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 15, 2013 |
Ladenburg Thalmann Financial Services Inc.
__________________________________________
(Exact name of registrant as specified in its charter)
| Florida | 001-15799 | 650701248 |
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_____________________ (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 8.01 Other Events.
On August 15, 2013, Ladenburg Thalmann Financial Services Inc. ("LTFS") purchased 3,000,000 shares of its common stock at a price of $1.67 per share in a privately-negotiated transaction. This purchase was not made pursuant to LTFS' previously announced stock repurchase program, which remains in effect and permits LTFS to repurchase up to 3,972,104 shares of its common stock as of August 15, 2013. In addition, the following executive officers and directors, or their affiliates, purchased an aggregate of 697,000 shares of common stock at a price of $1.67 in the same transaction: Phillip Frost, M.D. (500,000 shares), Jacqueline Simkin (87,000 shares), Richard Lampen (50,000 shares), Richard Rosenstock (20,000 shares), Adam Malamed (20,000 shares) and Mark Zeitchick (20,000 shares).
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. | ||||
| August 15, 2013 | By: |
/s/ Brett H. Kaufman
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| Name: Brett H. Kaufman | ||||
| Title: Senior Vice President and Chief Financial Officer | ||||