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):   June 25, 2014

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
_________________________________
(Address of principal executive offices) 		  ___________
(Zip Code)
     
Registrant’s telephone number, including area code:   (212) 409-2000

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))

Top of the Form

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

Ladenburg Thalmann Financial Services Inc., a Florida corporation (the “ Company ”) held its 2014 annual meeting of shareholders on June 25, 2014. 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
    114,886,083       4,204,264       35,612,783  
Dr. Phillip Frost
    106,622,280       12,468,067       35,612,783  
Brian S. Genson
    115,002,568       4,087,779       35,612,783  
Saul Gilinski
    118,414,905       675,442       35,612,783  
Dmitry Kolosov
    118,429,638       660,709       35,612,783  
Dr. Richard M. Krasno
    114,912,665       4,177,682       35,612,783  
Richard J. Lampen
    118,256,841       833,506       35,612,783  
Howard M. Lorber
    117,437,555       1,652,792       35,612,783  
Jeffrey S. Podell
    118,424,605       665,742       35,612,783  
Richard J. Rosenstock
    118,242,541       847,806       35,612,783  
Jacqueline M. Simkin
    114,909,413       4,180,934       35,612,783  
Mark Zeitchick
    118,262,236       828,111       35,612,783  

2. Approval of a non-binding advisory resolution regarding the compensation of the Company’s named executive officers:

                         
For   Against   Abstain   Broker Non-Votes
117,843,344
    1,120,438       126,565       35,612,783  

3. Approval of an amendment to the Company’s Articles of Incorporation to increase the number of shares of common stock authorized for issuance from 600,000,000 to 800,000,000 as follows:

                     
For   Against   Abstain   Broker Non-Votes
149,133,092
    4,620,326       949,712     N/A

A copy of the Articles of Amendment to the Articles of Incorporation, as filed with the Secretary of State of the State of Florida on June 25, 2014, is attached hereto as Exhibit 3.1 and incorporated herein by reference.

4. Approval of the Company’s Amended and Restated 2009 Incentive Compensation Plan:

                         
For   Against   Abstain   Broker Non-Votes
101,696,628
    17,114,679       279,040       35,612,783  

5. Ratification of the appointment of EisnerAmper LLP as the Company’s independent registered public accounting firm for 2014:

                     
For   Against   Abstain   Broker Non-Votes
153,840,642
    629,642       232,846     N/A

Item 9.01 Financial Statements and Exhibits

(d) Exhibits.

         
Exhibit  
Description
       
 
  3.1    
Articles of Amendment to the Articles of Incorporation, as amended.

Top of the Form

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.
          
June 27, 2014   By:   /s/ Brett H. Kaufman
       
        Name: Brett H. Kaufman
        Title: Senior Vice President and Chief Financial Officer

Top of the Form

Exhibit Index


     
Exhibit No.   Description
 
3.1
  Articles of Amendment to the Articles of Incorporation, as amended.

ARTICLES OF AMENDMENT
TO THE
ARTICLES OF INCORPORATION
OF
LADENBURG THALMANN FINANCIAL SERVICES INC.
 

Pursuant to Section 607.1006 of the
Florida Business Corporation Act
 

Ladenburg Thalmann Financial Services Inc. (the “ Corporation ”), hereby certifies, pursuant to and in accordance with Section 607.1006 of the Florida Business Corporation Act, for the purpose of filing these Articles of Amendment to the Articles of Incorporation of Ladenburg Thalmann Financial Services Inc., as amended (these “ Amended Articles ”), with the Department of State of the State of Florida, that:

      FIRST : The name of the Corporation is Ladenburg Thalmann Financial Services Inc.

      SECOND : The Articles of Incorporation of the Corporation, as amended, are hereby amended by deleting the first sentence of Article III in its entirety and substituting the following new first sentence in lieu thereof:

      “The aggregate number of shares of which of the Corporation shall have authority to issue is eight hundred twenty-five million (825,000,000) shares, of which eight hundred million (800,000,000) shares shall be “Common Stock,” par value $.0001 per share, and of which twenty-five million (25,000,000) shares shall be “Preferred Stock,” par value $.0001 per share.”

      THIRD : These Amended Articles were adopted and approved (i) on May 2, 2014 by the Corporation’s Board of Directors and (ii) on June 25, 2014 by the Corporation’s shareholders by a sufficient number of votes cast for approval of these Amended Articles at the Corporation’s 2014 Annual Meeting of Shareholders.

     IN WITNESS WHEREOF, the Corporation has caused these Amended Articles to be executed by a duly authorized officer of the Corporation on this this 25 th day of June, 2014.

                 
   
 
           
     
   
    /s/ Brian L. Heller 
   
     
   
    Brian L. Heller 
   
    Senior Vice President- Business and Legal Affairs