UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
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
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported):
October 28, 2009
October 28, 2009
BROADPOINT GLEACHER SECURITIES GROUP, INC.
(Exact name of registrant as specified in its charter)
New York
(State or other jurisdiction of incorporation)
(State or other jurisdiction of incorporation)
0-14140
(Commission File Number)
(Commission File Number)
22-2655804
(IRS Employer Identification No.)
(IRS Employer Identification No.)
12 East 49thStreet, 31stFloor
New York, New York
(Address of Principal Executive Offices)
New York, New York
(Address of Principal Executive Offices)
10017
(Zip Code)
(Zip Code)
(212) 273-7100
(Registrant’s telephone number, including area code)
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
(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 2.02 | Results of Operations and Financial Condition |
On October 28, 2009, Broadpoint Gleacher Securities Group, Inc. (the “Company”) issued a press release announcing the Company’s results for the period ended September 30, 2009. A copy of the press release 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 October 28, 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: October 27, 2009