-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C/nlsaZWowH2XXMV7P0b1EaDViPWa+a5tKiuacivN1kyBPBxpZZL4wRCjpkgUOE7 w2gbvWAkCxVMlkq+D8oDig== 0000905148-08-002824.txt : 20080609 0000905148-08-002824.hdr.sgml : 20080609 20080606175112 ACCESSION NUMBER: 0000905148-08-002824 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20080609 DATE AS OF CHANGE: 20080606 GROUP MEMBERS: DAVID J. MATLIN GROUP MEMBERS: MARK R. PATTERSON GROUP MEMBERS: MATLINPATTERSON ASSET MANAGEMENT LLC GROUP MEMBERS: MATLINPATTERSON FA ACQUISITION LLC GROUP MEMBERS: MATLINPATTERSON GLOBAL ADVISERS LLC GROUP MEMBERS: MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS (CAYMAN) II LP GROUP MEMBERS: MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS II L.P. GROUP MEMBERS: MATLINPATTERSON GLOBAL PARTNERS II LLC GROUP MEMBERS: MATLINPATTERSON LLC GROUP MEMBERS: MPII SPECIAL CAYMAN LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BROADPOINT SECURITIES GROUP, INC. CENTRAL INDEX KEY: 0000782842 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 222655804 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45559 FILM NUMBER: 08886671 BUSINESS ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10119 BUSINESS PHONE: 518-447-8613 MAIL ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10119 FORMER COMPANY: FORMER CONFORMED NAME: BROADPOINT SECURITIES GROUP INC. DATE OF NAME CHANGE: 20071228 FORMER COMPANY: FORMER CONFORMED NAME: FIRST ALBANY COMPANIES INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MATLINPATTERSON LLC CENTRAL INDEX KEY: 0001178798 IRS NUMBER: 134202931 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 520 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126519500 SC 13D/A 1 efc8-0935_6621094formsc13da.htm efc8-0935_6621094formsc13da.htm
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549
 
SCHEDULE 13D
 (Rule 13d-101)
 
Under the Securities Exchange Act of 1934
 
(AMENDMENT NO. 5)
 
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)*
 
BROADPOINT SECURITIES GROUP, INC. (f/k/a First Albany Companies Inc.)
 (Name of Issuer)
 
COMMON STOCK, PAR VALUE $0.01 PER SHARE
 (Title of Class of Securities)
 
318465101
 (CUSIP Number)
 
Robert H. Weiss
General Counsel
MatlinPatterson Global Advisers LLC
520 Madison Avenue
New York, New York 10022
Telephone: (212) 651-9525
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
 
June 4, 2008
 (Date of Event which Requires Filing of this Statement)
 
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-l(e), 240.13d-l(f) or 240.13d-l(g), check the following box |_|
 
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss. 240.13d-7 for other parties to whom copies are to be sent.
 
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
 
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Exchange Act”) or otherwise subject to the liabilities of that section of the Exchange Act but shall be subject to all other provisions of the Exchange Act (however, see the Notes).
 
 
 
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  MatlinPatterson FA Acquisition LLC     
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  Delaware      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        o
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  PN      

 
 
2
 
 
 
CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  MPII Special Cayman Ltd.    
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  Cayman Islands      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        o
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  CO      
 
 
 
3
 
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  MatlinPatterson Global Opportunities Partners II L.P.     
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  Delaware      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        o
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  PN      

4
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  MatlinPatterson Global Opportunities Partners (Cayman) II L.P.     
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  Cayman Islands      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        o
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  PN      

5
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  MatlinPatterson Global Partners II LLC    
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  Delaware      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        o
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  HC      

6
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  MatlinPatterson Global Advisers LLC    
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  Delaware      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        x
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  IA      

7
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  MatlinPatterson Asset Management LLC    
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  Delaware      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        x
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  HC      
 
 
8
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  MatlinPatterson LLC    
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  Delaware      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        x
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  HC      
 
 
9
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  David J. Matlin    
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  United States      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        o
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  IN      
 
 
10
 
 
 CUSIP NO. 318465101       
         
 SCHEDULE 13D    
  NAME OF REPORTING PERSON      
 1 S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON     
         
  Mark R. Patterson    
 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 
 (a)    
 o
     
