-----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, Oq0LqzEYeTy9VuOn7ip3P8W+7sNa9gGrTyM7T5uDFJkMOicj1b1roo/V4Bl7JE+t qDKDg6WQJ1BXkRC3TURJKw== 0000905148-08-002821.txt : 20080606 0000905148-08-002821.hdr.sgml : 20080606 20080606173704 ACCESSION NUMBER: 0000905148-08-002821 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20080304 FILED AS OF DATE: 20080606 DATE AS OF CHANGE: 20080606 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MATLIN DAVID J CENTRAL INDEX KEY: 0001251956 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886612 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126519500 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PATTERSON MARK R CENTRAL INDEX KEY: 0001251957 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886613 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126519500 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MatlinPatterson Global Opportunities Partners II L.P. CENTRAL INDEX KEY: 0001413868 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886615 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-651-9525 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MatlinPatterson Global Partners II LLC CENTRAL INDEX KEY: 0001413867 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886616 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-651-9525 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MATLINPATTERSON GLOBAL ADVISERS LLC CENTRAL INDEX KEY: 0001251962 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886617 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126519500 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MATLINPATTERSON ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001251960 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886618 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126519500 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MATLINPATTERSON LLC CENTRAL INDEX KEY: 0001178798 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886620 BUSINESS ADDRESS: STREET 1: 520 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126519500 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MatlinPatterson FA Acquisition LLC CENTRAL INDEX KEY: 0001413866 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886619 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-651-9525 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH FL CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MatlinPatterson Global Opportunities Partners (Cayman) II L.P. CENTRAL INDEX KEY: 0001413869 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886614 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-651-9525 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MPII Special Cayman Ltd. CENTRAL INDEX KEY: 0001437078 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08886611 BUSINESS ADDRESS: STREET 1: C/O MATLINPATTERSON GLOBAL ADVISERS STREET 2: 520 MADISON AVENUE - 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-651-9500 MAIL ADDRESS: STREET 1: C/O MATLINPATTERSON GLOBAL ADVISERS STREET 2: 520 MADISON AVENUE - 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4/A 1 efc8-0934_ex.xml X0202 4/A 2008-03-04 2008-03-07 0 0000782842 BROADPOINT SECURITIES GROUP, INC. BPSG 0001413866 MatlinPatterson FA Acquisition LLC C/O MATLIN PATTERSON GLOBAL ADVISORS LLC 520 MADISON AVENUE NEW YORK NY 10022 0 0 1 0 0001178798 MATLINPATTERSON LLC 0 0 1 0 0001251960 MATLINPATTERSON ASSET MANAGEMENT LLC 0 0 1 0 0001251962 MATLINPATTERSON GLOBAL ADVISERS LLC 0 0 1 0 0001413867 MatlinPatterson Global Partners II LLC 520 MADISON AVENUE 35TH FL NEW YORK NY 10022 0 0 1 0 0001413868 MatlinPatterson Global Opportunities Partners II L.P. 520 MADISON AVENUE 35TH FLOOR NEW YORK NY 10022 0 0 1 0 0001413869 MatlinPatterson Global Opportunities Partners (Cayman) II L.P. 520 MADISON AVENUE 35TH NEW YORK NY 10022 0 0 1 0 0001251957 PATTERSON MARK R 0 0 1 0 0001251956 MATLIN DAVID J 0 0 1 0 0001437078 MPII Special Cayman Ltd. C/O MATLINPATTERSON GLOBAL ADVISERS 520 MADISON AVENUE - 35TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock, par value $0.01 per share 2008-03-04 4 P 0 1594000 1.70 A 43093261 I See Footnotes The purpose of this amendment is to disclose a change in the ownership of MatlinPatterson FA Acquisition LLC, the direct owner of 43,093,261 shares of Common Stock of the Issuer. As of June 4, 2008, MatlinPatterson Global Opportunities Partners II L.P. and MatlinPatterson Global Opportunities Partners (Cayman) II L.P. hold 41.9031 percent of the membership interests in MatlinPatterson FA Acquisition LLC and MPII Special Cayman Ltd. holds the remaining 58.0969 percent of the membership interests in MatlinPatterson FA Acquisition LLC. See Exhibit 99.1 /s/ Mark R. Patterson 2008-06-05 EX-99.1 2 efc8-0934_ex991.txt Exhibit 99.1

(1) MatlinPatterson FA Acquisition LLC is the direct owner of 43,093,261 shares of Common Stock of the Issuer. MatlinPatterson Global Opportunities Partners II L.P. and MatlinPatterson Global Opportunities Partners (Cayman) II L.P. (together, the "Funds") hold 41.9031 percent of the membership interests in MatlinPatterson FA Acquisition LLC. MPII Special Cayman Ltd. holds the remaining 58.0969 percent of the membership interests in MatlinPatterson FA Acquisition LLC. MatlinPatterson Global Partners II LLC (the "General Partner") is the general partner of the Funds. MatlinPatterson Global Advisers LLC (the "Adviser") is the investment adviser to the Funds. MatlinPatterson Asset Management LLC holds 100 percent of the voting interest and equity of the Adviser and of the General Partner. MatlinPatterson LLC holds 100 percent of the equity of MatlinPatterson Asset Management LLC. Other than MatlinPatterson FA Acquisition LLC, each of the foregoing reporting persons disclaims beneficial ownership of the shares held by MatlinPatterson FA Acquisition LLC, except to the extent such reporting person holds an indirect pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. (2) David J. Matlin is an employee of the Adviser and a holder of 50 percent of the membership interests in MatlinPatterson LLC. David J. Matlin may be deemed to have shared voting and investment control (together with Mark R. Patterson) over the shares of the Issuer held by MatlinPatterson FA Acquisition LLC. He also has an indirect pecuniary interest in such shares through his indirect interest in a limited partner which holds an investment interest and carried interest in the Funds. His exact pecuniary interest therein is not readily determinable because it is subject to several variables, including without limitation, the internal rates of return of the Funds overall and with respect to their indirect investment in the Issuer. David J. Matlin disclaims beneficial ownership of any of the reported securities except to the extent of his pecuniary interest therein. -----END PRIVACY-ENHANCED MESSAGE-----