Registration
No. 333-
UNITED
STATES SECURITIES AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
S-8
REGISTRATION
STATEMENT UNDER THE SECURITIES ACT OF 1933
Thomas
Weisel Partners Group, Inc.
(Exact
Name of Registrant as Specified in Its Charter)
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Delaware
(State
or Other Jurisdiction of
Incorporation
or Organization)
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20-3550472
(I.R.S.
Employer
Identification
No.)
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One
Montgomery Street, San Francisco, California 94104
(Address
of Principal Executive Offices)
Thomas
Weisel Partners Group, Inc. Second Amended and Restated Equity Incentive
Plan
(Full
Title of the Plan)
Mark
Fisher
Thomas
Weisel Partners Group, Inc.
One
Montgomery Street
San
Francisco, California 94104
(415) 364-2500
(Name,
address and telephone number, including area code, of agent for service)
Copies
to:
Scott
D.
Miller
Sullivan
& Cromwell LLP
1870
Embarcadero Road
Palo
Alto, California 94303
(650) 461-5600
Indicate
by check mark whether the registrant is a large accelerated filer, an
accelerated filer, a non-accelerated filer, or a smaller reporting company.
See
the definition of “large accelerated filer,” “accelerated filer” and “smaller
reporting company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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(Do not check if a smaller reporting company)
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Smaller reporting company
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CALCULATION
OF REGISTRATION FEE
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Proposed
Maximum
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Proposed
Maximum
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Title
of Securities to be Registered:
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Amount
to be Registered (1)
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Offering
Price Per Share(2)
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Aggregate
Offering Price (2)
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Amount
of Registration Fee
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Common
Stock, par value $0.01 per share
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5,000,000
shares
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$5.27
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$
26,350,000
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$1,035.56
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(1)
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Covers
an aggregate of 5,000,000 shares of Common Stock that may be issued
under
the Thomas Weisel Partners Group, Inc. Second Amended and Restated
Equity
Incentive Plan. Pursuant to Rule 416 under the Securities Act of
1933, this Registration Statement shall also cover additional shares
of
Common Stock which may become issuable by reason of any stock split,
stock
dividend, recapitalization or other similar transactions effected
without
consideration which results in an increase in the number of the
Registrant’s outstanding shares of Common Stock.
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(2)
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Estimated
solely for purposes of computing the amount of the registration fee.
Pursuant to Rule 457(c) and Rule 457(h) under the Securities Act
of 1933,
the proposed maximum offering price per share is based on the reported
average of the high and low prices for the Registrant’s Common Stock on
the Nasdaq National Market on October 31,
2008.
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EXPLANATORY
NOTE
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PART
II - INFORMATION REQUIRED IN THE REGISTRATION
STATEMENT
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Item
3. Incorporation of Documents by Reference
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Item
4. Description of Securities
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Item
5. Interests of Named Experts and Counsel
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Item 6.
Indemnification of Directors and Officers
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Item 7.
Exemption from Registration Claimed
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Item 8.
Exhibits
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Item 9.
Undertakings
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SIGNATURES
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INDEX
TO EXHIBITS
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EXHIBIT
5.1
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EXHIBIT
23.1
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EXPLANATORY
NOTE
This
Registration Statement on Form S-8 is being filed for the purpose of registering
an additional 5,000,000 shares of the Registrant’s Common Stock authorized for
issuance under the Thomas Weisel Partners Group, Inc. Second Amended and
Restated Equity Incentive Plan (as amended and restated effective May 19,
2008) (the “Plan”). Previously, 1,150,000 shares were registered under the Plan
pursuant to Registration Statement 333-145352 and 5,000,000 shares were
registered under the Plan pursuant to Registration Statement 333-131509. In
accordance with Section E. of the General Instructions to Form S-8,
Registration Statements Nos. 333-145352 and 333-131509 are incorporated
herein by reference.
PART
II
INFORMATION
REQUIRED IN THE REGISTRATION STATEMENT
Item 3.
Incorporation of Documents by Reference.
Thomas
Weisel Partners Group, Inc. (the “Registrant”) incorporates herein by reference
the following documents filed with the Securities and Exchange Commission (the
“Commission”):
(a) The
Registrant’s Annual Report on Form 10-K for the fiscal year ended December
31, 2007, filed with the Commission on March 17, 2008;
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(b)
All other reports filed by the Registrant pursuant to Section 13(a)
and
15(d) of the Exchange Act since the end of the fiscal year referred
to in
(a) above; and
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(c) The
description of the Registrant’s Common Stock, par value $0.01 per share,
contained in the Registrant’s Registration Statement on Form 8-A (File
No. 000-51730) filed January 17, 2006 pursuant to Section 12(g)
of the Securities Exchange Act of
1934.
