Grundläggande statistik
| CIK | 782842 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Gleacher & Company, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| February 4, 2015 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240. |
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| July 17, 2014 |
GLCH / Gleacher & Company, Inc. 15-12G - - 15-12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 014140 GLEACHER & COMPANY, INC. |
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| July 7, 2014 |
GLCH / Gleacher & Company, Inc. 25 - - 25 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0080 Expires: December 31, 2014 Estimated average burden hours per response: . . . . . . 1.0 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 014140 Issuer: GLEACHER & COMPANY, INC. Exchange: NASDAQ |
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| June 27, 2014 |
Exhibit 99.1 GLEACHER & COMPANY TO DELIST FROM NASDAQ Announces estimated date of filing of Certificate of Dissolution Updates range of estimated liquidating distributions ALBANY, NEW YORK, June 27, 2014 — Gleacher & Company, Inc. (Nasdaq: GLCH) (the “Company”) today announced its intention to voluntarily delist its common stock, par value $0.01 per share, from the NASDAQ Global Select Market (“NA |
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| June 27, 2014 |
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 earliest event reported): June 26, 2014 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| June 9, 2014 |
GLCH / Gleacher & Company, Inc. / Stone Lion Capital Partners L.P. - SC 13D Activist Investment SC 13D 1 d741070dsc13d.htm SC 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Gleacher & Company, Inc. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 377341201 (CUSIP Number) Stone Lion Capital Partners L.P. 555 Fifth Avenue, 18th Floor New York, New York 10017 Attn: Clau |
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| June 9, 2014 |
EX-99.2 3 d741070dex992.htm EX-99.2 Exhibit 99.2 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), is entered into as of June 5, 2014 (the “Agreement Date”) by and between MatlinPatterson FA Acquisition LLC (the “Seller”) and HHLF L.P. (the “Buyer”). RECITALS A. The Seller intends to sell to the Buyer in the aggregate 309,374 shares of Common Stock (the “Shares”) of Gleach |
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| June 9, 2014 |
EX-99.4 Exhibit 99.4 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), is entered into as of June 5, 2014 (the “Agreement Date”) by and between MatlinPatterson FA Acquisition LLC (the “Seller”) and Permal Stone Lion Fund Ltd. (the “Buyer”). RECITALS A. The Seller intends to sell to the Buyer in the aggregate 164,646 shares of Common Stock (the “Shares”) of Gleacher & Compa |
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| June 9, 2014 |
GLCH / Gleacher & Company, Inc. / MATLINPATTERSON LLC - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 12)* Under the Securities Exchange Act of 1934 GLEACHER & COMPANY, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 377341 10 2 (CUSIP Number) Robert H. Weiss General Counsel MatlinPatterson Global Advisers LLC 520 Madison Avenue New York, New Yor |
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| June 9, 2014 |
EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each sh |
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| June 9, 2014 |
EX-99.3 Exhibit 99.3 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”), is entered into as of June 5, 2014 (the “Agreement Date”) by and between MatlinPatterson FA Acquisition LLC (the “Seller”) and LLSM L.P. (the “Buyer”). RECITALS A. The Seller intends to sell to the Buyer in the aggregate 1,304,393 shares of Common Stock (the “Shares”) of Gleacher & Company, Inc. (the “C |
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| June 4, 2014 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 8-K 1 a14-1476418k.htm 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 earliest event reported): May 29, 2014 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 |
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| June 4, 2014 |
Exhibit 99.1 [Gleacher letterhead] June , 2014 Re: Important notice regarding your shares of Gleacher & Company, Inc. (the “Company”) common stock Dear Stockholder: On May 29, 2014, stockholders of the Company approved the dissolution and liquidation of the Company pursuant to a Plan of Dissolution. Absent unforeseen events, the Company currently anticipates filing a Certificate of Dissolution on |
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| June 4, 2014 |
Exhibit 99.2 [Gleacher letterhead] June , 2014 RE: Important notice regarding filing date of Certificate of Dissolution of Gleacher & Company, Inc. (the “Company”) Dear Stockholder: On May 29, 2014, stockholders of the Company approved the dissolution and liquidation of the Company pursuant to a Plan of Dissolution. Absent unforeseen events, the Company currently anticipates filing a Certificate o |
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| May 12, 2014 |
GLCH / Gleacher & Company, Inc. / FARALLON CAPITAL MANAGEMENT LLC - 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| May 9, 2014 |
GLEACHER & COMPANY REPORTS FIRST QUARTER 2014 FINANCIAL RESULTS Exhibit 99.1 GLEACHER & COMPANY REPORTS FIRST QUARTER 2014 FINANCIAL RESULTS ALBANY, NEW YORK, May 9, 2014 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced its financial results for the first quarter. The Company reported a net loss of $4.8 million for the first quarter of 2014 and a loss per share of ($0.78). Separately, during the quarter the Company announced that its Board of Director |
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| May 9, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 earliest event reported): May 9, 2014 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 22 |
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| May 9, 2014 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2014 - or - o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission file number 014140 GL |
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| May 8, 2014 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 7, 2014 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 6, 2014 |
