Termination of Registration of a Class of Security Under Section 12(g) (15-12g)
February 24 2020 - 8:01AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
15
CERTIFICATION
AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO
FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934.
|
Commission File
Number 001-15799
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Ladenburg
Thalmann Financial Services Inc.*
(Exact
name of registrant as specified in its charter)
4400
Biscayne Boulevard, 12th Floor
Miami,
Florida 33137
(305)
572-4100
(Address,
including zip code, and telephone number, including area code, of registrant’s principal executive offices)
Common
Stock, par value $0.0001 per share
(Title
of each class of securities covered by this Form)
8.00%
Series A Cumulative Redeemable Preferred Stock, Liquidation Preference $25.00 per share
6.50%
Senior Notes due 2027
7.00%
Senior Notes due 2028
7.25%
Senior Notes due 2028
7.75%
Senior Notes due 2029
(Titles
of all other classes of securities for which a duty to file reports under section 13(a) or 15(d) remains)
Please
place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file
reports:
|
Rule 12g-4(a)(1)
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[X]
|
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Rule 12g-4(a)(2)
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[ ]
|
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Rule 12h-3(b)(1)(i)
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[X]
|
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Rule 12h-3(b)(1)(ii)
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[ ]
|
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Rule 15d-6
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[ ]
|
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Rule 15d-22(b)
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[ ]
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Approximate
number of holders of record as of the certification or notice date: None*
Explanatory
Note:
*Pursuant
to the Agreement and Plan of Merger (the “Merger Agreement”), dated as of November 11, 2019, by and among Ladenburg
Thalmann Financial Services Inc. (the “Company”), Advisor Group Holdings, Inc., a Delaware corporation (“Advisor
Group”) and Harvest Merger Sub, Inc., a Florida corporation and a wholly owned subsidiary of Advisor Group (“Merger
Sub”), on February 14, 2020, Merger Sub merged with and into the Company (the “Merger”), with the
Company continuing as the surviving corporation and a wholly owned subsidiary of Advisor Group in the Merger.
Pursuant
to the requirements of the Securities Exchange Act of 1934, Ladenburg Thalmann Financial Services, Inc. has caused this certification/notice
to be signed on its behalf by the undersigned duly authorized person.
Date:
February 24, 2020
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By:
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/s/
Nina McKenna
|
|
Name:
|
Nina
McKenna
|
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Title:
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General
Counsel and Secretary
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