-----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, PqSlyCh2THjP4Qw8/s4+eK+NZyMUFJMRmtrc3s1363ymjZUHGI8pps+WD4iwlZoU hqS0013OLSZk0Su/B3GLvQ== 0000950123-09-043969.txt : 20090918 0000950123-09-043969.hdr.sgml : 20090918 20090917213428 ACCESSION NUMBER: 0000950123-09-043969 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20090917 ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20090918 DATE AS OF CHANGE: 20090917 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BROADPOINT GLEACHER 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 091075530 BUSINESS ADDRESS: STREET 1: 12 EAST 49TH STREET STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-273-7331 MAIL ADDRESS: STREET 1: 12 EAST 49TH STREET STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BROADPOINT SECURITIES GROUP, INC. DATE OF NAME CHANGE: 20071228 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 8-K 1 y79330e8vk.htm FORM 8-K e8vk
 
 
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):
September 17, 2009
 
BROADPOINT GLEACHER SECURITIES GROUP, INC.
(Exact name of registrant as specified in its charter)
 
New York
(State or other jurisdiction of incorporation)
0-14140
(Commission File Number)
22-2655804
(IRS Employer Identification No.)
12 East 49 th Street, 31 st Floor
New York, New York
(Address of Principal Executive Offices)
10017
(Zip Code)
(212) 273-7100
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
 
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     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o     Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o     Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o     Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 


 

Item 7.01. Regulation FD Disclosure
On September 17, 2009, the Company issued a press release announcing its participation in the Bank of America Merrill Lynch 2009 Smid Cap Conference on Monday, September 21, 2009 at the InterContinental Boston in Boston, Massachusetts.
The presentation will be webcast live and is currently scheduled to occur at 11:20 A.M. EDT. The webcast, as well as a copy of the Company’s presentation materials, can be accessed on September 21, 2009 through the Investor Relations portion of Broadpoint.Gleacher’s website at www.bpsg.com. For those who cannot listen to the live webcast, the archived webcast will be available until October 9, 2009 directly through Broadpoint.Gleacher’s website. A copy of the press release is attached hereto as Exhibit 99.1.
The information in Item 7.01 of this Form 8-K and the Exhibit attached hereto shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall they be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended (the “Securities Act”), or the Exchange Act, except as expressly set forth by specific reference in such filing. The disclosure in this Current Report on Form 8-K, including the Exhibit attached hereto, of any information (financial or otherwise) does not constitute an admission that such information is material.
Item 9.01. Financial Statements and Exhibits
(d) Exhibits.
     99.1 — Press Release of Broadpoint Gleacher Securities Group, Inc. dated September 17, 2009.

 


 

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.
         
  BROADPOINT GLEACHER SECURITIES GROUP, INC.
 
 
  By:   /s/ Robert I. Turner    
    Name:   Robert I. Turner   
    Title:   Chief Financial Officer   
 
Date: September 17, 2009

 