May 6, 2014 Via EDGAR Alexandra Ledbetter Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-7010 Re: Gleacher & Company, Inc. Revised Preliminary Proxy Statement on Schedule 14A Filed April 24, 2014 File No. 0-14140 Dear Ms. Ledbetter: On behalf of Gleacher & Company, Inc., a Delaware corporation (“Gleacher”), we are providing the followi |
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| April 30, 2014 |
QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 24, 2014 |
April 24, 2014 VIA EDGAR SUBMISSION United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 24, 2014 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 9, 2014 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 4, 2014 |
GLCH / Gleacher & Company, Inc. / Stone Lion Capital Partners L.P. - SCHEDULE 13G Passive Investment Schedule 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 Under the Securities Exchange Act of 1934 GLEACHER & COMPANY, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 377341 |
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| April 4, 2014 |
EX-99.1 2 d706407dex991.htm EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of |
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| March 17, 2014 |
NON-COMPETITION AND NON-SOLICITATION AGREEMENT Exhibit 10.7 NON-COMPETITION AND NON-SOLICITATION AGREEMENT THIS NON-COMPETITION AND NON-SOLICITATION AGREEMENT (the “Agreement”) is made by and between Broadpoint Securities Group, Inc., a New York corporation and its successors (“Broadpoint”), and the undersigned prospective stockholder (the “Stakeholder”) in Broadpoint. WHEREAS, an Agreement and Plan of Merger by and among Broadpoint, Magnolia |
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| March 17, 2014 |
Exhibit 10.8 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among BROADPOINT SECURITIES GROUP, INC., MAGNOLIA ADVISORY LLC, GLEACHER PARTNERS INC., CERTAIN STOCKHOLDERS OF GLEACHER PARTNERS INC., and EACH OF THE HOLDERS OF INTERESTS IN GLEACHER HOLDINGS LLC Dated as of March 2, 2009 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND DEFINED TERMS 2 Section 1.1 Definitions and Defined Terms 2 |
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| March 17, 2014 |
EX-21 5 a2218985zex-21.htm EX-21 QuickLinks - Click here to rapidly navigate through this document Exhibit 21 SUBSIDIARIES OF GLEACHER & COMPANY, INC. COMPANY NAME PLACE OF INCORPORATION GLEACHER & COMPANY SECURITIES, INC. NEW YORK CLEARPOINT FUNDING, INC. DELAWARE DESCAP MORTGAGE FUNDING, LLC DELAWARE QuickLinks Exhibit 21 |
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| March 17, 2014 |
Use these links to rapidly review the document TABLE OF CONTENTS Item 8. Financial Statements and Supplementary Data Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ý Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2013 —or— o Transition Report Pursuant to Section 13 or 1 |
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| March 17, 2014 |
Exhibit 10.6 EXECUTION VERSION STOCK PURCHASE AGREEMENT by and among Broadpoint Securities Group, Inc., American Technology Research Holdings, Inc., Richard J. Prati, Richard Brown, Robert Sanderson, Bradley Gastwirth And Curtis L. Snyder, For himself and as the Stockholder Representative Dated as of September 2, 2008 TABLE OF CONTENTS Page Article I DEFINITIONS AND DEFINED TERMS 1 Section 1.1 Def |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-124648 333-78861 333-75705 333-43825 333-18645 033-59855 033-52153 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-124648 333-78861 333-75705 333-43825 333-18645 033-59855 033-52153 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its |
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| March 14, 2014 |
Registration No. 333-124648 333-78861 333-75705 333-43825 333-18645 033-59855 033-52153 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
S-8 POS 1 a14-772927s8pos.htm S-8 POS Registration No. 333-124648 333-78861 333-75705 333-43825 333-18645 033-59855 033-52153 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GLEACHER & COMPANY, INC. (Exact |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-124648 333-78861 333-75705 333-43825 333-18645 033-59855 033-52153 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-124648 333-78861 333-75705 333-43825 333-18645 033-59855 033-52153 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its |
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| March 14, 2014 |
S-8 POS 1 a14-77296s8pos.htm S-8 POS Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION W |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-160012 333-160011 333-149088 333-146224 333-136818 333-124707 333-124706 333-124705 333-121928 333-121927 333-115170 333-115169 333-114983 333-105772 333-105771 333-97467 333-97465 333-87476 333-78879 333-78877 333-37640 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE |
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| March 14, 2014 |
Registration No. 333-124648 333-78861 333-75705 333-43825 333-18645 033-59855 033-52153 As filed with the Securities and Exchange Commission on March 14, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its |
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| March 13, 2014 |
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 earliest event reported): March 12, 2014 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| March 13, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events - 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 earliest event reported): March 12, 2014 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| March 13, 2014 |
Exhibit 99.1 GLEACHER & COMPANY ANNOUNCES BOARD APPROVAL OF DISSOLUTION AND LIQUIDATION Reports Fourth Quarter 2013 Financial Results ALBANY, NEW YORK, March 13, 2014 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that its Board of Directors has determined that it is in the best interests of the Company’s stockholders for the Company to dissolve, liquidate and distribute to stockholders |
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| March 13, 2014 |
Exhibit 99.1 GLEACHER & COMPANY ANNOUNCES BOARD APPROVAL OF DISSOLUTION AND LIQUIDATION Reports Fourth Quarter 2013 Financial Results ALBANY, NEW YORK, March 13, 2014 Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that its Board of Directors has determined that it is in the best interests of the Companys stockholders for the Company to dissolve, liquidate and distribute to stockholders |