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All
reports and other documents subsequently filed by the Registrant pursuant to
Sections 13(a), 13(c), 14 and 15(d) of the Securities Exchange Act of 1934
prior
to the filing of a post-effective amendment to this registration statement
which
indicates that all securities offered have been sold or which deregisters all
securities then remaining unsold shall be deemed to be incorporated by reference
in this registration statement and to be a part hereof from their respective
dates of filing (such documents, and the documents enumerated above, being
hereinafter referred to as “Incorporated Documents”).
Any
statement contained in an Incorporated Document shall be deemed to be modified
or superseded for purposes of this registration statement to the extent that
a
statement contained herein or in any other subsequently filed Incorporated
Document modifies or supersedes such statement. Any such statement so modified
or superseded shall not be deemed, except as so modified or superseded, to
constitute a part of this registration statement.
Item 4.
Description of Securities.
Not
applicable.
Item 5.
Interests of Named Experts and Counsel.
Not
applicable.
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Item 6.
Indemnification of Directors and Officers.
Section 145
of the Delaware General Corporation Law provides that a corporation may
indemnify directors and officers as well as other employees and individuals
against expenses (including attorneys’ fees), judgments, fines and amounts paid
in settlement actually and reasonably incurred by such person in connection
with
any threatened, pending or completed actions, suits or proceedings in which
such
person is made a party by reason of such person being or having been a director,
officer, employee or agent to the Registrant. The Delaware General Corporation
Law provides that Section 145 is not exclusive of other rights to which
those seeking indemnification may be entitled under any by-law, agreement,
vote
of stockholders or disinterested directors or otherwise. Article Eleventh
of the Registrant’s Certificate of Incorporation provides for indemnification by
the Registrant of its directors, officers and employees to the fullest extent
permitted by the Delaware General Corporation Law.
Section 102(b)(7)
of the Delaware General Corporation Law permits a corporation to provide in
its
certificate of incorporation that a director of the corporation shall not be
personally liable to the corporation or its stockholders for monetary damages
for breach of fiduciary duty as a director, except for liability (i) for
any breach of the director’s duty of loyalty to the corporation or its
stockholders, (ii) for acts or omissions not in good faith or which involve
intentional misconduct or a knowing violation of law, (iii) for unlawful
payments of dividends or unlawful stock repurchases, redemptions or other
distributions, or (iv) for any transaction from which the director derived
an improper personal benefit. The Registrant’s Certificate of Incorporation
provides for such limitation of liability to the fullest extent permitted by
the
Delaware General Corporation Law.
The
Registrant maintains standard policies of insurance under which coverage is
provided (a) to its directors and officers against loss rising from claims
made
by reason of breach of duty or other wrongful act, while acting in their
capacity as directors and officers of the Registrant, and (b) to the
Registrant with respect to payments which may be made by the Registrant to
such
officers and directors pursuant to any indemnification provision contained
in
the Registrant’s Certificate of Incorporation or otherwise as a matter of
law.
The
Registrant has also entered into separate indemnification agreements with each
of its directors and executive officers, substantially in the form filed as
Exhibit 10.5 to the Registrant’s Registration Statement on Form S-1 (File
No. 333-129108), which may be broader than the specific indemnification
provisions contained in the Delaware General Corporation Law.
Item 7.
Exemption from Registration Claimed.
Not
applicable.
Item 8.
Exhibits.
See
the Index to Exhibits attached hereto.
Item 9.
Undertakings.
(a) The
undersigned Registrant hereby undertakes:
(1) To
file, during any period in which offers or sales are being made, a
post-effective amendment to this registration statement:
(i) To
include any prospectus required by Section 10(a)(3) of the Securities
Act of 1933;
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(ii) To
reflect in the prospectus any facts or events arising after the effective
date of the registration statement (or the most recent post-effective
amendment thereof) which, individually or in the aggregate, represent
a
fundamental change in the information set forth in the registration
statement; and
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(iii) To
include any material information with respect to the plan of distribution
not previously disclosed in the registration statement or any material
change to such information in the registration statement;
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Provided
,
however
,
that paragraphs (a)(1)(i) and (a)(1)(ii) of this section do not apply
if
the information required to be included in a post-effective amendment
by
those paragraphs is contained in reports filed with or furnished
to the
Commission by the Registrant pursuant to Section 13 or Section 15(d)
of the Securities Exchange Act of 1934 that are incorporated by reference
in the registration statement.
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(2) That,
for the purpose of determining any liability under the Securities Act of 1933,
each such post-effective amendment shall be deemed to be a new registration
statement relating to the securities offered therein, and the offering of such
securities at that time shall be deemed to be the initial
bona
fide
offering
thereof.
(3) To
remove from registration by means of a post-effective amendment any of the
securities being registered which remain unsold at the termination of the
offering.
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(b) The
undersigned Registrant hereby undertakes that, for purposes of determining
any
liability under the Securities Act of 1933, each filing of the Registrant’s
annual report pursuant to Section 13(a) or 15(d) of the Securities Exchange
Act
of 1934 that is incorporated by reference in the registration statement shall
be
deemed to be a new registration statement relating to the securities offered
therein, and the offering of such securities at that time shall be deemed to
be
the initial
bona
fide
offering
thereof.
