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):
November 3, 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
November 3, 2009, the Company issued a press release announcing
its participation in the Keefe, Bruyette & Woods 2009 Securities
Brokerage & Market Structure Conference on Wednesday,
November 4, 2009 at the
St. Regis Hotel in New York City.
The
Company’s
presentation will be webcast live and is currently scheduled to occur
at 1:40 P.M. EST. The
webcast, as well as a copy of the Company’s presentation
materials, can be accessed on November 4, 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 for 60 days following the conference 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 November 3, 2009.