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| March 12, 2014 |
POS AM 1 a14-77291posam.htm POS AM As filed with the Securities and Exchange Commission on March 12, 2014 Registration No. 333-150023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Gleacher & Company, Inc. (Exact name of Registrant as specified in its charter) Delaware 22-26558 |
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| February 14, 2014 |
GLCH / Gleacher & Company, Inc. / MENDON CAPITAL ADVISORS CORP - SC 13G/A Passive Investment SC 13G/A 1 a14-55192sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 (Amendment 1)(1) GLEACHER & CO, LLC (Name of Issuer) Common Stock (Title of Class of Securities) 377341102 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate |
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| February 6, 2014 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240. |
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| November 8, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2013 - or - o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission file number 01414 |
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| November 8, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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 earliest event reported): November 8, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numbe |
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| November 8, 2013 |
GLEACHER & COMPANY REPORTS THIRD QUARTER 2013 FINANCIAL RESULTS Exhibit 99.1 GLEACHER & COMPANY REPORTS THIRD QUARTER 2013 FINANCIAL RESULTS NEW YORK, N.Y., November 8, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today reported a net loss of $17.1 million for the third quarter of 2013 and a loss per share of ($2.77). Overview Historically, Gleacher & Company, Inc. (“Gleacher” or the “Company”) operated an investment banking business, predominately fixed-inc |
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| October 22, 2013 |
Exhibit 10.2 October 18, 2013 Mr. Bryan Edmiston Gleacher & Company - Corporate Headquarters 1290 Avenue of the Americas New York, NY 10104 Re: Key Employee Retention Agreement Dear Bryan: On behalf of Gleacher & Company, Inc. (together with its successors and assigns, the “Company”), I am pleased to provide you with this key employee retention agreement (the “Agreement”), which sets forth the ter |
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| October 22, 2013 |
Exhibit 10.1 October 18, 2013 Ms. Patricia Arciero-Craig Gleacher & Company - Corporate Headquarters 1290 Avenue of the Americas New York, NY 10104 Re: Key Employee Retention Agreement Dear Trish: On behalf of Gleacher & Company, Inc. (together with its successors and assigns, the “Company”), I am pleased to provide you with this key employee retention agreement (the “Agreement”), which sets forth |
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| October 22, 2013 |
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 earliest event reported): October 17, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numbe |
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| September 27, 2013 |
Exhibit 10.1 SURRENDER AGREEMENT THIS SURRENDER AGREEMENT (this “Agreement”), made as of the 27th day of September, 2013 (the “Effective Date”) by and between HWA 1290 III LLC, HWA 1290 IV LLC and HWA 1290 V LLC, each, a Delaware limited liability company, having an office c/o Vornado Office Management LLC, 888 Seventh Avenue, New York, New York 10019 (collectively, “Landlord”), and GLEACHER & COM |
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| September 27, 2013 |
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 earliest event reported): September 27, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Num |
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| August 8, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 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 earliest event reported): August 8, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| August 8, 2013 |
GLEACHER & COMPANY REPORTS SECOND QUARTER 2013 FINANCIAL RESULTS Exhibit 99.1 GLEACHER & COMPANY REPORTS SECOND QUARTER 2013 FINANCIAL RESULTS NEW YORK, N.Y., August 8, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today reported net loss of $61.5 million for the second quarter of 2013 (including a restructuring charge of $43.6 million) and loss per share of ($10.02). Recent Developments Gleacher & Company, Inc. (“Gleacher” or the “Company”) historically has o |
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| July 25, 2013 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240. |
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| June 21, 2013 |
8-K 1 a13-1539318k.htm 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 earliest event reported): June 17, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-1414 |
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| June 17, 2013 |
GLEACHER & COMPANY REGAINS COMPLIANCE WITH NASDAQ LISTING RULES Exhibit 99.1 GLEACHER & COMPANY REGAINS COMPLIANCE WITH NASDAQ LISTING RULES NEW YORK, N.Y.— June 17, 2013 —Gleacher & Company, Inc. (Nasdaq: GLCH) announced that it has been notified by The NASDAQ Stock Market LLC (“NASDAQ”) that it has regained compliance with the minimum bid price requirement under the NASDAQ listing standards. NASDAQ also confirmed that the Company is in compliance with all ot |
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| June 17, 2013 |
Financial Statements and Exhibits, Other Events 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 earliest event reported): June 14, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| June 6, 2013 |
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 earliest event reported): May 31, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 2 |
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| June 6, 2013 |
EX-99.1 2 a13-140373ex99d1.htm EX-99.1 Exhibit 99.1 Gleacher & Company Announces Appointment of Chief Restructuring Officer Company Hires Capstone Advisory Group Company Exits Investment Banking Business NEW YORK, NY—June 4, 2013— Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that Christopher J. Kearns of Capstone Advisory Group, LLC (“Capstone”) has been appointed as the Company’s Chief |
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| May 30, 2013 |