 (b)    
 o
         
 3 SEC USE ONLY      
         
         
 4 SOURCE OF FUNDS      
         
  AF, WC      
 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)    
         
       
o
 6 CITIZENSHIP OR PLACE OF ORGANIZATION    
         
  United States      
     7 SOLE VOTING POWER  
         
      -0-  
     8 SHARED VOTING POWER  
 
 NUMBER OF
      
 
 SHARES
   43,093,261  
 
 BENEFICIALLY OWNED
  9 SOLE DISPOSITIVE POWER  
 
 BY EACH REPORTING
      
 
 PERSON
   -0-  
 
 WITH
  10  SHARED DISPOSITIVE POWER  
         
      43,093,261  
 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    
         
  43,093,261      
 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    
         
        o
 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    
         
  62.0245%      
 14 TYPE OF REPORTING PERSON      
         
  IN      
 
 
11
 
INTRODUCTION.
 
This amendment (“Amendment No. 5”) amends the Schedule 13D Statement, dated May 14, 2007 (the “Statement”, and as amended by Amendment No. 1 thereto, dated July 24, 2007, Amendment No. 2 thereto, dated September 21, 2007, Amendment No. 3 thereto, dated February 26, 2008, and Amendment No. 4 thereto, dated February 29, 2008, the “Amended Statement”) filed on behalf of (i) MatlinPatterson FA Acquisition LLC, a Delaware limited liability company (“Matlin FA”), (ii) MatlinPatterson Global Opportunities Partners II L.P. (“Matlin Partners (Delaware)”), a Delaware limited partnership, (iii) MatlinPatterson Global Opportunities Partners (Cayman) II L.P. (“Matlin Partners (Cayman)” and, together with Matlin Partners (Delaware), the “Matlin Partners”), a Cayman Islands limited partnership, (iv) MatlinPatterson Global Advisers LLC (“Matlin Advisers”), a Delaware limited liability company, by virtue of its investment authority over securities held by each of the Matlin Partners, (v) MatlinPatterson Global Partners II LLC (“Matlin Global Partners”), a Delaware limited liability company, as the general partner of each of the Matlin Partners, (vi) MatlinPatterson Asset Management LLC (“Matlin Asset Management”), a Delaware limited liability company, as the holder of all of the membership interests in Matlin Global Partners and Matlin Advisers, (vii) MatlinPatterson LLC (“MatlinPatterson”), a Delaware limited liability company, as the holder of all of the membership interests in Matlin Asset Management, (viii) David J. Matlin and Mark R. Patterson each, as a holder of 50% of the membership interests in MatlinPatterson, (ix) Christopher Pechock and Frank Plimpton, each an employee of Matlin Advisers, as the persons named in the Proxies described in the Statement, and (x) MPII Special Cayman Ltd., an exempted company incorporated in the Cayman Islands (“MPII Special”).  Matlin FA, Matlin Partners (Delaware), Matlin Partners (Cayman), Matlin Advisers, Matlin Global Partners, Matlin Asset Management, MatlinPatterson, David J. Matlin, Mark R. Patterson and MPII Special are collectively referred to in this Amendment No. 5 as the “Reporting Persons” and each is a “Reporting Person.”  Christopher Pechock and Frank Plimpton ceased to hold any voting rights in the shares described in the Statement as of September 21, 2007 (as reflected in Amendment No. 2 to the Statement and Amendment No. 3 to the Statement) and are no longer Reporting Persons for the purpose hereof.  The Statement, as previously amended, disclosed the shared beneficial ownership by the Reporting Persons (other than MPII Special) of 43,093,261 shares (the “Shares”) of the common stock, par value $0.01 per share (“Common Stock”), of Broadpoint Securities Group, Inc. (the “Issuer”) held by Matlin FA.  On June 4, 2008, MPII Special was admitted as an additional member of Matlin FA holding preferred membership interests giving MPII Special the ability to elect a majority of the board of directors of Matlin FA.  Matlin Partners (Delaware) and Matlin Partners (Cayman) are the sole shareholders of MPII Special.  This Amendment No. 5 is being filed to disclose MPII Special’s shared beneficial ownership of the Shares.  Capitalized terms used and not defined in this Amendment No. 5 shall have the meanings set forth in the Amended Statement.  Except as specifically provided herein, this Amendment No. 5 does not modify any of the information previously reported on the Amended Statement.
 