(c) Insofar
as indemnification for liabilities arising under the Securities Act of 1933
may
be permitted to directors, officers and controlling persons of the Registrant
pursuant to the foregoing provisions, or otherwise, the Registrant has been
advised that in the opinion of the Commission such indemnification is against
public policy as expressed in the Securities Act of 1933 and is, therefore,
unenforceable. In the event that a claim for indemnification against such
liabilities (other than the payment by the Registrant of expenses incurred
or
paid by a director, officer or controlling person of the Registrant in the
successful defense of any action, suit or proceeding) is asserted by such
director, officer or controlling person in connection with the
securities
being registered, the Registrant will, unless in the opinion of its counsel
the
matter has been settled by controlling precedent, submit to a court of
appropriate jurisdiction the question whether such indemnification by it is
against public policy as expressed in the Securities Act of 1933 and will be
governed by the final adjudication of such issue.
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Pursuant
to the requirements of the Securities Act of 1933, the Registrant certifies
that
it has reasonable grounds to believe that it meets all of the requirements
for
filing on Form S-8 and has duly caused this Registration Statement to be signed
on its behalf by the undersigned, thereunto duly authorized, in the City of
San
Francisco, State of California, on the 7th day of November, 2008.
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THOMAS
WEISEL PARTNERS GROUP, INC.
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By:
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/s/
Shaugn
Stanley
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Name:
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Shaugn
Stanley
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Title:
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Chief
Financial Officer
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POWERS
OF ATTORNEY
KNOW
ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below
constitutes and appoints Thomas W. Weisel, Lionel F. Conacher and Mark P.
Fisher, and each of them, his true and lawful attorney-in-fact and agents with
full and several power of substitution, for him and in his name, place and
stead, in any and all capacities, to sign any and all amendments (including
post-effective amendments) to this Registration Statement, and to file the
same,
with all exhibits thereto, and all documents in connection therewith, with
the
Securities and Exchange Commission, granting unto said attorneys-in-fact and
agents, and each of them full power and authority to do and perform each and
every act and thing requisite and necessary to be done in and about the
premises, as fully to all intents and purposes as he might or could do in
person, hereby ratifying and confirming all that said attorneys-in-fact and
agents or any of them, or their substitutes, may lawfully do or cause to be
done.
Pursuant
to the requirements of the Securities Act of 1933, this Registration Statement
has been signed below by the following persons in the capacities and on the
dates indicated.
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Signature
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Title
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Date
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/s/
Thomas
W. Weisel
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Thomas W. Weisel
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Director,
Chairman and Chief Executive Officer (principal executive
officer)
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November
7, 2008
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/s/ Shaugn
Stanley
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Shaugn
Stanley
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Chief
Financial Officer
(principal
financial officer)
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November
7, 2008
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/s/ Ryan
Stroub
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Ryan
Stroub
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Chief
Accounting Officer
(principal
accounting officer)
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November
7, 2008
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Thomas I.A. Allen
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Director
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/s/ Matthew
R.
Barger
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Matthew R. Barger
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Director
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November
7, 2008
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/s/ Michael
W. Brown
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Michael W. Brown
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Director
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November
7, 2008
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/s/ B.
Kipling
Hagopian
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B. Kipling Hagopian
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Director
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November
7, 2008
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/s/
Alton F. Irby
III
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Alton F. Irby III
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Director
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November
7, 2008
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Timothy A. Koogle
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Director
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/s/
Michael G. McCaffery
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Michael G. McCaffery
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Director
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November
7, 2008
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INDEX
TO EXHIBITS
Exhibit
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Number
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Description
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4.1
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Certificate
of Incorporation of the Registrant (incorporated by reference to
Exhibit 3.1 to the Registrant’s Registration Statement on
Form S-1 (File No. 333-129108) filed on October 19,
2005)
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4.2
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By-Laws
of the Registrant (incorporated by reference to Exhibit 3.2 to the
Registrant’s Registration Statement on Form S-1 (File
No. 333-129108) filed on October 19, 2005)
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4.3
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Form
of Common Stock Certificate (incorporated by reference to Exhibit
4.` to
the Registrant’s Registration Statement on Form S-1 (File
No. 333-129108) filed on October 19, 2005)
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4.4
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Second
Amended and Restated Equity Incentive Plan of the Registrant (incorporated
by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on
Form 10-Q for the three months ended June 30, 2008 (File
No. 000-51730) filed on August 8, 2008)
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4.5
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Certificate
of Designations (incorporated by reference to Exhibit 3.3 to the
Registrant’s Current Report on Form 8-K (File No. 000-51730), filed
January 3, 2008)
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5.1
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Opinion
of Sullivan & Cromwell LLP
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23.1
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Consent
of Deloitte & Touche LLP
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23.2
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Consent
of Sullivan & Cromwell LLP (included in Exhibit 5.1
hereto)
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24.1
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Powers
of Attorney (included on the signature page
hereof)
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