0001209191-14-039734.txt : 20140624 0001209191-14-039734.hdr.sgml : 20140624 20140609060305 ACCESSION NUMBER: 0001209191-14-039734 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140605 FILED AS OF DATE: 20140609 DATE AS OF CHANGE: 20140609 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GLEACHER & COMPANY, INC. CENTRAL INDEX KEY: 0000782842 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 222655804 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 677 BROADWAY STREET 2: 2ND FLOOR CITY: ALBANY STATE: NY ZIP: 12207 BUSINESS PHONE: 212-273-7100 MAIL ADDRESS: STREET 1: 677 BROADWAY STREET 2: 2ND FLOOR CITY: ALBANY STATE: NY ZIP: 12207 FORMER COMPANY: FORMER CONFORMED NAME: BROADPOINT GLEACHER SECURITIES GROUP, INC. DATE OF NAME CHANGE: 20090605 FORMER COMPANY: FORMER CONFORMED NAME: BROADPOINT SECURITIES GROUP, INC. DATE OF NAME CHANGE: 20071228 FORMER COMPANY: FORMER CONFORMED NAME: BROADPOINT SECURITIES GROUP INC. DATE OF NAME CHANGE: 20071228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PATTERSON MARK R CENTRAL INDEX KEY: 0001251957 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 14898072 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MATLIN DAVID J CENTRAL INDEX KEY: 0001251956 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 14898073 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MP II PREFERRED PARTNERS LP CENTRAL INDEX KEY: 0001454256 STATE OF INCORPORATION: XX FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 14898074 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-651-9500 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MatlinPatterson PE Holdings LLC CENTRAL INDEX KEY: 0001251960 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 14898075 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126519500 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: MATLINPATTERSON ASSET MANAGEMENT LLC DATE OF NAME CHANGE: 20030702 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MATLINPATTERSON LLC CENTRAL INDEX KEY: 0001178798 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 14898076 BUSINESS ADDRESS: STREET 1: 520 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2126519500 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MP Preferred Partners GP LLC CENTRAL INDEX KEY: 0001465630 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 14898077 BUSINESS ADDRESS: STREET 1: C/O MATLINPATTERSON GLOBAL ADVISERS LLC STREET 2: 520 MADISON AVENUE - 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-651-9500 MAIL ADDRESS: STREET 1: C/O MATLINPATTERSON GLOBAL ADVISERS LLC STREET 2: 520 MADISON AVENUE - 35TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MatlinPatterson FA Acquisition LLC CENTRAL INDEX KEY: 0001413866 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-14140 FILM NUMBER: 14898078 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-651-9525 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 35TH FL CITY: NEW YORK STATE: NY ZIP: 10022 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-06-05 1 0000782842 GLEACHER & COMPANY, INC. GLCH 0001413866 MatlinPatterson FA Acquisition LLC C/O MATLINPATTERSON GLOBAL ADVISERS LLC 520 MADISON AVENUE, 35TH FLOOR NEW YORK NY 10022 0 0 1 0 0001465630 MP Preferred Partners GP LLC C/O MATLINPATTERSON GLOBAL ADVISERS LLC 520 MADISON AVENUE, 35TH FLOOR NEW YORK NY 10022 0 0 1 0 0001178798 MATLINPATTERSON LLC C/O MATLINPATTERSON GLOBAL ADVISERS LLC 520 MADISON AVENUE, 35TH FLOOR NEW YORK NY 10022 0 0 1 0 0001251960 MatlinPatterson PE Holdings LLC C/O MATLINPATTERSON GLOBAL ADVISERS LLC 520 MADISON AVENUE, 35TH FLOOR NEW YORK NY 10022 0 0 1 0 0001454256 MP II PREFERRED PARTNERS LP C/O MATLINPATTERSON GLOBAL ADVISERS LLC 520 MADISON AVENUE, 35TH FLOOR NEW YORK NY 10022 0 0 1 0 0001251956 MATLIN DAVID J C/O MATLINPATTERSON GLOBAL ADVISERS LLC 520 MADISON AVENUE, 35TH FLOOR NEW YORK NY 10022 0 0 1 0 0001251957 PATTERSON MARK R C/O MATLINPATTERSON GLOBAL ADVISERS LLC 520 MADISON AVENUE, 35TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2014-06-05 4 S 0 1304393 10.50 D 474020 D Common Stock 2014-06-05 4 S 0 309374 10.50 D 164646 D Common Stock 2014-06-05 4 S 0 164646 10.50 D 0 D On June 5, 2014, MatlinPatterson FA Acquisition LLC ("MP FAA") entered into a Stock Purchase Agreement with LLSM L.P. pursuant to which MP FAA agreed to sell an aggregate of 1,304,393 shares of common stock of Gleacher & Company, Inc. (the "Issuer") at a price of $10.50 per share. MP II Preferred Partners L.P. ("MP II Preferred Partners") holds one hundred percent (100%) of the membership interests in MP FAA. MatlinPatterson PE Holdings LLC ("MP PE Holdings") is the sole owner of MP Preferred Partners GP LLC, the general partner of MP II Preferred Partners. MatlinPatterson LLC holds one hundred percent (100%) of the equity of MP PE Holdings. Other than MP FAA, each of the foregoing reporting persons disclaims beneficial ownership of the shares reported in this Form 4, except to the extent such reporting person holds an indirect pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. David J. Matlin & Mark R. Patterson are each a holder of 50 percent (50%) of the membership interests in MatlinPatterson LLC. David J. Matlin & (Continued from footnote 2) Mark R. Patterson may be deemed to have shared voting and investment control over the shares of the Issuer held by MP FAA. Each of David J. Matlin & Mark R. Patterson also has an indirect pecuniary interest in such shares through each of such person's indirect interest in one or more limited partners which hold an investment interest and carried interest in MP II Preferred Partners. Each of David J. Matlin's and Mark R. Patterson's exact pecuniary interest therein is not readily determinable because it is subject to several variables, including without limitation, the internal rates of return of MP II Preferred Partners overall and with respect to their indirect investment in the Issuer. Each of David J. Matlin & Mark R. Patterson disclaims beneficial ownership of any of the securities reported in this Form 4 except to the extent of his pecuniary interest therein. On June 5, 2014, MP FAA entered into a Stock Purchase Agreement with HHLF L.P. pursuant to which MP FAA agreed to sell an aggregate of 309,374 shares of the Issuer's common stock at a price of $10.50 per share. On June 5, 2014, MP FAA entered into a Stock Purchase Agreement with Permal Stone Lion Fund Ltd. pursuant to which MP FAA agreed to sell an aggregate of 164,646 shares of the Issuer's common stock at a price of $10.50 per share. MATLINPATTERSON FA ACQUISITION LLC, /s/ Robert H. Weiss, Name: Robert H. Weiss, Title: Vice President 2014-06-09 MP PREFERRED PARTNERS GP LLC, /s/ Robert H. Weiss, Name: Robert H. Weiss, Title: General Counsel 2014-06-09 MATLINPATTERSON LLC, /s/ Mark R. Patterson, Name: Mark R. Patterson, Title: Member 2014-06-09 MATLINPATTERSON PE HOLDINGS LLC, /s/ Robert H. Weiss, Name: Robert H. Weiss, Title: General Counsel 2014-06-09 MP II PREFERRED PARTNERS L.P., By: MP Preferred Partners GP LLC, its general partner, /s/ Robert H. Weiss, Name: Robert H. Weiss, Title: General Counsel 2014-06-09 DAVID J. MATLIN, /s/ David J. Matlin, Name: David J. Matlin 2014-06-09 MARK R. PATTERSON, /s/ Mark R. Patterson, Name: Mark R. Patterson 2014-06-09 EX-99 2 attachment1.htm EX-99 DOCUMENT