ITEM 2.    IDENTITY AND BACKGROUND
 
Item 2 is amended and supplemented by adding the following:
 
(x)  MPII Special is an exempted company incorporated in the Cayman Islands.  The principal business of MPII Special is to invest in equity and debt securities of companies.
 
ITEM 7.    MATERIAL TO BE FILED AS EXHIBITS
Item 7 is amended and supplemented by adding the following:
 
13    Joint Filing Agreement dated as of June 4, 2008 among the Reporting Persons.
 
 
12
 
 
SIGNATURES
 
After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this Statement is true, complete and correct.
 
Dated: June 4, 2008
 
  MATLINPATTERSON FA ACQUISITION LLC  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Member  
       
 
 
  MPII SPECIAL CAYMAN LTD.  
       
 
By:
/s/ David J. Matlin  
    Name:  David J. Matlin  
    Title:    Chief Executive Officer and President  
       
 
 
 
MATLINPATTERSON LLC
  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Member  
       
 
 
  MATLINPATTERSON ASSET MANAGEMENT LLC  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Chairman  
       
 
 
  MATLINPATTERSON GLOBAL ADVISERS LLC  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Chairman  
       
 
 
13
 
  MATLINPATTERSON GLOBAL PARTNERS II LLC  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Director  
       
 
 
  MATLINPATTERSON GLOBAL OPPORTUNITIES
PARTNERS II L.P.		  
       
  By: MatlinPatterson Global Partners II LLC, its general partner  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Director  
       
 
 
  MATLINPATTERSON GLOBAL OPPORTUNITIES
PARTNERS (Cayman) L.P.
  
       
  By: MatlinPatterson Global Partners II LLC, its general partner  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Director  
       
 
 
  DAVID J. MATLIN  
       
 
By:
/s/ David J. Matlin  
    Name:  David J. Matlin  
       
 
 
  MARK R. PATTERSON  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
       
 
14

 
 

 
 
15
 
 EX-1 2 efc8-0935_6621094ex1.htm efc8-0935_6621094ex1.htm
EXHIBIT 1
 
JOINT FILING AGREEMENT
 

 
In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of MatlinPatterson FA Acquisition LLC, MatlinPatterson LLC, MatlinPatterson Asset Management LLC, MatlinPatterson Global Advisers LLC, MatlinPatterson Global Partners II LLC, MatlinPatterson Global Opportunities Partners II L.P., MatlinPatterson Global Opportunities Partners (Cayman) II L.P., David J. Matlin, Mark R. Patterson and MPII Special Cayman Ltd., on behalf of each of them a statement on Schedule 13D (including amendments thereto) with respect to shares of common stock, par value $0.01 per share, of Broadpoint Securities Group, Inc., formerly known as First Albany Companies Inc., a New York corporation, and that this Agreement be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument.
 
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 4th day of June 2008.
 
 
 
  MATLINPATTERSON FA ACQUISITION LLC  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark L. Patterson  
    Title:    Member  
       
 
 
  MPII SPECIAL CAYMAN LTD.  
       
 
By:
/s/ David J. Matlin  
    Name:  David J. Matlin  
    Title:    Chief Executive Officer and President  
       
 
 
 
MATLINPATTERSON LLC
  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Member  
       
 
 
 
MATLINPATTERSON ASSET MANAGEMENT LLC
  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Chairman  
       
 
 
 
 
 
 
 
 
 
 
 
MATLINPATTERSON GLOBAL ADVISERS LLC
  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Chairman  
       
 
 
 
MATLINPATTERSON GLOBAL PARTNERS II LLC
  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Director  
       
 
 
 
MATLINPATTERSON GLOBAL OPPORTUNITIES
PARTNERS II L.P.
  
       
  By:
MatlinPatterson Global Partners II LLC,
its general partner
  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Director  
       
 
 
 
MATLINPATTERSON GLOBAL OPPORTUNITIES
PARTNERS (Cayman) L.P.
  
       
  By:
MatlinPatterson Global Partners II LLC,
its general partner
  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
    Title:    Director  
       
 
 
 
DAVID J. MATLIN
  
       
 
By:
/s/ David J. Matlin  
    Name:  David J. Matlin  
       
 
 
 
MARK R. PATTERSON
  
       
 
By:
/s/ Mark R. Patterson  
    Name:  Mark R. Patterson  
       
 
 
 
 
 
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