | 7,879,868 | 34,415,111 | |||||||||
Jacqueline M. Simkin |
112,505,897 | 7,527,430 | 34,415,111 | |||||||||
Mark Zeitchick |
112,138,744 | 7,894,583 | 34,415,111 | |||||||||
2. Our shareholders approved the advisory vote on executive compensation, which we refer to as the “say on pay” vote, as follows:
| For | Against | Abstain | Broker Non-Votes | |||||||||
111,051,865
|
7,289,472 | 1,688,869 | 34,418,232 | |||||||||
3. Our shareholders selected one year as the frequency of future advisory votes on “say on pay.” The vote on such proposal was as follows:
| One Year | Two Years | Three Years | Abstain | Broker Non-Votes | ||||||||||||
111,045,355
|
799,440 | 6,248,666 | 1,926,000 | 34,428,977 | ||||||||||||
4. Our shareholders ratified the selection of EisnerAmper LLP as our independent registered public accounting firm for 2011 as follows:
| For | Against | Abstain | Broker Non-Votes | |||||||
147,540,519
|
256,118 | 6,651,801 | N/A | |||||||
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.
| Ladenburg Thalmann Financial Services Inc. | ||||
| November 15, 2011 | By: |
/s/ Brett H. Kaufman
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| Name: Brett H. Kaufman | ||||
| Title: Senior Vice President and Chief Financial Officer | ||||