Company:  LADENBURG THALMANN FINANC ... (LTSA)
Form Type:  10-K
Filing Date:  3/13/2020 
CIK:  0001029730 
Address:  4400 BISCAYNE BLVD.
12TH FLOOR
 
City, State, Zip:  MIAMI, Florida 33137 
Telephone:  305-572-4100 
Fiscal Year:  12/31 
Last Trade
Last Trade: 
$9.50  
Change: 
-0.11 (-1.15%)  
Trade Time: 
Jul 02  
Market Cap: 
$43.55M
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© 2020  
Description of Business
This business description should be read in conjunction with our audited consolidated financial statements and accompanying notes thereto appearing elsewhere in this annual report, which are incorporated herein by this reference. Recent Developments On November 11, 2019, we entered into an Agreement and Plan of Merger (the "Merger Agreement") by and among us, 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"), pursuant to which Merger Sub would be merged with and into us (the "Merger"). On January 30, 2020, our shareholders voted to approve the Merger. On February 14, 2020, we announced the successful completion of the Merger, and the NYSE American filed Form 25 to delist our shares of common stock.
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  FORM 10-K
    PART I
      ITEM 1. BUSINESS.
      ITEM 1A. RISK FACTORS.
      ITEM 1B. UNRESOLVED STAFF COMMENTS.
      ITEM 2. PROPERTIES.
      ITEM 3. LEGAL PROCEEDINGS.
      ITEM 4. MINE SAFETY DISCLOSURES.
    PART II
      ITEM 5. MARKET FOR REGISTRANT'S COMMON EQUITY, RELATED ...
      ITEM 6. SELECTED FINANCIAL DATA.
      ITEM 7. MANAGEMENT'S DISCUSSION AND ANALYSIS OF ...
        Results of Operations
        Liquidity and Capital Resources
        Market Risk
      ITEM 8. FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA.
      ITEM 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ...
      ITEM 9A. CONTROLS AND PROCEDURES.
      REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
      ITEM 9B. OTHER INFORMATION.
    PART III
      ITEM 10. DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE.
      ITEM 11. EXECUTIVE COMPENSATION.
      ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS ...
      ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, ...
      ITEM 14. PRINCIPAL ACCOUNTANT FEES AND SERVICES.
    PART IV
      ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES.
    EXHIBIT INDEX
    SIGNATURES
    REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
    BALANCE SHEET
    INCOME STATEMENT
    STOCKHOLDERS EQUITY
    STOCKHOLDERS EQUITY
    CASH FLOW
    NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
      BALANCE SHEET
      BALANCE SHEET
  EXHIBIT 4.15
  EXHIBIT 21
    SUBSIDIARIES
  EXHIBIT 31.1
    SECTION 302 CERTIFICATION PURSUANT TO
  EXHIBIT 31.2
    SECTION 302 CERTIFICATION PURSUANT TO
  EXHIBIT 32.1
    CERTIFICATION PURSUANT TO
  EXHIBIT 32.2
    CERTIFICATION PURSUANT TO