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 earliest event reported): May 30, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 2 |
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| May 30, 2013 |
GLEACHER & COMPANY ANNOUNCES REVERSE STOCK SPLIT Exhibit 99.1 GLEACHER & COMPANY ANNOUNCES REVERSE STOCK SPLIT NEW YORK, N.Y.— May 30, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced a reverse stock split of its shares of common stock at a ratio of 1-for-20. The reverse stock split will become effective after the close of the market on May 30, 2013 and the Company’s common stock will begin trading on The Nasdaq Global Market on a |
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| May 30, 2013 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF GLEACHER & COMPANY, INC. Gleacher & Company, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), pursuant to the General Corporation Law of the State of Delaware (the “DGCL”), DOES HEREBY CERTIFY as follows: FIRST: That at a meeting of the Board of Di |
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| May 28, 2013 |
Other Events, Submission of Matters to a Vote of Security Holders 8-K 1 a13-1331128k.htm 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 earliest event reported): May 23, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 |
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| May 24, 2013 |
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 earliest event reported): May 24, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware 0-14140 22-2655804 (State or other jurisdiction (Commission (IRS Employer of inco |
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| May 23, 2013 |
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 earliest event reported): May 23, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 2 |
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| May 23, 2013 |
GLEACHER & COMPANY ANNOUNCES ELECTION OF FIVE DIRECTORS Exhibit 99.1 GLEACHER & COMPANY ANNOUNCES ELECTION OF FIVE DIRECTORS NEW YORK, N.Y.— May 23, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that five individuals, Messrs. Mark R. Patterson, Christopher R. Pechock, Jaime Lifton, Keith B. Hall and Marshall Cohen, were nominated for election to the Board of Directors of the Company (the “Board”) at the Company’s 2013 annual meeting of |
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| May 17, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) x Definitive Information Statement Gleacher & Co |
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| May 17, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) x Definitive Information Statement Gleacher & Co |
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| May 17, 2013 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 15, 2013 |
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 earliest event reported): May 9, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 22 |
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| May 15, 2013 |
EX-99.1 2 a13-123893ex99d1.htm EX-99.1 Exhibit 99.1 May 9, 2013 VIA EMAIL (PDF) Thomas J. Hughes Chief Executive Officer Gleacher & Company, Inc. 1290 Avenue of the Americas New York, New York 10104 Re: Gleacher & Company, Inc. Dear Tom: As you know, it has been clear since February 23, 2013 that we, the four members of the Special Committee — directors Henry Bienen, Robert Gerard, Bruce Rohde and |
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| May 13, 2013 |
EX-4 2 ex4to13da109291002050813.htm Exhibit 4 CLINTON RELATIONAL OPPORTUNITY MASTER FUND, L.P. c/o Clinton Group Inc. 601 Lexington Avenue, 51st Floor New York, New York 10022 May 13, 2013 Via Electronic Mail Gleacher & Company, Inc. 1290 Avenue of the Americas New York, New York 10104 Attention: Corporate Secretary Re: Notice of Withdrawal of Nominations of Persons for Election as Directors at th |
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| May 13, 2013 |
GLCH / Gleacher & Company, Inc. / CLINTON GROUP INC - AMENDMENT NO. 1 Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Gleacher & Company, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 377341 10 2 (CUSIP Number) Steve Wolosky, Esq. Olshan Frome Wolosky LLP 65 East 55th Street New York, New York 10022 (212) 451-2300 (Name, Address and Tele |
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| May 13, 2013 |
- DEFINITIVE PROXY STATEMENT IN CONNECTION WITH CONTESTED SOLICITATIONS Definitive Proxy Statement In Connection With Contested Solicitations SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 10, 2013 |
- REVISED PRELIMINARY PROXY STATEMENT Revised Preliminary Proxy Statement SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 9, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| May 9, 2013 |
GLEACHER & COMPANY REPORTS FIRST QUARTER 2013 FINANCIAL RESULTS Exhibit 99.1 GLEACHER & COMPANY REPORTS FIRST QUARTER 2013 FINANCIAL RESULTS NEW YORK, N.Y., May 9, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today reported net revenues from continuing operations of $26.9 million, net loss from continuing operations of ($13.7) million, and diluted loss per share of ($0.15). Developments · Q1 results benefited by performance of Investment Banking · Company ha |
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| May 9, 2013 |
- REVISED PRELIMINARY PROXY STATEMENT Revised Preliminary Proxy Statement SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 9, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 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 earliest event reported): May 9, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 22 |
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| May 6, 2013 |
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 earliest event reported): April 30, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| May 6, 2013 |
AMENDMENT TO THE GLEACHER & COMPANY, INC. (Effective April 30, 2013) Exhibit 3.1 AMENDMENT TO THE BYLAWS OF GLEACHER & COMPANY, INC. (Effective April 30, 2013) Pursuant to the written consents of the holders of a majority of the outstanding shares of common stock of the Company, and Sections 2.11 and 7.9(a) of the Bylaws, the Bylaws are hereby amended as follows. Amendments to Section 2.2 RESOLVED, that Section 2.2 of the Bylaws be, and it hereby is, amended and re |
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| May 6, 2013 |
