Thomas Weisel Partners Group, Inc. - Amended Statement of Ownership (SC 13G/A)
January 07 2008 - 4:12PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
______________________
SCHEDULE
13G
UNDER
THE SECURITIES EXCHANGE ACT OF 1934
(Amendment
No. 1 )*
______________________
Thomas
Weisel Partners Group, Inc
.
(Name
of
Issuer)
Common
Stock, par value $0.01 per share
(Title
of
Class of Securities)
884481
10 2
(CUSIP
Number)
December
31, 2007
(Date
of
Event Which Requires Filing of this Statement)
Check
the
appropriate box to designate the rule pursuant to which this
Schedule
is
filed:
o
Rule 13d-1(b)
o
Rule 13d-1(c)
x
Rule 13d-1(d)
*The
remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities,
and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The
information required on the remainder of this cover page shall not be deemed
to
be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934
("Act") or otherwise subject to the liabilities of that section of the Act
but
shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP
No.
884481
10 2
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1)
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Names
of Reporting Persons.
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I.R.S.
Identification Nos. of Above Persons (entities only)
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Thomas
W. Weisel
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2)
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Check
the Appropriate Box if a Member of a Group (See Instructions)
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(a)
o
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(b)
o
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3)
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SEC
Use Only
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4)
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Citizenship
or Place of Organization
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USA
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Number
of
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5)
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Sole
Voting Power:
2,330,417
(a)
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Shares
Beneficially
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Owned
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6)
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Shared
Voting Power:
89,114(b)
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by
Each
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Reporting
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7)
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Sole
Dispositive Power:
2,330,417
(a)
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Person
With:
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8)
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Shared
Dispositive Power:
89,114(b)
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9)
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Aggregate
Amount Beneficially Owned by Each Reporting Person
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2,419,531 (a)(b)
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10)
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Check
if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions)
o
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11)
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Percent
of Class Represented by Amount in Row (9)
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9.58% (a)(b)(c)
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12)
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Type
of Reporting Person (See Instructions)
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IN
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___________________________________
Notes:
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(a)
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Mr.
Weisel’s beneficial ownership includes (i) 1,551,633 shares of common
stock owned by him directly, (ii) 765,816 shares of common stock
owned by
Ross Investments Inc., an entity wholly owned by Mr. Weisel and (iii)
12,968 shares of common stock to be delivered within 60 days in respect
of
12,968 Restricted Stock Units that will vest within 60
days.
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(b)
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Although
included in the number reported, Mr. Weisel disclaims beneficial
ownership
of 89,114 shares of common stock which are owned by his wife as trustee
of
trust for the benefit of Mr. Weisel’s minor
children.
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(c)
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Denominator
used in determining Percent of Class based on (i) 25,235,470 shares
of
common stock outstanding as of 12/31/07 and (ii) 12,968 shares of
common
stock to be delivered within 60 days in respect of 12,968 Restricted
Stock
Units that will vest within 60 days.
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ITEM
1.
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(A)
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NAME
OF ISSUER
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Thomas
Weisel Partners Group, Inc.
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(B)
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ADDRESS
OF ISSUER'S PRINCIPAL EXECUTIVE OFFICE
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One
Montgomery Street, San Francisco, California
94104
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ITEM
2.
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(A)
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NAME
OF PERSONS FILING
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Thomas
W. Weisel
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(B)
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ADDRESS
OF PRINCIPAL BUSINESS OFFICE OR IF NONE,
RESIDENCE
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c/o
Thomas Weisel Partners Group, Inc.
One
Montgomery Street, San Francisco, California 94104
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(C)
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CITIZENSHIP
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USA
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(D)
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TITLE
OF CLASS OF SECURITIES
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Common
Stock, par value $0.01 per share
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(E)
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CUSIP
NUMBER
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884481
10 2
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ITEM
3.
If
this statement is filed pursuant to rule 240.13d- 1(b), or 240.13d-2(b) or
(c),
check whether the person filing is a:
Not
applicable.
