LADENBURG THALMANN FINANCIAL SERVICES INC. Up to 6,832,841 Shares of 8.00% Series A Cumulative Redeemable Preferred Stock (Liquidation Preference $25.00 Per Share) EQUITY DISTRIBUTION AGREEMENT Dated: June 11, 2018Ladenburg Thalmann Financial Services • June 12th, 2018 • Ladenburg Thalmann Financial Services Inc. • Security brokers, dealers & flotation companies • New York
LADENBURG THALMANN FINANCIAL SERVICES INC. NOTE DISTRIBUTION AGREEMENTLadenburg Thalmann Financial Services • June 22nd, 2018 • Ladenburg Thalmann Financial Services Inc. • Security brokers, dealers & flotation companies • New York
LADENBURG THALMANN FINANCIAL SERVICES INC. UNDERWRITING AGREEMENTLadenburg Thalmann Financial Services • May 23rd, 2018 • 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 on Schedule A hereto (the “Underwriters”), for whom Ladenburg Thalmann & Co. Inc. is acting as representative (in such capacity, the “Representative”), $40,000,000 aggregate principal amount of 7.00% Senior Notes due 2028 (the “Firm Notes”). In addition, the Company proposes to grant to the Underwriters the option to purchase from the Company up to an additional $6,000,000 aggregate principal amount of 7.00% Senior Notes due 2028 (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.”
LADENBURG THALMANN FINANCIAL SERVICES INC. 4400 Biscayne Blvd., 12th Floor Miami, Florida 33137Ladenburg Thalmann Financial Services • January 25th, 2011 • Ladenburg Thalmann Financial Services Inc • Security & commodity brokers, dealers, exchanges & services
This letter agreement constitutes an amendment to the Employment Agreement dated as of August 24, 1999, as previously amended (the “Amended Agreement”), between Ladenburg Thalmann Financial Services Inc. (“LTFS”) and Mark Zeitchick (the “Executive”). LTFS and Executive wish to amend the Amended Agreement as set forth below. Unless otherwise defined herein, capitalized terms used herein shall have the meanings ascribed thereto in the Amended Agreement.
