8-K 1 form8_k6209.htm NOTICE OF FAILURE TO SATISFY A CONTINUED LISTING RULE OR STANDARD. form8_k6209.htm

 

 
 
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): May 29, 2009
  
Thomas Weisel Partners Group, Inc.
(Exact name of registrant as specified in its charter)
 
         
Delaware
  
No. 000-51730
  
No. 20-3550472
(State or other jurisdiction of incorporation)
  
(Commission File Number)
  
(IRS Employer Identification No.)
         
One Montgomery Street
San Francisco, California
  
94104
(Address of principal executive offices)
  
(Zip Code)
 
Registrant’s telephone number, including area code: (415) 364-2500
 
 
N.A.
(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 3.01                      Notice of Failure to Satisfy a Continued Listing Rule or Standard.
 
On May 29, 2009, Thomas Weisel Partners Group, Inc. (the “Registrant”) received a letter from The Nasdaq Stock Market indicating that the Registrant had previously been out of compliance with The Nasdaq Stock Market Listing Rule 5605(c)(2)(A).  The letter further states that the Registrant regained compliance as of May 19, 2009 and that the matter had been closed.



 
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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.
 
 
Thomas Weisel Partners Group, Inc.
     
Date: June 2, 2009
By:  
/s/ Ryan Stroub
   
Name: Ryan Stroub
   
Title: Chief Financial Officer
 



 
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