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(a)
___
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Broker
or dealer registered under section 15 of the Act (15 U.S.C.
78o).
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(b)
___
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Bank
as defined in section 3(a)(6) of the Act (15 U.S.C.
78c).
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(c)
___
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Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C.
78c).
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(d)
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Investment
company registered under section 8 of the Investment Company Act
of
1940
(15
U.S.C. 80a-8).
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(e)
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An
investment adviser in accordance with 240.13d-
1(b)(1)(ii)(E).
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(f)
___
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An
employee benefit plan or endowment fund in accordance with
240.13d-1(b)(1)(ii)(F).
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(g)
___
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A
parent holding company or control person in accordance with
240.13d-1(b)(1)(ii)(G)
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(h)
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A
savings association as defined in section 3(b) of the Federal Deposit
Insurance Act
(12
U.S.C. 1813).
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(i)
___
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A
church plan that is excluded from the definition of an investment
company
under section
3(c)(14)
of the Investment Company Act of 1940 (15 U.S.C.
80a-3).
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(j)
___
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Group,
in accordance with section
240.13d-1(b)(1)(ii)(J).
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Provide
the following information regarding the aggregate number and percentage of
the
class of securities of the issuer identified in Item 1.
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(a)
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Amount
beneficially owned:
2,419,531 (a)(b)
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(b)
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Percent
of class
:
9.58% (a)(b)(c)
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(c)
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Number
of shares as to which the person
has:
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(i)
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Sole
power to vote or to direct the vote:
2,330,417 (a)
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(ii)
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Shared
power to vote or to direct the vote:
89,114 (b)
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(iii)
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Sole
power to dispose or to direct the disposition of:
2,330,417 (a)
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(iv)
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Shared
power to dispose or to direct the disposition of:
89,114 (b)
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ITEM
5.
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OWNERSHIP
OF FIVE PERCENT OR LESS OF A
CLASS
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If
this statement is being filed to report the fact that as of the date hereof
the
reporting person has ceased to be the beneficial owner of more than five percent
of the class of securities, check the following
o
.
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ITEM
6.
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OWNERSHIP
OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON
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N.A.
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ITEM
7.
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IDENTIFICATION
AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY
BEING
REPORTED ON BY THE PARENT HOLDING COMPANY
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N.A.
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ITEM
8.
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IDENTIFICATION
AND CLASSIFICATION OF MEMBERS OF THE GROUP
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N.A.
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ITEM
9.
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NOTICE
OF DISSOLUTION OF GROUP
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N.A.
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ITEM
10.
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CERTIFICATION.
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N.A.
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____________________________________
Notes:
|
(a)
|
Mr.
Weisel’s beneficial ownership includes (i) 1,551,633 shares of common
stock owned by him directly, (ii) 765,816 shares of common stock
owned by
Ross Investments Inc., an entity wholly owned by Mr. Weisel and (iii)
12,968 shares of common stock to be delivered within 60 days in respect
of
12,968 Restricted Stock Units that will vest within 60
days.
|
|
(b)
|
Although
included in the number reported, Mr. Weisel disclaims beneficial
ownership
of 89,114 shares of common stock which are owned by his wife as trustee
of
trust for the benefit of Mr. Weisel’s minor
children.
|
|
(c)
|
Denominator
used in determining Percent of Class based on (i) 25,235,470 shares
of
common stock outstanding as of 12/31/07 and (ii) 12,968 shares of
common
stock to be delivered within 60 days in respect of 12,968 Restricted
Stock
Units that will vest within 60 days.
|
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I certify that
the information set forth in this statement is true, complete and
correct.
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Date:
January 7, 2008
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By:
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/s/
Mark
Fisher , Attorney-in-Fact*
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Name:
Mark Fisher
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Title:
Attorney-in-Fact
|
*
Power of Attorney has been previously filed with the SEC on February 1, 2006,
as
Exhibit 24 to Mr. Weisel’s Form 3 and is incorporated herein by
reference.
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