Current Report Filing (8-k)
May 19 2015 - 5:29PM
Edgar (US Regulatory)
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
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Date of Report (Date of Earliest Event Reported):
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May 18, 2015
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Ladenburg Thalmann Financial Services Inc.
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(Exact name of registrant as specified in its charter)
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Florida
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001-15799
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650701248
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_____________________
(State or other jurisdiction
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(Commission
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(I.R.S. Employer
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of incorporation)
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File Number)
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Identification No.)
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4400 Biscayne Blvd., 12th Floor, Miami, Florida
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33137
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including area code:
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(305) 572-4100
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Not Applicable
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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., a Florida corporation (the “Company”) held its
2015 annual meeting of shareholders on May 18, 2015. 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:
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| Name |
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For |
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Authority Withheld |
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Broker Non-Votes |
Henry C. Beinstein |
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124,111,972 |
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591,870 |
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42,397,801 |
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Dr. Phillip Frost |
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115,455,194 |
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9,248,648 |
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42,397,801 |
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Brian S. Genson |
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123,787,780 |
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916,062 |
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42,397,801 |
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Saul Gilinski |
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124,183,323 |
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520,519 |
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42,397,801 |
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Dr. Richard M. Krasno |
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124,123,957 |
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579,885 |
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42,397,801 |
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Richard J. Lampen |
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124,119,819 |
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584,023 |
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42,397,801 |
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Howard M. Lorber |
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115,461,500 |
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9,242,342 |
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42,397,801 |
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Jeffrey S. Podell |
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124,170,567 |
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533,275 |
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42,397,801 |
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Jacqueline M. Simkin |
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124,128,254 |
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575,588 |
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42,397,801 |
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Mark Zeitchick |
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123,891,369 |
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812,473 |
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42,397,801 |
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2. Approval, on an advisory basis, of the compensation of the Company’s named executive officers:
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| For |
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Against |
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Abstain |
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Broker Non-Votes |
123,505,746
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691,823 |
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506,273 |
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42,397,801 |
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3. Ratification of the appointment of EisnerAmper LLP as the Company’s independent registered
public accounting firm for 2015:
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| For |
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Against |
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Abstain |
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Broker Non-Votes |
166,598,731
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337,455 |
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165,457 |
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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.
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Ladenburg Thalmann Financial Services Inc.
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May 19, 2015
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By:
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/s/ Brett H. Kaufman
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Name: Brett H. Kaufman
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Title: Senior Vice President and Chief Financial Officer
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