EX-99.1 2 y79330exv99w1.htm EX-99.1 exv99w1
Exhibit 99.1
(BROADPOINT GLEACHER LOGO)
BROADPOINT GLEACHER SECURITIES GROUP TO PRESENT AT
BANK OF AMERICA MERRILL LYNCH 2009 SMID CAP CONFERENCE
NEW YORK, N.Y., September 17, 2009 — Broadpoint Gleacher Securities Group, Inc. (NASDAQ:BPSG) today announced its participation in the Bank of America Merrill Lynch 2009 Smid Cap Conference on Monday, September 21, 2009 at the InterContinental Boston in Boston, Massachusetts. Lee Fensterstock, Chief Executive Officer of Broadpoint.Gleacher, is currently scheduled to present at 11:20 A.M. EDT.
The presentation will be webcast live. The webcast, as well as a copy of the Company’s presentation materials, can be accessed on September 21, 2009 through the Investor Relations portion of Broadpoint.Gleacher’s website at www.bpsg.com. For those who cannot listen to the live webcast, the archived webcast will be available until October 9, 2009 directly through Broadpoint.Gleacher’s website.
About Broadpoint.Gleacher
Broadpoint Gleacher Securities Group, Inc. (NASDAQ: BPSG) is an independent investment bank that provides corporations and institutional investors with strategic, research-based investment opportunities, capital raising, and financial advisory services, including merger and acquisition, restructuring, recapitalization and strategic alternative analysis services. The Company offers a diverse range of products through the Debt Capital Markets, Investment Banking and Broadpoint DESCAP divisions of Broadpoint Capital, Inc., its new Investment Banking financial advisory subsidiary, Gleacher Partners LLC, its Equity Capital Markets subsidiary, Broadpoint AmTech and FA Technology Ventures Inc., its venture capital subsidiary. For more information, please visit www.bpsg.com.
Forward Looking Statements
This press release contains “forward-looking statements.” These statements are not historical facts but instead represent the Company’s belief regarding future events, many of which, by their nature, are inherently uncertain and outside of the Company’s control. The Company’s forward-looking statements are subject to various risks and uncertainties, including the conditions of the securities markets, generally, and acceptance of the Company’s services within those markets and other risks and factors identified from time to time in the Company’s filings with the Securities and Exchange Commission. It is possible that the Company’s actual results and financial condition may differ, possibly materially, from the anticipated results and financial condition indicated in its forward-looking statements. You are cautioned not to place undue reliance on these forward-looking statements. The Company does not undertake to update any of its forward-looking statements.
FOR ADDITIONAL INFORMATION
PLEASE CONTACT
:
Investor Contact:
Robert Turner
Chief Financial Officer
Broadpoint Gleacher Securities Group, Inc.
212.273.7109
Media Contact:
Ray Young
Halldin Public Relations
916.781.0659
ray@halldinpr.com

 

