Thomas Weisel Partners Group, Inc. - Current report filing (8-K)
April 30 2008 - 4:22PM
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):
April 30, 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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(Address
of principal executive offices)
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Registrant’s
telephone number, including area code:
(415) 364-2500
N.A.
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(Former
name or former address, if changed since last
report)
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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
2.02
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Results of
Operations
and Financial Condition.
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On
April
30, 2008, Thomas Weisel Partners Group, Inc. (the “Registrant”) issued a press
release announcing financial results for its first quarter ended March 31,
2008.
A copy of the Registrant’s press release containing this information is being
furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated
herein by reference.
The
information furnished pursuant to this Item 2.02, including Exhibit 99.1, shall
not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act
of 1934 (the “Exchange Act”) or otherwise subject to the liabilities under that
Section and shall not be deemed to be incorporated by reference into any filing
of the Registrant under the Securities Act of 1933 or the Exchange Act, whether
made before or after the date hereof, regardless of any general incorporation
language in such filing.
The
information furnished in this report, including Exhibit 99.1, shall not be
deemed to constitute an admission that such information or exhibit is required
to be furnished pursuant to Regulation FD or that such information or exhibit
contains material information that is not otherwise publicly available. In
addition, the Registrant does not assume any obligation to update such
information or exhibit in the future.
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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)
&
(c) On April 30, 2008, Registrant announced that Paul Slivon will cease serving
as the Registrant’s Director of Institutional Sales. Mr. Slivon will continue to
be a member of the Registrant’s Executive Committee and will continue to be
responsible for the Registrant’s Private Client Department with Jeff Handy
reporting to him. In addition, Mr. Slivon will focus on further building out
Registrant’s asset management business. Further information regarding Mr. Slivon
is incorporated by reference from Registrant’s Annual Report on Form 10-K and
Annual Proxy Statement, which were filed with the SEC on March 17, 2008 and
April 3, 2008, respectively.
On
April
30, 2008, Registrant announced that Thomas Carbeau, who is currently a Managing
Director and the Registrant’s New York head of institutional sales, will be
named the Registrant’s Director of Institutional Sales and will serve on the
Registrant’s Executive Committee.
Thomas
Carbeau, age 35, joined Thomas Weisel Partners in 2006 and has served as a
Managing Director and the head of Thomas Weisel Partners’ New York institutional
sales department. Prior to joining Thomas Weisel Partners, Mr. Carbeau was
an
Executive Director and Director of equity institutional sales at CIBC World
Markets from 2002 to 2006 and also worked in equity sales at CIBC World Markets
(and its predecessor Oppenheimer & Co.) from 1994 to 2000. Mr. Carbeau was
also a Vice President in the equity institutional sales department at Morgan
Stanley from 2000 to 2001. Mr. Carbeau holds a bachelor’s degree in business
administration from Georgetown University.
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Item
9.01
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Financial
Statements and
Exhibits.
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(d)
Exhibits.
The
following exhibit is furnished as part of this Current Report on Form
8-K:
99.1
Press release of the Registrant dated April 30, 2008.
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: April
30, 2008
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By:
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/s/ Shaugn
Stanley
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Name:
Shaugn Stanley
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Title: Chief
Financial
Officer
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EXHIBIT
INDEX
99.1 Press
release of Thomas Weisel Partners Group, Inc. dated April 30, 2008.
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