- Initial Statement of Beneficial Ownership (3)
June 09 2009 - 4:53PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF 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(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Stroub Ryan
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/20/2009
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3. Issuer Name
and
Ticker or Trading Symbol
Thomas Weisel Partners Group, Inc. [TWPG]
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(Last)
(First)
(Middle)
ONE MONTGOMERY STREET, SUITE 3700
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
CFO /
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(Street)
SAN FRANCISCO, CA 94104
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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4601
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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(1)
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(1)
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Common Stock
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5000
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$0
(1)
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D
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Restricted Stock Unit
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(2)
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(2)
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Common Stock
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2593
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$0
(2)
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D
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Restricted Stock Unit
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(3)
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(3)
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Common Stock
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7093
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$0
(3)
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D
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Restricted Stock Unit
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(4)
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(4)
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Common Stock
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20000
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$0
(4)
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D
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Restricted Stock Unit
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(5)
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(5)
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Common Stock
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8786
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$0
(5)
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D
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Explanation of Responses:
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(
1)
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Granted on 02/07/2006, the Restricted Stock Units will vest in equal installments on the first, second and third
anniversaries of the grant date and will be deliverable in equal installments on the third, fourth and fifth anniversaries
of the grant date. Each unit represents a right to receive one share of Common Stock or an amount equal to the fair market
value of the Common Stock underlying the unit on the 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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(
2)
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Granted on 02/09/2007, the Restricted Stock Units will vest in equal installments on the first, second, third and fourth
anniversaries of the grant date. Each unit represents a right to receive one share of Common Stock or an amount equal to the
fair market value of the Common Stock underlying the unit on the 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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Granted on 02/08/2008, the Restricted Stock Units will vest in equal installments on the first, second, third and fourth
anniversaries of the grant date. Each unit represents a right to receive one share of Common Stock or an amount equal to the
fair market value of the Common Stock underlying the unit on the 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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(
4)
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Granted on 08/06/2008, the vesting of this performance-based Restricted Stock Unit award is subject to the full or partial
satisfaction of certain performance criteria for the period July 1, 2010 through June 30, 2011, as described in the Current
Report on Form 8-K filed by Thomas Weisel Partners Group, Inc. with the SEC on August 1, 2008. Each Restricted Stock Unit
represents a right to receive one share of Common Stock or an amount equal to the fair market value of the Common Stock
underlying the unit on the 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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(
5)
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Granted in 02/27/2009, the Restricted Stock Units will vest in equal installments on the first, second and third
anniversaries of the grant date. 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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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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Stroub Ryan
ONE MONTGOMERY STREET
SUITE 3700
SAN FRANCISCO, CA 94104
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CFO
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Signatures
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/s/ Mark P. Fisher, Attorney-in-Fact for Ryan Stroub
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6/8/2009
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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 5(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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