GRAPHIC 3 y79330y7933001.gif GRAPHIC begin 644 y79330y7933001.gif M1TE&.#EA5P$>`/?_`#=+><+,VNWQ].ON\T-5>B0[;``=8X>4K/K\_/O[_?#R M]=SCZALS9\K2W/S\^'6"G%MKD_S[_8N9LN'E[./I[10L90$B7+.[R[K#T?__ M_/K]^?S[^O7Y^O/U^*&KOOWZ]L3+U0`B::JRQ-#9X.7K\*2NPFQ[G.W.TSY1 M=\Q8;[;`S9"=L@`:5/3W]OK[]OK\]WF$HYNEO'*!H0`46\S5X?S[___\^DM? M@OO]]I6@M`LE7``A92Q"=&-SE-'6WE)CB___^=G=Y/_\_/SZ]_KZ^___^``4 M5``A8!,J7-K@YL,#(OO\__S]]D]ABI2ANYRHO:2QQO_Z_+:]T/GV^M79XD%6 M@H.0J/7]^?S\_P`=7?_[^?;\_W!^FTM>BGR*H_?Y_0`96?_\^``=6.SU]P`8 M7_W__PHD8O[^\"M`:T)9@?_Z]ZRVR%MLC?C[^P`D80`53OKZ^-#4X/_]__S_ M_6QZE5)DA/C\^FQZH-[H[3Y1?]??Y_?\_-38Y``D9K8$)_'X^+;!T@XK:3)% M"SN__[_]O>Z/?X^0LB5_?__/G\^(Z:KGZ,J%USE_WX M_?C]_Y:DM];@Y@,@50\H7NOQ[_W_][_(U/SX],G)U/_\]``D;?KX^W6&J/CZ M\1TU;^;P\GB"IV)SCOK\\O/]^QDP8?CX]_+Y^_K_^M/;X/C____X_?[[\M7A MZ04B7^CN\07HZ@N-37_S\^_W\^?S\^OW\^_O]^?O]_/W]_/W]^$=5B/_Y_YF?P%]K MAU9ECU9GA[[%U__^`B0@1Q M&4V/TV*C'XD<59!D$4,&#(M?#-J)\*OL#+@:Y:YFW=KU:^3C%/?2(C(5O M)B&'$&UJ%,`,T%UQR257"=5@!(XXP?:3@3F_5F2# M`DDD$<0$F2"`+$3@A#..1./8D$$&I?J#K41%D,#`#D=4,XJ6_KQW402#E+$" M"Q;T80`+`,!PC!1KK/`(`V`8,$,W$[P0!0*&U$F<5[-.!)$#^$MS%.0G/X@Q,O&S"1@`NM_7'N#M50D'-&0P`Q M22D6N'%$*9T,0+6K2<"`#1H4E.'`MAL.Y^%//"8`!R1O'_T4$5&74XX#+DBR M`>%,(X"3EAO\W6XY#\$1!D[E"-^//T20$_(C8(0`W;=,&Y)!0K/:L,%$")## M!/-[=^R`!K."O8$+..,T*4XRZU,S.T\1`EJ`4(8UU&L'FFA`!A`0@7``8QY. M<$().M`/`7B@!SVP!U!JX#9)?HPA`$Z0 M03)ZP`A/7&`,Y*%(. M4X1SD(,<9X,#*,H0"RE8X1--Z`8[Z!"#^V2@6?[04!@VT(]-@,`*$*!&$Y+A MA%$H2P-G*0+X6.&-MM#`"V.491+(L\6)L*8?'H1!)6[0#BZ(8`#]",,';EF# MK:$B!S'(@2C+,/^/6;!#9FYP`QG8@05*1@0!+PC#,DH!(4W$H0P(RL`(D,`" M,%2C`PT```L6@80%E(,3GKI`'BP0(S)\AP6V\()3&E*#AYRC`U80A`Z^(Z-% MS$`,@EC#W-87$3OP(!J=*(,7WO`&,O3O?P65 M2!L<4,!?B"]T&9!&%#+`AW-9``V3*,`,=M`'!N"A"+0@QP$T\:`=5#5@B7T# M"O30#R(D@#,U,(6"M2,&,8"A36#0Q!.`>RHX]`,#U3`"NL3PUAD8P`A-X`&Z MB+14.8A"#'T0PR?8,-2G@H'!1WA#-VH77'^4P1VP1 M*>7"PB&.(2R!#F_X&1@*P`X(`$`,TGY#'?[@#U$3H0CU>&HP"B`(0<"BHJPH MDR@Z'!%F2H'"K,B"H;O0C6H$[%XBP-JO%4\&1`@"`(%8,*NKL8`,2*0?>G!] M8C61AT=TX?,_TT0)JN:/SL+`L!:`P"+[S`(6U=L``)"`]K5_`&-4XU$SR`/_ M!80`CW"`HQ^Z.%P`T,!@9>,`<1``[GD`'&P`(_0PIP4PJX`T1X@V>0`()H0#'_V`++,<"*R8$Y;`!0B`` MSV`%J$`"'3`&$S`/U9`%&S=F@($`S&`//,`",E@-)2``AR`.$Z!(+)`#YE`. M0O!K+A(>`=`!