- REVISED PRELIMINARY PROXY STATEMENT Revised Preliminary Proxy Statement SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 2, 2013 |
GLCH / Gleacher & Company, Inc. / MATLINPATTERSON LLC - SCHEDULE 13D Activist Investment Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) GLEACHER & COMPANY, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 377341 10 2 (CUSIP Number) Robert H. Weiss General Counsel MatlinPatterson Global Advisers LLC 520 Madison Avenue New York, New |
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| May 2, 2013 |
EX-22 Exhibit 22 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of MatlinPatterson FA Acquisition LLC, MatlinPatterson LLC, MatlinPatterson PE Holdings LLC, MP II Preferred Partners L. |
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| May 2, 2013 |
Preliminary Proxy Statement SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 26, 2013 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 26, 2013 |
Exhibit 99.1 O L S H A N PARK AVENUE TOWER ? 65 EAST 55TH STREET ? NEW YORK, NEW YORK 10022 TELEPHONE: 212.451.2300 ? FACSIMILE: 212.451.2222 EMAIL: [email protected] DIRECT DIAL: 212.451.2230 April 26, 2013 VIA EDGAR AND ELECTRONIC MAIL Nicholas P. Panos, Esq. Senior Special Counsel United States Securities and Exchange Commission Office of Mergers & Acquisitions 100 F Street, N.E. Washingto |
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| April 26, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: x Preliminary Proxy Statement ¨ Confid |
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| April 24, 2013 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 23, 2013 |
April 23, 2013 VIA EDGAR SUBMISSION United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 23, 2013 |
April 23, 2013 VIA EDGAR SUBMISSION United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 22, 2013 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 22, 2013 |
April 22, 2013 VIA EDGAR SUBMISSION United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 19, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: x Preliminary Proxy Statement ¨ Confide |
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| April 19, 2013 |
Exhibit 99.1 O L S H A N PARK AVENUE TOWER ? 65 EAST 55TH STREET ? NEW YORK, NEW YORK 10022 TELEPHONE: 212.451.2300 ? FACSIMILE: 212.451.2222 EMAIL: [email protected] DIRECT DIAL: 212.451.2333 April 19, 2013 BY EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Gleacher & Company, Inc. Preliminary Proxy Statement on Schedule 14A Filed by Clinton Group, Inc. |
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| April 18, 2013 |
GLCH / Gleacher & Company, Inc. / CLINTON GROUP INC Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Gleacher & Company, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 377341 10 2 (CUSIP Number) Steve Wolosky, Esq. Olshan Frome Wolosky LLP 65 East 55th Street New York, New York 10022 (212) 451-2300 (Name, Address and Telep |
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| April 18, 2013 |
Exhibit 3 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints John Hall the undersigned’s true and lawful attorney-in-fact to take any and all action in connection with (i) the undersigned’s beneficial ownership of, or participation in a group with respect to, securities of Gleacher & Company, Inc. |
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| April 18, 2013 |
Clinton Group, Inc. 601 Lexington Avenue, 51st Floor New York, New York 10022 ____________, 2013 Exhibti 2 Form of Nominee Agreement Clinton Group, Inc. 601 Lexington Avenue, 51st Floor New York, New York 10022 , 2013 [Nominee Name] Dear [Nominee Name]: This will confirm our understanding as follows: You agree that you are willing, should we so elect, to become a member of a slate of nominees (the “Slate”) of an affiliate of the undersigned (the “Nominating Party”), to stand for election as a |
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| April 18, 2013 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) Exhibit 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. |
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| April 11, 2013 |
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 earliest event reported): April 5, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| April 11, 2013 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 11, 2013 |
GLEACHER & COMPANY ANNOUNCES EXIT OF FIXED INCOME BUSINESS Company provides other updates Exhibit 99.1 GLEACHER & COMPANY ANNOUNCES EXIT OF FIXED INCOME BUSINESS Company provides other updates NEW YORK, N.Y.- April 10, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that it will exit its MBS & Rates and Credit Products businesses effective immediately. Exiting these businesses, together with associated rightsizing of administrative and other support personnel, could impa |
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| April 11, 2013 |
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 earliest event reported): April 5, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| April 11, 2013 |
GLEACHER & COMPANY ANNOUNCES EXIT OF FIXED INCOME BUSINESS Company provides other updates Exhibit 99.1 GLEACHER & COMPANY ANNOUNCES EXIT OF FIXED INCOME BUSINESS Company provides other updates NEW YORK, N.Y.- April 10, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that it will exit its MBS & Rates and Credit Products businesses effective immediately. Exiting these businesses, together with associated rightsizing of administrative and other support personnel, could impa |
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| March 26, 2013 |
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 earliest event reported): March 26, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| March 26, 2013 |
AMENDMENT TO THE GLEACHER & COMPANY, INC. (Effective March 26, 2013) Exhibit 3.1 AMENDMENT TO THE BYLAWS OF GLEACHER & COMPANY, INC. (Effective March 26, 2013) Pursuant to resolutions of the Board of Directors dated March 26, 2013, and Section 7.9(b) of the Bylaws, the Bylaws are hereby amended as follows. Section 3.6.2 of the Bylaws, entitled “Special Meetings,” is hereby re-designated as Section 3.6.3 and amended to read as follows: 3.6.2 Special Meetings Special |
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| March 26, 2013 |
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 earliest event reported): March 26, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| March 26, 2013 |
