Thomas Weisel Partners Group, Inc. - Current report filing (8-K)
March 05 2008 - 4:54PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d)
of
the Securities Exchange Act of 1934
Date
of
Report (Date of earliest event reported): March 5, 2008
Thomas
Weisel Partners Group, Inc.
(Exact
name of registrant as specified in its charter)
Delaware
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No. 000-51730
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No. 20-3550472
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(State
or other jurisdiction of incorporation)
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(Commission
File Number)
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(IRS
Employer Identification No.)
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One
Montgomery Street
San
Francisco, California
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94104
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(Address
of principal executive offices)
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(Zip
Code)
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Registrant’s
telephone number, including area code:
(415) 364-2500
N.A.
(Former
name or former address, if changed since last report)
Check
the
appropriate box below if the Form 8-K filing is intended to simultaneously
satisfy the filing obligation of the registrant under any of the following
provisions:
o
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
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o
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
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o
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b))
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o
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c))
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ITEM
5.02
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DEPARTURE
OF DIRECTORS OR CERTAIN OFFICERS; APPOINTMENT OF CERTAIN
OFFICERS
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(b)
On
March 5, 2008, Registrant announced that David A. Baylor, who currently serves
as Registrant’s Chief Financial Officer and Chief Operating Officer, has given
notice of his intention to resign his position to pursue other opportunities.
Mr. Baylor will remain as Chief Financial Officer through a transition period
that will include the completion of Registrant’s financial statements and the
filing of its Annual Report on Form 10-K for the year ended December 31, 2007.
(c)
On
March 5, 2008, Registrant announced that Lionel F. Conacher, who currently
serves as Registrant’s President, is also assuming the role of Chief Operating
Officer. Information regarding Mr. Conacher is incorporated by reference from
Item 5.02(c) of the Registrant’s Current Report on Form 8-K which was filed with
the SEC on January 2, 2008.
A
copy of
the Registrant’s press release relating to these matters is being furnished as
Exhibit 99.1 to this Current Report on Form 8-K.
ITEM
9.01
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FINANCIAL
STATEMENTS AND EXHIBITS
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(d)
Exhibits.
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The
following exhibit is furnished as part of this Current Report on
Form 8-K:
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99.1
Press release of the Registrant dated March 5, 2008.
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Cautionary
Note Regarding Forward-Looking Statements
This
Current Report on Form 8-K and the attached Exhibit 99.1 may contain
forward-looking statements, which are subject to risks, uncertainties and
assumptions about us. In some cases, you can identify these statements by
forward-looking words such as “may”, “might”, “will”, “should”, “expect”,
“plan”, “anticipate”, “believe”, “estimate”, “predict”, “optimistic”,
“potential”, “future” or “continue”, the negative of these terms and other
comparable terminology. These statements are only predictions based on our
current expectations about future events. There are important factors that
could
cause actual results, level of activity, performance or achievements or other
events or circumstances to differ materially from the results, level of
activity, performance or achievements expressed or implied by these
forward-looking statements. These factors include, but are not limited to,
Thomas Weisel Partners’ ability to implement its strategic initiatives and
achieve the expected benefits of the acquisition of Westwind Partners, integrate
Westwind Partners’ operations and retain its professionals, as well as
competitive, economic, political, and market conditions and fluctuations,
government and industry regulation, other risks relating to the acquisition,
including the effect of the completion of the transaction on the companies’
business relationships, operating results and business generally and other
factors. Some of the other factors are those that are discussed in (i) the
Proxy
Statement relating to the Westwind Partners acquisition, (ii) Item 1A - “Risk
Factors” in our Annual Report on Form 10-K for the year ended December 31, 2006
and (iii) in our Quarterly Reports on Form 10-Q filed with the SEC thereafter.
We do not assume responsibility for the accuracy or completeness of any
forward-looking statement and you should not rely on forward-looking statements
as predictions of future events. We are under no duty to update any of these
forward-looking statements to conform them to actual results or revised
expectations.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Registrant
has
duly caused this report to be signed on its behalf by the undersigned hereunto
duly authorized.
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Thomas
Weisel Partners Group, Inc.
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Date: March
5, 2008
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By:
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/s/ Mark
P. Fisher
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Name:
Mark P. Fisher
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Title:
General
Counsel
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EXHIBIT
INDEX
99.1 Press
release of Thomas Weisel Partners Group, Inc. dated March 5, 2008.
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