Thomas Weisel Partners Group, Inc. - Statement of Changes in Beneficial Ownership (4)
February 12 2008 - 9:10AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Baylor David A
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2. Issuer Name
and
Ticker or Trading Symbol
Thomas Weisel Partners Group, Inc.
[
TWPG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
COO and CFO
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(Last)
(First)
(Middle)
C/O THOMAS WEISEL PARTNERS GROUP, INC., ONE MONTGOMERY STREET, SUITE 3700
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/8/2008
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(Street)
SAN FRANCISCO, CA US 94104
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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2/11/2008
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M
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4999
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A
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$0
(1)
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197275
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Restricted Stock Unit
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(2)
(3)
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2/8/2008
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A
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67255
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(2)
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(2)
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Common Stock
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67255
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$0
(2)
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98377
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D
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Restricted Stock Unit
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(2)
(4)
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2/11/2008
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M
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4999
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(2)
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(2)
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Common Stock
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4999
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$0
(2)
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93378
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D
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Restricted Stock Unit
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(2)
(5)
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2/11/2008
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F
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2782
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(2)
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(2)
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Common Stock
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2782
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$0
(2)
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90596
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D
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Explanation of Responses:
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(
1)
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Acquisition of common stock resulting from vesting and delivery of a portion of the one-quarter of the Restricted Stock Units granted on 2/9/2007.
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(
2)
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Each unit represents a right to receive one share of Common Stock or an amount equal to the fair market value of one share of Common Stock on the applicable vesting date. Payment may be made in cash, shares of Common Stock or a combination thereof, in the sole discretion of the Compensation Committee.
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(
3)
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The Restricted Stock Units will vest in equal installments on the first, second, third and fourth anniversaries of the grant date.
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(
4)
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Disposition of Restricted Stock Units resulting from vesting and delivery of a portion of the one-quarter of the Restricted Stock Units granted on February 9, 2007.
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(
5)
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Disposition of Restricted Stock Units resulting from the Compensation Committee approved withholding of securities incident to the payment of tax liability relating to the vesting and delivery of the one-quarter of the Restricted Stock Units granted on 2/9/2007.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Baylor David A
C/O THOMAS WEISEL PARTNERS GROUP, INC.
ONE MONTGOMERY STREET, SUITE 3700
SAN FRANCISCO, CA US 94104
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COO and CFO
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Signatures
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Mark P. Fisher, Attorney-in-Fact
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2/11/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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