AMENDMENT TO THE GLEACHER & COMPANY, INC. (Effective March 26, 2013) Exhibit 3.1 AMENDMENT TO THE BYLAWS OF GLEACHER & COMPANY, INC. (Effective March 26, 2013) Pursuant to resolutions of the Board of Directors dated March 26, 2013, and Section 7.9(b) of the Bylaws, the Bylaws are hereby amended as follows. Section 3.6.2 of the Bylaws, entitled “Special Meetings,” is hereby re-designated as Section 3.6.3 and amended to read as follows: 3.6.2 Special Meetings Special |
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| March 26, 2013 |
EX-99.1 3 a13-89051ex99d1.htm EX-99.1 Exhibit 99.1 Gleacher & Company Announces Reopening of Stockholder Proposal Period In Response to Request by Stockholder Clinton Group, Inc., Company to Allow Further Stockholder Nominations to the Board of Directors NEW YORK, NY— Mar. 26, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that it has received a letter from a stockholder of the Com |
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| March 26, 2013 |
Exhibit 99.1 Gleacher & Company Announces Reopening of Stockholder Proposal Period In Response to Request by Stockholder Clinton Group, Inc., Company to Allow Further Stockholder Nominations to the Board of Directors NEW YORK, NY— Mar. 26, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that it has received a letter from a stockholder of the Company, Clinton Group, Inc., requesting |
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| February 26, 2013 |
GLCH / Gleacher & Company, Inc. / MATLINPATTERSON LLC - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (AMENDMENT NO. 10) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)* GLEACHER & COMPANY, INC. (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE (Title of Class of Securitie |
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| February 26, 2013 |
EXHIBIT 20 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of MatlinPatterson FA Acquisition LLC, MatlinPatterson LLC, MatlinPatterson PE Holdings LLC, MP II Preferred Partners L. |
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| February 26, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive |
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| February 26, 2013 |
EXHIBIT 21 MatlinPatterson FA Acquisition LLC 520 Madison Avenue, 35th Floor New York, New York 10022-421 February 22, 2013 Via Hand Delivery, Email and Facsimile Gleacher & Company, Inc. |
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| February 26, 2013 |
EXHIBIT 20 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of MatlinPatterson FA Acquisition LLC, MatlinPatterson LLC, MatlinPatterson PE Holdings LLC, MP II Preferred Partners L. |
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| February 26, 2013 |
EXHIBIT 21 MatlinPatterson FA Acquisition LLC 520 Madison Avenue, 35th Floor New York, New York 10022-421 February 22, 2013 Via Hand Delivery, Email and Facsimile Gleacher & Company, Inc. |
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| February 25, 2013 |
EX-99.2 3 a13-59581ex99d2.htm EX-99.2 Exhibit 99.2 Gleacher & Company Announces Planned Board of Directors Transition as of 2013 Annual Stockholders Meeting in May Company Expresses Gratitude to Dr. Bienen, Messrs. Gerard, Rohde and Yingling for Years of Service Played Key Role in Review of Strategic Options NEW YORK, NY— Feb. 25, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that |
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| February 25, 2013 |
Exhibit 99.1 February 23, 2013 VIA FACSIMILE 212-273-7321 THOMAS J. HUGHES Chief Executive Officer Gleacher & Company, Inc. 1290 Avenue of the Americas New York, NY 10104 Dear Tom: We are writing to inform you that it is not our intention to stand for re-election to the Company’s Board of Directors at the next Annual Meeting. As you know, last June the Board of Directors unanimously adopted a reso |
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| February 25, 2013 |
EX-99.1 2 a13-59581ex99d1.htm EX-99.1 Exhibit 99.1 February 23, 2013 VIA FACSIMILE 212-273-7321 THOMAS J. HUGHES Chief Executive Officer Gleacher & Company, Inc. 1290 Avenue of the Americas New York, NY 10104 Dear Tom: We are writing to inform you that it is not our intention to stand for re-election to the Company’s Board of Directors at the next Annual Meeting. As you know, last June the Board o |
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| February 25, 2013 |
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 earliest event reported): February 23 , 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Num |
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| February 25, 2013 |
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 earliest event reported): February 23 , 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Num |
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| February 25, 2013 |
EX-99.2 3 a13-59581ex99d2.htm EX-99.2 Exhibit 99.2 Gleacher & Company Announces Planned Board of Directors Transition as of 2013 Annual Stockholders Meeting in May Company Expresses Gratitude to Dr. Bienen, Messrs. Gerard, Rohde and Yingling for Years of Service Played Key Role in Review of Strategic Options NEW YORK, NY— Feb. 25, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced that |
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| February 20, 2013 |
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 earliest event reported): February 19, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numb |
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| February 15, 2013 |
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 earliest event reported): February 13, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numb |
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| February 15, 2013 |
GLCH / Gleacher & Company, Inc. / MENDON CAPITAL ADVISORS CORP - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 (Original Filing)(1) GLEACHER & CO, LLC (Name of Issuer) Common Stock (Title of Class of Securities) 89376100 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 15, 2013 |
Exhibit 99.1 GLEACHER & COMPANY REPORTS FOURTH QUARTER AND YEAR END 2012 FINANCIAL RESULTS Company Announces Sale of ClearPoint Company Concludes Formal Strategic Review NEW YORK, N.Y., February 15, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) today reported net revenues of $50.9 million, net loss from continuing operations of ($11.5) million, or ($10.8) million on a non-GAAP basis, and diluted |