                                                                      Exhibit 99

                         Form 4 Joint Filer Information

Name:                                   MP Preferred Partners GP LLC

Address:                                C/O MATLINPATTERSON GLOBAL ADVISERS LLC
                                        520 Madison Avenue, 35th Floor
                                        New York, NY 10022

Date of Event Requiring Statement:      06/05/14

Name:                                   MatlinPatterson LLC

Address:                                C/O MATLINPATTERSON GLOBAL ADVISERS LLC
                                        520 Madison Avenue, 35th Floor
                                        New York, NY 10022

Date of Event Requiring Statement:      06/05/14

Name:                                   MatlinPatterson PE Holdings LLC

Address:                                C/O MATLINPATTERSON GLOBAL ADVISERS LLC
                                        520 Madison Avenue, 35th Floor
                                        New York, NY 10022

Date of Event Requiring Statement:      06/05/14

Name:                                   MP II Preferred Partners L.P.

Address:                                C/O MATLINPATTERSON GLOBAL ADVISERS LLC
                                        520 Madison Avenue, 35th Floor
                                        New York, NY 10022

Date of Event Requiring Statement:      06/05/14

Name:                                   David J. Matlin

Address:                                C/O MATLINPATTERSON GLOBAL ADVISERS LLC
                                        520 Madison Avenue, 35th Floor
                                        New York, NY 10022

Date of Event Requiring Statement:      06/05/14

Name:                                   Mark R. Patterson

Address:                                C/O MATLINPATTERSON GLOBAL ADVISERS LLC
                                        520 Madison Avenue, 35th Floor
                                        New York, NY 10022

Date of Event Requiring Statement:      06/05/14