Form D · Other Banking and Financial Services
LADENBURG THALMANN FINANCIAL SERVICES INC
Miami, FL · CIK 0001029730
Offering snapshot reported Aug 21, 2014 · SEC filing
- Reported sold
- $13M Offering amount: $13M
- Investors reported
- 7 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Aug 8, 2014 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Aug 21, 2014 | Initial | $13,000,000 | No comparison | 7 | SEC filing |
| Aug 12, 2014 | Initial | $9,019,705 | No comparison | 19 | SEC filing |
| Nov 9, 2011 | Initial | $160,700,000 | No comparison | 13 | SEC filing |
| Jun 11, 2010 | Initial | $14,050,000 | No comparison | 20 | SEC filing |
| Aug 28, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| May 14, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 16, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity, Debt
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- Yes
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-223421
$8,000,000 principal amount of promissory notes and 1,440,922 shares of common stock valued at the average closing price of the common stock on NYSE MKT for the 20 consecutive trading days ending two days before the date of the stock purchase agreement.
Source: Form D, filed Aug 21, 2014. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Henry C. Beinstein | Director |
| Robert J. Eide | Director |
| Phillip Frost | Director |
| Brian S. Genson | Director |
| Saul Gilinski | Director |
| Joseph Giovanniello, Jr. | Executive |
| Brett Kaufman | Executive |
| Dmitry Kolosov | Director |
| Richard M. Krasno | Director |
| Richard J. Lampen | Director, Executive |
| Howard M. Lorber | Director |
| Adam Malamed | Executive |
| Jeffrey S. Podell | Director |
| Richard J. Rosenstock | Director |
| Jacqueline M. Simkin | Director |
| Mark Zeitchick | Director, Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
4400 Biscayne Blvd. 12 Th Floor
Miami, FL, 33137
Miami, FL, 33137