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| January 29, 2013 |
Gleacher & Company Announces Eric Gleacher To Leave Firm Exhibit 99.1 Gleacher & Company Announces Eric Gleacher To Leave Firm NEW YORK — January 29, 2013 — Gleacher & Company, Inc. (Nasdaq: GLCH) announced today that Eric J. Gleacher has resigned as Chairman of the Company’s Board of Directors and as an officer and director of the Company, and will be leaving the firm. Said Mr. Gleacher, “I simply decided that it was time for me to focus my attention a |
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| January 29, 2013 |
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 earliest event reported): January 28, 2013 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numbe |
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| January 11, 2013 |
GLEACHER & COMPANY, INC. 1290 Avenue of the Americas New York, New York 10104 January 11, 2013 Via EDGAR Submission Mr. Hugh West Accounting Branch Chief Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Gleacher & Company, Inc. Form 10-K for the Fiscal Year Ended December 31, 2011 Filed March 20, 2012 File No. 000-14140 De |
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| December 21, 2012 |
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 earliest event reported): December 18, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numb |
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| November 8, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 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 earliest event reported): November 8, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numbe |
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| November 8, 2012 |
GLEACHER & COMPANY REPORTS THIRD QUARTER 2012 FINANCIAL RESULTS Company pursuing sale of ClearPoint Exhibit 99.1 GLEACHER & COMPANY REPORTS THIRD QUARTER 2012 FINANCIAL RESULTS Company pursuing sale of ClearPoint NEW YORK, N.Y., November 8, 2012 — Gleacher & Company, Inc. (Nasdaq: GLCH) today reported net revenues of $43.3 million, net loss from continuing operations of ($2.8) million, and diluted loss per share of ($0.02). Highlights · Hired industry veteran Randy Barker as Head of Investment B |
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| August 23, 2012 |
August 17, 2012 /s/ Thomas J. Hughes Date Signature of Participant Exhibit 10.2 Gleacher & Company, Inc. August 17, 2012 Mr. Thomas J. Hughes Chief Executive Officer Gleacher & Company, Inc. 1290 Avenue of the Americas New York, NY 10104 Re: Participation in Gleacher & Company Senior Management Compensation and Retention Plan Dear Mr. Hughes: As you know, this is an exciting and challenging time for Gleacher & Company, Inc. As part of its strategy to retain key e |
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| August 23, 2012 |
August 17, 2012 /s/ John Griff Date Signature of Participant Exhibit 10.3 Gleacher & Company, Inc. August 17, 2012 Mr. John Griff Chief Operating Officer Gleacher & Company, Inc. 1290 Avenue of the Americas New York, NY 10104 Re: Participation in Gleacher & Company Senior Management Compensation and Retention Plan Dear Mr. Griff: As you know, this is an exciting and challenging time for Gleacher & Company, Inc. As part of its strategy to retain key employee |
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| August 23, 2012 |
GLEACHER & COMPANY SENIOR MANAGEMENT COMPENSATION AND RETENTION PLAN Effective August 17, 2012 Exhibit 10.1 GLEACHER & COMPANY SENIOR MANAGEMENT COMPENSATION AND RETENTION PLAN Effective August 17, 2012 TABLE OF CONTENTS Section 1. Introduction 1 1.1. Establishment and Purpose 1 1.2. Effective Date 1 Section 2. Definitions and Construction 2 2.1. Definitions 2 2.2. Gender and Number 5 Section 3. Participation by Eligible Employees 6 3.1. Generally 6 3.2. Nature of Benefit 6 Section 4. Sever |
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| August 23, 2012 |
August 17, 2012 /s/ Patricia Arciero-Craig Date Signature of Participant Exhibit 10.4 Gleacher & Company, Inc. August 17, 2012 Ms. Patricia Arciero-Craig General Counsel and Secretary Gleacher & Company, Inc. 1290 Avenue of the Americas New York, NY 10104 Re: Participation in Gleacher & Company Senior Management Compensation and Retention Plan Dear Ms. Arciero-Craig: As you know, this is an exciting and challenging time for Gleacher & Company, Inc. As part of its strat |
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| August 23, 2012 |
August 17, 2012 /s/ Bryan Edmiston Date Signature of Participant Exhibit 10.5 Gleacher & Company, Inc. August 17, 2012 Mr. Bryan Edmiston Controller Gleacher & Company, Inc. 1290 Avenue of the Americas New York, NY 10104 Re: Participation in Gleacher & Company Senior Management Compensation and Retention Plan Dear Mr. Edmiston: As you know, this is an exciting and challenging time for Gleacher & Company, Inc. As part of its strategy to retain key employees to h |
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| August 23, 2012 |
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 earliest event reported): August 17, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number |
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| August 7, 2012 |
GLEACHER & COMPANY REPORTS SECOND QUARTER 2012 FINANCIAL RESULTS Exhibit 99.1 GLEACHER & COMPANY REPORTS SECOND QUARTER 2012 FINANCIAL RESULTS NEW YORK, N.Y., August 7, 2012 — Gleacher & Company, Inc. (Nasdaq: GLCH) today reported net revenues of $44.6 million, net loss from continuing operations of ($60.8) million, or ($7.6) million on a non-GAAP basis, and diluted loss per share of ($0.51), or ($0.06) on a non-GAAP basis for the quarter ended June 30, 2012. A |
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| August 7, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 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 earliest event reported): August 7, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| June 22, 2012 |
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 earliest event reported): June 19, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) |
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| June 7, 2012 |
