Securities Registration (section 12(b)) (8-a12b)
30 May 2019 - 7:02AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-A
FOR
REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT
TO SECTION 12(b) OR (g) OF THE
SECURITIES
EXCHANGE ACT OF 1934
LADENBURG
THALMANN FINANCIAL SERVICES INC.
(Exact
name of registrant as specified in its charter)
Florida
|
|
65-0701248
|
(State
of incorporation or organization)
|
|
(I.R.S.
Employer Identification No.)
|
4400
Biscayne Boulevard, 12
th
Floor
Miami,
Florida
|
|
33137
|
(Address
of principal executive offices)
|
|
(Zip
Code)
|
Securities
to be registered pursuant to Section 12(b) of the Act:
Title
of each class
to
be so registered
|
|
Name
of each exchange on which
each
class is to be registered
|
7.75%
Senior Notes due 2029
|
|
NYSE
American
|
If
this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective
pursuant to General Instruction A.(c) or (e), check the following box. [X]
If
this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective
pursuant to General Instruction A.(d) or (e), check the following box. [ ]
If
this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following
box. [ ]
Securities
Act registration statement or Regulation A offering statement file number to which this form relates: 333-216733 (if applicable)
Securities
to be registered pursuant to Section 12(g) of the Act: None
Item
1. Description of Registrant’s Securities to be Registered.
The
class of securities to be registered hereby is the 7.75% Senior Notes due 2029 (the “Senior Notes”) of Ladenburg Thalmann
Financial Services Inc. (the “Company”). For a description of the Senior Notes, reference is made to (i) the information
under the heading “Description of Debt Securities” in the Company’s shelf registration statement on Form S-3
(Registration No. 333-216733), initially filed with the Securities and Exchange Commission (the “Commission”) on March
16, 2017 and declared effective by the Commission on April 27, 2017, and (ii) the information with respect to the Senior Notes
under the heading “Description of the Notes” included in the Prospectus Supplement, dated May 21, 2019, filed with
the Commission pursuant to Rule 424(b) of the general rules and regulations of the Securities Act of 1933, which information is
incorporated herein by reference.
Item
2. Exhibits.
4.1
|
Indenture, dated as of November 21, 2017, between the Company and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K, filed on November 21, 2017).
|
|
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4.2
|
Fourth Supplemental Indenture, dated as of May 29, 2019, between the Company and U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K, filed on May 29, 2019).
|
|
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4.3
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Form of 7.75% Senior Note due 2029 (attached as Exhibit A to Exhibit 4.2 above).
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SIGNATURE
Pursuant
to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement
to be signed on its behalf by the undersigned, thereto duly authorized.
May
29, 2019
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LADENBURG
THALMANN FINANCIAL SERVICES INC.
|
|
|
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By:
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/s/
Brett Kaufman
|
|
Name:
|
Brett
Kaufman
|
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Title:
|
Senior
Vice President and Chief Financial
Officer
|
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