+4`#F*1XV=`/H;`)X9``/3`#K(8&*O!;99`$C""*8D`[4&O_`)8P`$O9`.3(1^_+`# M-),%%>`$.%04Y3`+,["%`-!O_0`$Y],/*X"(1X`$#6`.ER`.Y\!ET_!W5@!D M65`%+7`)X``$0<`//L,"UW`^`$D4#<``/B,WE6B"8C!N6=`-^B<'&=!"P``` MH@@&-Y`)2R`.$E4!%J`/WO\@`1`C!`%)`GF0!0G'!IP0!1$`!$EH&4Q89F>V M`V)P``&9$#'P#7UP!!5``T6``&XC`)\#"_?P/"H1!XMT!(A0'/Z@`3B0`0=0 M`;#``&RY)/Q0`5:0`4R0,!PR>!&0`.T0/F`@`TOS M+9`&!0`,9$`XUL`0:4`;7$&WH%,)8`X*@`)`F06C)PD\ M0@0N0`A$L36@&0(L``,E40XX<`O]X`2I8P#4``>'H`$"_\H"J)8/_W@^WY(! M#2"A9'`#;0`8&6"-+4(&W=`!0J`&6O`/$ZH/.V`&2%`!JJJJ@?`++)`%9(!C M)!`)3#"=NA"/SD`&CR`'@Q`&Z0`/*X%P!H`"+6`#Y^`/@P$.@]`/)2"89-`% M5W`.$7`+"%`&5(1T/```-\`%V3"C9-B5C"H#9.`,>!=/83"E2Q`&0+``65B@ M)"F#35`&C6`##^$3-M`!B^$&%G`!_7`.'/`#6N$-*P9I$1$%@V`(W:`5W[`& M94`.7Y:B2B8"(TP!)P0 M`77F!`:@#V1P!\!%#H/!!':`#T!``Z4PE3PP!J<@"9(P!@^@`]:U"(OP=8C% M`%V9"^8``5]G`"NV7>4@#IL@#D(0ITJT*P8*9&(`J(/P$*9Q"4)@!Q#0)W3: M#Y&@`"[_:9T*%"@UP`Q%(*XSVPG]X+!'J:)-^&*_T`=@T`1[,`=+,"OFL`_= M\"`:RX1$K(\:BTJ00(SNFO+IRVY@`/C(`4R(`L0#`,\D!T:^1=46AS] M\`0(IP^(L*H5D*JL&E!DX`E%*@ES4`*N)U2\:VP!E07'VP^*H`FJ0PV.,`?E ML`1+``XR`0[D,"N@N0/>@"+P(`WW*P=WQI1I,`5R8`..D`9`2:$>[,'!4&\5 MX'$P(PMY9@#=X`@V(!C^4)R=6@G/DP$`F1!/T**/&9V<6P'W4`1$P`D)\`%% MX`1]`@9B!PHMA0`:L`G%T`C+4`&J@P:F8(0;T%[9,0.(``L%_P`+P7!BJN-@ MFCF\UW@$QR",H9"\Y0`.0M`!56`![OICB47"IQ`*XX``H;`$-D`,S:$/69`# ML#@>L`$2$.Y4`,0&"-^L`"EN5%[1NQ$/H+.Y`%3=`&-HP`K-(" MW<`8-7JC0&`NC,0`>G"?&@`*$8`/Y+`$H=!5:6,(N.#$9;(-E+`*X5"#JS0V MX"._U^`5%^P5_1`#&VP`O,N[T5#/>Q4-7+`C0$`92T<&.Z#(L%`!3HHN+EP& MT^D.,FP`34`$6(##(.H3II')WV-8?R(=:>,\1YP%24PB+2#.;C`#][P((QT- M([T(+!`'13JX,KB1X6`:&U"<]4(&E?^PM@>E+>DZ`!,<`F!0M%YTJSM@`;`@ M``ND`36@!4#@`=]@NI50#E%0*@C`S3@`!.Z@`U,)`"W0"':F`Q80`J1`!P$0 M"Z9``0&0#;"`I1,`!%A0!G?@FP9@6>)P-INB!1E@P#OF'M&;6#V0`B@1,\L-3D:(0PP3@@`"=(0`>1@B0\A)]+00U;``DS'`+X`!*M0%N(0 M#C;0VT(@!]O+SE)*E[J#P2+`8!90`(ER!XK2W";`"!4-TSP`COU@]6T"=B,`L<"9`9 M0`D_289I[3P2,`-H1@WIN@I3>M3]D`C>$`*?7))'@`8#@#5TR`0?T`^88"4A M@`BB=`Y88`Q`1@8R()=RY`\.\`'17`#9809=`3.9_;YFQME$X-FW$-I',-H( M$,T@288[N@&0`!Q:P`G%0`F[L`N&``Z28`/SMP/VUP.44`1G\!.@_Z(%@V.V M%>P`Q&U*7@2[<,L#7_!W8V,W`6`&@6P/94#&9-P/VY!G+@Q<94`!,RIS72&J MG)$`Y(`S@R`.(%4B66`!!O#>7A;?\]T,AR!H,J"!!H`,EIXS"#`$O`F4++`" M_6#@8,P=8CRIWW((D5`&4@"!