form8k.htm
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):
July
2, 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 49th Street,
31st
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
5.02. Departure of
Directors or Certain Officers; Election of Directors; Appointment of Certain
Officers; Compensatory Arrangements of Certain Officers.
On July
2, 2009, Marshall A. Cohen and Bruce Rohde were unanimously elected by the Board
of Directors of Broadpoint Gleacher Securities Group, Inc. (the “Company”) to
fill two new seats created as a result of the Board of Director’s action to
increase the size of the Board to eleven members. The Board of
Directors determined that Messrs. Cohen and Rohde are “independent directors” as
defined in the NASDAQ Stock Market listing standards. In addition,
Mr. Cohen was also appointed to serve as an independent member of the Executive
Compensation Committee and the Board’s Committee on Directors and Corporate
Governance, and Mr. Rohde was also appointed to serve as a member of each of the
Board’s Audit and Executive Compensation Committees and as a member and Chair of
the Board’s Committee on Directors and Corporate Governance.
Mr. Cohen
was President and Chief Executive Officer of The Molson Companies Ltd. from 1988
through 1996. Prior to that, he was a senior official with the
Government of Canada for 15 years, holding various appointments including Deputy
Minister of Energy, Industry Trade & Commerce, and Finance. Since
1996, Mr. Cohen has served as Counsel at Cassels Brock & Blackwell LLP,
Barristers and Solicitors, a full service law firm in Toronto. Mr. Cohen
also serves on the Boards of Directors of Barrick Gold Corporation, TD
Ameritrade and TriMas Corporation.
Mr. Rohde
has served in several roles with ConAgra Foods, Inc. since 1996, including
President, Vice Chairman, and Chief Executive Officer. He is
currently Chairman and CEO Emeritus of ConAgra. Mr. Rohde is also the
Managing Partner of Romar Capital Group and of counsel to Jones, Jones, Vines
& Hunkins. Mr. Rohde holds two degrees from Creighton University, a Bachelor
of Science degree in Business Administration, and a Juris Doctor, cum laude. He also
holds a certified public accountant certificate.
A copy of
the press release announcing these changes to the Board of Directors is
furnished with this Form 8-K as Exhibit 99.1.
Item
9.01. Financial Statements
and Exhibits.
(d) Exhibits.
99.1 –
Press Release of Broadpoint Gleacher Securities Group, Inc. dated July 6,
2009.
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, as amended, 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
Dated:
July 9, 2009