Florida | 1-15799 | 65-0701248 | ||
(State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
590 Madison Avenue, 34th Floor, New York, New York | 10022 | |
(Address of Principal Executive Offices) | (Zip Code) |
¨ | 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)) |
| Mr. Cohen purchased 500,000 shares of the Companys common stock at $0.45 per share for an aggregate purchase price of $225,000. Additionally, Mr. Cohen committed to purchase a total of 3,500,000 shares of the Companys common stock at $0.53 through the use of compensation to be earned by Mr. Cohen (in accordance with the terms of the employment agreement). | ||
| Mr. Rabkin purchased 1,000,000 shares of the Companys common stock at $0.45 per share for an aggregate purchase price of $450,000. |
(c) | Exhibits. | ||
10.1 | Subscription Agreement between Ladenburg Thalmann Financial Services Inc. and Steven Cohen | ||
10.2 | Stock Purchase Agreement between Ladenburg Thalmann Financial Services Inc. and Steven Cohen | ||
10.3 | Incentive Stock Purchase Agreement between Ladenburg Thalmann Financial Services Inc. and Steven Cohen | ||
10.4 | Subscription Agreement between Ladenburg Thalmann Financial Services Inc. and Barry Rabkin |
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LADENBURG THALMANN FINANCIAL SERVICES INC. |
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By: | /s/ Salvatore Giardina | |||
Name: | Salvatore Giardina | |||
Title: | Vice President and Chief Financial Officer | |||
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