4//SEC Filing
Allen Thomas Ian Alexander 4
Accession 0001144204-10-036498
CIK 0001340354other
Filed
Jul 1, 8:00 PM ET
Accepted
Jul 2, 5:02 PM ET
Size
11.2 KB
Accession
0001144204-10-036498
Insider Transaction Report
Form 4
Allen Thomas Ian Alexander
Director
Transactions
- Disposition to Issuer
Exchangeable Shares
2010-07-01−57,493→ 0 total→ Common Stock (57,493 underlying) - Disposition to Issuer
Common Stock
2010-07-01−9,910→ 0 total - Disposition to Issuer
Option to Buy Common Stock
2010-07-01−16,667→ 0 totalExercise: $6.00→ Common Stock (16,667 underlying)
Footnotes (4)
- [F1]Pursuant to the Agreement and Plan of Merger by and among Stifel Financial Corp., PTAS, Inc., a wholly-owned subsidiary of Stifel Financial Corp. and Thomas Weisel Partners Group, Inc., dated as of April 25, 2010 (as amended, the "Merger Agreement"), each unit of Common Stock was cancelled at the effective time of the merger and converted into the right to receive 0.1364 of a share of Stifel Financial Corp. Common Stock.
- [F2]Pursuant to the Merger Agreement, each outstanding and unexercised option, whether vested or unvested, was converted at the effective time of the merger into the right to acquire a number of shares of Stifel Common Stock equal to the number of shares of TWPG Common Stock subject to such award multiplied by 0.1364, and the exercise price of the award will equal the price per share of TWPG Common Stock applicable to such award divided by the exchange ratio.
- [F3]Issued by TWP Acquisition Company (Canada), Inc., an indirect wholly-owned subsidiary of Thomas Weisel Partners Group, Inc. and are substantially the economic equivalent of shares of common stock of Thomas Weisel Partners Group, Inc. and entitle the holder to one vote per Exchangeable Share on the same basis and in the same circumstances as one corresponding share of common stock of Thomas Weisel Partners Group, Inc. Exchangeable Shares are exchangeable at any time, at the option of the holder on a one-for-one basis for corresponding shares of common stock of Thomas Weisel Partners Group, Inc. Exchangeable Shares are more fully described on page 56 of the Proxy Statement of Thomas Weisel Partners Group, Inc. filed with the SEC on November 7, 2007.
- [F4]Pursuant to the Merger Agreement, each Exchangeable Share, was converted at the effective time of the merger into the right to acquire a number of shares of Stifel Common Stock equal to the number of shares of TWPG Common Stock multiplied by 0.1364.
Documents
Issuer
Thomas Weisel Partners Group, Inc.
CIK 0001340354
Entity typeother
Related Parties
1- filerCIK 0001427366
Filing Metadata
- Form type
- 4
- Filed
- Jul 1, 8:00 PM ET
- Accepted
- Jul 2, 5:02 PM ET
- Size
- 11.2 KB