Simkin Jacqueline M 4

4 · LADENBURG THALMANN FINANCIAL SERVICES INC. · Filed Jun 14, 2019

Form 4

Period: 2019-06-13

Director

Transactions

Holdings

Footnotes (4)

[F1]Restricted shares of common stock issued pursuant to the issuer's Amended and Restated 2009 Incentive Compensation Plan. Restricted shares vest in two equal annual installments commencing on the first anniversary of the date of grant provided Ms. Simkin is then still a director of the issuer, subject to earlier vesting upon her death or disability or a change of control of the issuer.
[F2]The reporting person is the trustee of the above-listed trust.
[F3]The reporting person is a co-trustee of the above-listed trust and disclaims beneficial ownership except to the extent of her pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for Section 16 or any other purpose.
[F4]The 8.00% Series A Cumulative Redeemable Preferred Stock is convertible into common stock at a non-fixed conversion rate in connection with a change of control as described in the issuer's Current Report on Form 8-K, filed with the Securities and Exchange Commission on May 24, 2013.

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