Regulation FD Disclosure, Financial Statements and Exhibits - 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 earliest event reported): June 7, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 2 |
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| June 7, 2012 |
Exhibit 99.1 Thomas J. Hughes Chief Executive Officer Sandler O’Neill Global Exchange and Brokerage Conference June 7, 2012 Forward-Looking Statements and Non-GAAP Financial Results This presentation contains "forward-looking statements." These statements are not historical facts but instead represent the Company's belief or plans regarding future events, many of which, by their nature, are inhere |
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| June 1, 2012 |
Regulation FD Disclosure, Financial Statements and Exhibits - 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 earliest event reported): June 1, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 2 |
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| June 1, 2012 |
Gleacher & Company to Present at the Sandler O’Neill 2012 Global Exchange and Brokerage Conference Exhibit 99.1 Gleacher & Company to Present at the Sandler O’Neill 2012 Global Exchange and Brokerage Conference NEW YORK — June 1, 2012 — Gleacher & Company, Inc. (Nasdaq: GLCH) today announced its participation in the Sandler O’Neill 2012 Global Exchange and Brokerage Conference on June 7, 2012 at The St. Regis Hotel in New York City. Thomas Hughes, Chief Executive Officer, is currently scheduled |
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| May 31, 2012 |
Submission of Matters to a Vote of Security Holders 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 earliest event reported): May 24, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 2 |
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| May 17, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| May 3, 2012 |
GLEACHER & COMPANY REPORTS FIRST QUARTER 2012 FINANCIAL RESULTS Exhibit 99.1 GLEACHER & COMPANY REPORTS FIRST QUARTER 2012 FINANCIAL RESULTS NEW YORK, N.Y., May 3, 2012 – Gleacher & Company, Inc. (Nasdaq: GLCH) today reported net revenues of $64.7 million for the quarter ended March 31, 2012. On a GAAP basis, the Company reported net loss from continuing operations of ($4.7) million, or ($0.04) per diluted share, for the quarter ended March 31, 2012, compared |
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| May 3, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 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 earliest event reported): May 3, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Number) 22 |
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| April 26, 2012 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| April 25, 2012 |
x 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 earliest event reported): April 19, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numbe |
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| April 25, 2012 |
AMENDMENT TO THE GLEACHER & COMPANY, INC. (Effective April 19, 2012) Exhibit 3.1 AMENDMENT TO THE BYLAWS OF GLEACHER & COMPANY, INC. (Effective April 19, 2012) Pursuant to resolutions of the Board of Directors dated April 19, 2012, and Section 7.9(b) of the Bylaws, the Bylaws are hereby amended as follows. Section 2.10 of the Bylaws is hereby amended to read as follows: 2.10 Required Vote When a quorum is present at any meeting of stockholders, all matters, includi |
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| March 16, 2012 |
OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB Number: 3235-0058 Expires: April 30, 2012 Estimated average burden hours per response . . . . . . 2.50 SEC FILE NUMBER 000-14140 CUSIP NUMBER 337341102 (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: De |
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| March 6, 2012 |
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 earliest event reported): February 29, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numb |
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| March 6, 2012 |
EX-10.1 2 a12-65441ex10d1.htm EX-10.1 Exhibit 10.1 LIMITED GUARANTY LIMITED GUARANTY, dated as of February 29, 2012 (as amended, supplemented, or otherwise modified from time to time, this “Guaranty”), made by Gleacher and Company, Inc., a Delaware corporation (the “Guarantor”), in favor of Credit Suisse First Boston Mortgage Capital, LLC (the “Buyer”). RECITALS Pursuant to the Master Repurchase A |
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| March 6, 2012 |
Exhibit 10.2 LIMITED GUARANTY LIMITED GUARANTY, dated as of February 29, 2012 (as amended, supplemented, or otherwise modified from time to time, this “Guaranty”), made by Gleacher and Company, Inc., a Delaware corporation (the “Guarantor”), in favor of UBS Real Estate Securities Inc. (the “Buyer”). RECITALS Pursuant to the Master Repurchase Agreement, dated as of September 6, 2011 (as amended, su |
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| March 6, 2012 |
Exhibit 10.3 CONDITIONAL GUARANTY In consideration of Citibank, N.A.’s (“CITI”) commitment to purchase certain Schedule A Loans from Clearpoint Funding, Inc. (“Correspondent,”) pursuant to that certain Correspondent Loan Purchase Agreement between CITI and Correspondent (“Agreement”) and CITI’s 2/29/12 Special Bulletin accommodation to Correspondent describing a Modified Process for purchase of th |
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| February 9, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 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 earliest event reported): February 9, 2012 GLEACHER & COMPANY, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 0-14140 (Commission File Numbe |
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| February 9, 2012 |
Exhibit 99.1 GLEACHER & COMPANY REPORTS FOURTH QUARTER AND YEAR END 2011 FINANCIAL RESULTS Management Team Advances Company’s Strategic Plan, Delivering Improved Results NEW YORK, N.Y., February 9, 2012 — Gleacher & Company, Inc. (Nasdaq: GLCH) today reported net revenues of $61.8 million for the quarter ended December 31, 2011. The Company reported net income from continuing operations of $2.2 mi |
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| October 3, 2011 |
October 3, 2011 VIA EDGAR AND FACSIMILE Peggy Kim Special Counsel Office of Mergers & Acquisitions Securities and Exchange Commission 100 F Street, NE Washington, D. |
