-----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, BtT6ynlZKAKGFkoo5palwL0zop6RIx9WCe3N1V3haEEYORH3xKh80lQigu+RvPbX bhB8e/yLSD5E1UORoWSn1g== 0001209191-08-039819.txt : 20080701 0001209191-08-039819.hdr.sgml : 20080701 20080701165140 ACCESSION NUMBER: 0001209191-08-039819 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080627 FILED AS OF DATE: 20080701 DATE AS OF CHANGE: 20080701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Madison Christopher B CENTRAL INDEX KEY: 0001354644 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08930297 BUSINESS ADDRESS: BUSINESS PHONE: 617-375-3000 MAIL ADDRESS: STREET 1: 535 BOYLSTON ST. STREET 2: SUITE 401 CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Steinberg David J. CENTRAL INDEX KEY: 0001429076 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08930296 BUSINESS ADDRESS: BUSINESS PHONE: 617-375-3000 MAIL ADDRESS: STREET 1: C/O MAST MANAGEMENT CAPITAL LLC STREET 2: 535 BOYLSTON STREET, SUITE 401 CITY: BOSTON STATE: MA ZIP: 02116 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BROADPOINT SECURITIES GROUP, INC. CENTRAL INDEX KEY: 0000782842 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 222655804 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10119 BUSINESS PHONE: 518-447-8613 MAIL ADDRESS: STREET 1: ONE PENN PLAZA STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10119 FORMER COMPANY: FORMER CONFORMED NAME: BROADPOINT SECURITIES GROUP INC. DATE OF NAME CHANGE: 20071228 FORMER COMPANY: FORMER CONFORMED NAME: FIRST ALBANY COMPANIES INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mast Credit Opportunities I Master Fund LTD CENTRAL INDEX KEY: 0001336625 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08930299 BUSINESS ADDRESS: STREET 1: 535 BOYLSTON ST. STREET 2: SUITE 401 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-375-3000 MAIL ADDRESS: STREET 1: 535 BOYLSTON ST. STREET 2: SUITE 401 CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: Mast Credit Opportunities (Master), Ltd DATE OF NAME CHANGE: 20050819 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mast Capital Management LLC CENTRAL INDEX KEY: 0001429074 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 08930298 BUSINESS ADDRESS: STREET 1: 535 BOYLSTON STREET STREET 2: SUITE 401 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-375-3000 MAIL ADDRESS: STREET 1: 535 BOYLSTON STREET STREET 2: SUITE 401 CITY: BOSTON STATE: MA ZIP: 02116 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2008-06-27 0 0000782842 BROADPOINT SECURITIES GROUP, INC. BPSG 0001336625 Mast Credit Opportunities I Master Fund LTD C/O MAST CAPITAL MANAGEMENT LLC 535 BOYLSTON STREET, SUITE 401 BOSTON MA 02116 0 0 1 0 0001429074 Mast Capital Management LLC 535 BOYLSTON STREET, SUITE 401 BOSTON MA 02116 0 0 1 0 0001354644 Madison Christopher B C/O MAST CAPITAL MANAGEMENT LLC 535 BOYLSTON STREET, SUITE 401 BOSTON MA 02116 0 0 1 0 0001429076 Steinberg David J. C/O MAST CAPITAL MANAGEMENT LLC 535 BOYLSTON STREET, SUITE 401 BOSTON MA 02116 0 0 1 0 Common Stock, $0.01 par value per share 7058824 D Series B Mandatory Redeemable Pref'd Stk, $0.01 par value 2008-06-27 4 P 0 1000000 A 1000000 D Warrant (right to buy) 3.00 2008-06-27 4 P 0 1 A 2008-06-27 2012-06-27 Common Stock 1000000 1 D Mast Credit Opportunities I Master Fund Limited (the "Fund") is the direct owner of 7,058,824 shares of Common Stock of the Issuer, 1,000,000 shares of Series B Mandatory Redeemable Preferred Stock of the Issuer, and one warrant to purchase 1,000,000 shares of Common Stock of the Issuer. Mast Capital Management LLC is the investment adviser to the Fund, and Christopher B. Madison and David J. Steinberg are the managers of Mast Capital Management LLC. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any. The Fund purchased 1,000,000 shares of Series B Mandatory Redeemable Preferred Stock of the Issuer and one warrant to purchase 1,000,000 shares of Common Stock of the Issuer for an aggregate purchase price of $25,000,000. No per share or per warrant price was allocated to the securities. /s/ Mast Credit Opportunities I Master Fund Limited by Christopher B. Madison 2008-06-30 /s/ Mast Capital Management LLC by Christopher B. Madison 2008-06-30 /s/ Christopher B. Madison 2008-06-30 /s/ David J. Steinberg 2008-06-30 -----END PRIVACY-ENHANCED MESSAGE-----