/!T#\`S41U``1$V'7_6%&ELF^]P/+F#+E]`/ M8HA8+-`6K6$,W+M\'I8`&]`($U`-IGWC<@`".D`SO]`66O"?EC,&!)`=11XA M8F`%E[54+E`.96#EVB$(^N=%%^`-:&8+HD0$-N$`YR.T8L:?_F"4$*O99V[, M:2X10K#FHFVCI$T!YW($L+``J70(B!,!\?]P!4!`"4!0!"_@"$,P!XSP!C9" M"IZP!/@"%$@ZVAF MZY:#ZQQ]"X;`J)3QMQ10!$P`"8U0!*VA`)P`!*E`#B\]X#*([,H>U&A6"42P M!VVP!WOP!6!X##.J.CK0`$!P$T"-X;ZGD#*1`1Y@;#OP#59`03@Q"4G$TP`P M!F%0[EQ@6%B>F>=3!D++:@R0UDM@#BV`#BS@#`9@"_R*$R3`!HXZE=!+DO*( M0"O0!CB!"P?P"_7_8@3HN00;$`8=D`>^:6CRD#,<<``2+[].4`11D``>CY0@ M3\PBK^9L[N;13.]]$`R,(("1A6!KBIR+!A7#\/8$+L0')@0@<%DSZ).1+B"(,)1324*R-%DP5G M+'1`B`'%$P\P6=RXV1%H1(8E,$6))A`#G\V@,D= M)`Q@A04D>HA!A`,(F*D/(V[HX)P-(LA@F%+B`D"!?MB2`X-?],FB"2+,B0R( M3+I1+Q@,,G``G%/&`,``-RRH1@9DFK"BGTOFL,0/)93PXP1*B#@-`R18Z`,K M;@C(QQ49VD&#!2,,"`$,;M;(()QR3BI$)6X"^#(".2A``S0#=-C&@PM$@.'* M-RI0@1*8DJA`06\@B$,!!7QPY96(X%'F`HH80'(OK& M&P_ZT>*01\#8X9NT-HC,+3,LR`*=3,HHQX%^CIEI2QZL6..")]@H908C"@$F MDG#"Z>`P$*^Q8XHX!*<8:(Y!&4094CG%$#$.9G=%H0 M8N0EN'A#RW.SR$)=`P"O8P`L_#GE5[VR6*$,R-CZY]R,5\YX^G.-`,.6!TCH M!PXXPLE@A%MGL$6`XK[UQX4,[&'D%R.((E=]`XR8BB``'G`TR:`"--\BP MX-P91*,:V2";$;BQ@!!MP`4.J$$GD&"$+`3/`&!X0R%HP(-%S(`4[RE0/^:3 M_[([Q,`6UGO?9V:`!@STXQ4.^-8KY'`!-!B!#+ZCH1%(,0M[]`,C`$#,P"71@!@9)9(L06O$`%%2A&PT00GRB$=;%U*&&HS#`0X@1U(F<0T4P*(4.M!!!0KP@Q5@HA]`6(4: MM(`_&[0!!EGM!@UH$,2#0"!"N"6_)13S,@HJ,'N$<_F`")&N##"IHA``;* MT$Z;C:`;F.%")H;F#S4D)0"WK8`9S,`/`,!@!&4`P@>($0%QE"$'*$@#"D0P M!^3^PP[K9>]Z]V`'FVH$"+=#``*6@`!BM*%^1&B%),(ASF\A`!P.L$%&@$$# M5(!@`GO(2`0<<`YQ^$.B_RU#&11`A4F,P!09*(,CVK"%*]1B".`(!0*BX`\$ MA*T?`_#!)$:!BXS`X0N9<$0Q(A`!#9Q4#'28`X=-,8))+*,%9<@`)#)DOH*4 M(R-V_Y@`"%`1AP%D1`A:@%UD'#`$(NRA#0GXECBF\05'<.`+-HU,`H;0AGUP MPA%PD$0H]E`.!)QFLLM8!C`R4@Y)-.,/S7C%+5J!`#O<.`)1$((#@!!/1TQ@ M$HH``16BG)%!?&`#-:C!2\+A@"]\X0HH0(4>.I`1+6C!`>60 MQ@8XL04B:.`*^OW6/^1P;WSG.]^1L>\2:H``(S7H342A0W(F>`.$$=]_QL*(D@BW!D!`CL=(`0Y#%P(LZ58 MU/(Q!TEH(2D:D00XR.$`=GZ+K@@HQP9&GA$;:$%D.E]F!@AN(%&!(PIR:,1\ MS8>`9TQ1,DMA`+2B!!4I0XGX9HNA:-M"K#&1=RO<#.*7! M>S]R"`$(12BYR`IBTPUHP>$9R,66:X"%O7$\`O&JK48N(8DA%#CMYQA".9PB1D)7_G+9S[P2=]\ MZ$=?^M.G?O3_47WL9[_YC_>@?\!PAPP@W]K:)W_YS7]^]*?_]]=7?_NKS_T8 M_`(1WP"_^-U_?_SG7__W_T?__?]_``Q``1Q``BQ``SQ`!$Q`!5Q`!FQ`!WQ` - -"(Q`"9Q`"G3`@```.S\_ ` end
-----END PRIVACY-ENHANCED MESSAGE-----