Ladenburg Thalmann Financial Services Inc. (Form: 8-K)  

 


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):   May 30, 2018

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
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(Address of principal executive offices)
  ___________
(Zip Code)
     
Registrant’s telephone number, including area code:   (305) 572-4100

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))

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company [  ]

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [  ]


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Item 5.07 Submission of Matters to a Vote of Security Holders.

Ladenburg Thalmann Financial Services Inc. (the “Company”), a Florida corporation, held its 2018 annual meeting of shareholders on May 30, 2018. 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:

                         
Name   For   Authority Withheld   Broker Non-Votes
Henry C. Beinstein
    143,399,886       2,572,380       32,385,403  
Phillip Frost, M.D.
    129,351,897       16,620,369       32,385,403  
Brian S. Genson
    142,847,368       3,124,898       32,385,403  
Saul Gilinski
    145,316,660       655,606       32,385,403  
Dr. Richard M. Krasno
    144,998,638       973,628       32,385,403  
Richard J. Lampen
    145,303,429       668,837       32,385,403  
Howard M. Lorber
    129,335,125       16,637,141       32,385,403  
Jeffrey S. Podell
    145,252,137       720,129       32,385,403  
Jacqueline M. Simkin
    145,036,733       935,533       32,385,403  
Mark Zeitchick
    145,275,346       696,920       32,385,403  

2. Approval, on a non-binding advisory basis, of the compensation of the Company’s named executive officers:

                         
For   Against   Abstain   Broker Non-Votes
143,770,329
    1,692,395       509,542       32,385,403  

3. Ratification of the appointment of EisnerAmper LLP as the Company’s independent registered public accounting firm for 2018:

                     
For   Against   Abstain   Broker Non-Votes
177,159,156
    1,087,528       110,985     N/A


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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.
          
May 31, 2018   By:   /s/ Brett H. Kaufman
       
        Name: Brett H. Kaufman
        Title: Senior Vice President and Chief Financial Officer