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| TWPG > SEC Filings for TWPG > Form 8-K on 29-Jul-2009 | All Recent SEC Filings |
29-Jul-2009
Results of Operations and Financial Condition, Regulation FD D
On July 29, 2009, Thomas Weisel Partners Group, Inc. (the "Registrant") issued a press release announcing financial results for its second quarter ended June 30, 2009. A copy of the Registrant's press release containing this information is being furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
The information furnished pursuant to this Item 2.02, including Exhibit 99.1, shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933 or the Exchange Act, whether made before or after the date hereof, regardless of any general incorporation language in such filing.
The information furnished in this report, including Exhibit 99.1, shall not be deemed to constitute an admission that such information or exhibit is required to be furnished pursuant to Regulation FD or that such information or exhibit contains material information that is not otherwise publicly available. In addition, the Registrant does not assume any obligation to update such information or exhibit in the future.
Item 5.02 Compensatory Arrangements of Certain Officers.
(e) On July 27, 2009, the Registrant entered into the President Employment Agreement with Lionel F. Conacher, our President and Chief Operating Officer. The President Employment Agreement replaces the Amended and Restated President Employment Agreement and will take effect on January 1, 2010. The President Employment Agreement is substantially similar to the Amended and Restated President Employment Agreement that was filed as an exhibit to our 2008 Annual Report on Form 10-K, except for changes made to remove provisions relating to the "transition period," which will be completed as at December 31, 2009.
The description of the President Employment Agreement above is qualified in its entirety by reference to the President Employment Agreement of Lionel F. Conacher, a copy of which is filed as Exhibit 10.1 and is incorporated by reference herein.
(e) On July 27, 2009, the Registrant entered into a Relocation Agreement with Conacher. The Relocation Agreement sets forth terms and conditions applicable to Conahcer's relocation from Canada to the Registrant's San Francisco Office.
The description of the Relocation Agreement above is qualified in its entirety by reference to the Relocation Agreement, a copy of which is filed as Exhibit 10.2 and is incorporated by reference herein.
(e) On July 27, 2009, the Registrant entered into a Side Agreement with Conacher. The Side Agreement sets forth the agreement with miscellaneous matters relating to the Relocation Agreement and the President Employment Agreement.
The description of the Side Agreement above is qualified in its entirety by reference to the Side Agreement, a copy of which is filed as Exhibit 10.3 and is incorporated by reference herein.
The Registrant is announcing that during the time period between August 5 and September 30, 2009 it may make presentations to individual institutional investors. A copy of the presentation materials to be utilized during these presentations will be available prior to the initiation of any presentations on the Investor Relations section of the company's website at www.tweisel.com. These materials will be removed from the website after a period following the conclusion of these presentations.
The information furnished pursuant to this Item 7.01 shall not be deemed "filed" for purposes of Section 18 of the Exchange Act or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of the company under the Securities Act of 1933 or the Exchange Act, whether made before or after the date hereof, regardless of any general incorporation language in such filing.
The information furnished pursuant to this Item 7.01 shall not be deemed to constitute an admission that such information is required to be furnished pursuant to Regulation FD or that such information contains material information that is not otherwise publicly available. In addition, the Registrant does not assume any obligation to update such information in the future.
On July 29, 2009, the Registrant issued a press release announcing a strategic alliance between its affiliate, Thomas Weisel Asset Management LLC ("TWAM"), with Geologic Resource Partners LLC ("GRP"), a $330 million investment management company that invests globally in early stage precious and industrial metals and mining companies. TWAM will consult and guide GRP in asset gathering, operations, compliance and administration. GRP will assist TWAM in building out its asset management capabilities in the natural resource sector.
A copy of the Registrant's press release containing this information is being furnished as Exhibit 99.2 to this Current Report on Form 8-K and is incorporated herein by reference.
The information furnished pursuant to this Item 8.01, including Exhibit 99.2, shall not be deemed "filed" for purposes of Section 18 of the Exchange Act or otherwise subject to the liabilities under that Section and shall not be deemed to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933 or the Exchange Act, whether made before or after the date hereof, regardless of any general incorporation language in such filing.
The information furnished in this report, including Exhibit 99.2, shall not be deemed to constitute an admission that such information or exhibit is required to be furnished pursuant to Regulation FD or that such information or exhibit contains material information that is not otherwise publicly available. In addition, the Registrant does not assume any obligation to update such information or exhibit in the future.
(d) Exhibits.
The following exhibits are furnished as part of this Current Report on Form 8-K:
99.1 Press release of the Registrant, dated July 29, 2009.
99.2 Press release of the Registrant, dated July 29, 2009.
The following exhibits are filed as part of this Current Report on Form 8-K:
10.1 President's Employment Agreement
10.2 Relocation Agreement
10.3 Side Letter
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