LADENBURG THALMANN FINANCIAL SERVICES INC. UNDERWRITING AGREEMENTUnderwriting Agreement • May 23rd, 2019 • Ladenburg Thalmann Financial Services Inc. • Security brokers, dealers & flotation companies • New York
Ladenburg Thalmann Financial Services Inc., a Florida corporation (the “Company”), proposes to issue and sell to the several Underwriters named in Schedule A hereto (the “Underwriters”), for whom UBS Securities LLC, Morgan Stanley & Co. LLC and RBC Capital Markets, LLC are acting as representatives (in such capacity, the “Representatives”), $50,000,000 aggregate principal amount of 7.75% Senior Notes due 2029 (the “Firm Notes”). In addition, the Company proposes to grant to the Underwriters the option to purchase from the Company up to an additional $7,500,000 aggregate principal amount of 7.75% Senior Notes due 2029 (the “Additional Notes”), to cover overallotments, if any. The Firm Notes and, if and to the extent such option is exercised, the Additional Notes are hereinafter collectively referred to as the “Notes.”
