-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TzyYZNCokPjDmpIto4Gcs2c5JSX8g0U/3GUG1KARwD+d2JTkTTpMrGAOvqIYWuey jw//6/czfudFskOdvB2eGQ== 0001193125-06-245155.txt : 20061201 0001193125-06-245155.hdr.sgml : 20061201 20061201140125 ACCESSION NUMBER: 0001193125-06-245155 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061127 ITEM INFORMATION: Other Events FILED AS OF DATE: 20061201 DATE AS OF CHANGE: 20061201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALESCO FINANCIAL INC CENTRAL INDEX KEY: 0001270436 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 161685692 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-32026 FILM NUMBER: 061250631 BUSINESS ADDRESS: STREET 1: CIRA CENTRE, 2929 ARCH STREET STREET 2: 17TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 BUSINESS PHONE: 215-701-9555 MAIL ADDRESS: STREET 1: CIRA CENTRE, 2929 ARCH STREET STREET 2: 17TH FLOOR CITY: PHILADELPHIA STATE: PA ZIP: 19104 FORMER COMPANY: FORMER CONFORMED NAME: SUNSET FINANCIAL RESOURCES INC DATE OF NAME CHANGE: 20031117 8-K 1 d8k.htm FORM 8-K Form 8-K

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 the earliest event reported): November 27, 2006

 

Alesco Financial Inc.

(formerly Sunset Financial Resources, Inc.)

(Exact name of Registrant as specified in its charter)

 

 

Maryland   001-32026   16-1685692

(State or other jurisdiction

of incorporation)

   (Commission File Number)  

(IRS Employer

Identification No.)

Cira Centre

2929 Arch Street, 17th Floor

Philadelphia, PA 19104

(Address of principal executive offices) (Zip Code)

(215) 701-9555

(Registrant’s telephone number, including area code)

 

(Former name or 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:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Item 8.01 Other Events

On November 27, 2006, Alesco Financial Inc. (the “Company”) closed its previously announced public offering of 26,400,000 shares of the Company’s common stock, par value $0.001 per share (the “Common Stock”), including 3,960,000 shares of Common Stock sold pursuant to the underwriters’ exercise of the over-allotment option granted by the Company pursuant to the purchase agreement, dated as of November 20, 2006, by and among the Company, Cohen & Company Management, LLC, the Company’s manager, and Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) and Bear, Stearns & Co. Inc. (“Bear, Stearns”), as representatives of the underwriters (the “Purchase Agreement”). The shares of Common Stock are listed on the New York Stock Exchange under the symbol “AFN” and were sold at a public offering price of $9.00 per share. The offering was made through an underwriting syndicate led by Merrill Lynch, and Bear, Stearns, who acted as joint book-running managers. UBS Securities LLC, RBC Capital Markets Corporation and Oppenheimer & Co. Inc. acted as co-managers.

A copy of the Purchase Agreement was filed as Exhibit 1.1 to the Form 8-K filed by the Company on November 24, 2006 and is incorporated herein by reference.

 

2

SIGNATURE

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.

Date: December 1, 2006

 

ALESCO FINANCIAL INC.
By:  

/s/ John J. Longino

  John J. Longino
  Chief Financial Officer
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