UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
Under the Securities Exchange Act of 1934
(AMENDMENT NO. 7)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND
AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)*
BROADPOINT SECURITIES GROUP, INC. (f/k/a First Albany Companies Inc.)
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(Name of Issuer)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
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(Title of Class of Securities)
318465101
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(CUSIP Number)
Robert H. Weiss
General Counsel
MatlinPatterson Global Advisers LLC
520 Madison Avenue
New York, New York 10022
Telephone: (212) 651-9525
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
June 4, 2009
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(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of ss.ss.240.13d-l(e), 240.13d-l(f) or 240.13d-l(g), check the
following box [ ]
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss. 240.13d-7 for other
parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Exchange Act") or otherwise subject to the liabilities of that section of
the Exchange Act but shall be subject to all other provisions of the Exchange
Act (however, see the Notes).
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MatlinPatterson FA Acquisition LLC
-------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 43,093,261
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
43,093,261
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
43,093,261
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
53.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
2
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MP II Preferred Partners L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 43,093,261
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
43,093,261
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
43,093,261
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
53.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
3
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MatlinPatterson Global Opportunities Partners II L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-
-------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
4
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MatlinPatterson Global Opportunities Partners (Cayman) II L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
5
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MatlinPatterson Global Partners II LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
HC
--------------------------------------------------------------------------------
6
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MatlinPatterson Global Advisers LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
-------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES -0-
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IA
--------------------------------------------------------------------------------
7
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MatlinPatterson Asset Management LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 43,093,261
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
43,093,261
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
43,093,261
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
53.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
HC
--------------------------------------------------------------------------------
8
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MatlinPatterson LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 43,093,261
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
43,093,261
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
43,093,261
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
53.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
HC
--------------------------------------------------------------------------------
9
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
David J. Matlin
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 43,093,261
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
43,093,261
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
43,093,261
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
53.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
10
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
Mark R. Patterson
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 43,093,261
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
43,093,261
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
43,093,261
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
53.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
11
CUSIP NO. 318465101
SCHEDULE 13D
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON
MP Preferred Partners GP LLC
-------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
AF, OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
-0-
---------------------------------------------------
8 SHARED VOTING POWER
NUMBER OF
SHARES 43,093,261
BENEFICIALLY OWNED ---------------------------------------------------
BY EACH REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH -0-
---------------------------------------------------
10 SHARED DISPOSITIVE POWER
43,093,261
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
43,093,261
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
53.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
HC
--------------------------------------------------------------------------------
12
INTRODUCTION.
This amendment ("Amendment No.7") amends the Schedule 13D Statement, dated May
14, 2007 (the "Statement", and as amended by Amendment No. 1 thereto, dated July
24, 2007, Amendment No. 2 thereto, dated September 21, 2007, Amendment No. 3
thereto, dated February 26, 2008, Amendment No. 4 thereto, dated February 29,
2008, Amendment No. 5 thereto, dated June 4, 2008 and Amendment No. 6 thereto,
dated February 17, 2009, the "Amended Statement") filed on behalf of (i)
MatlinPatterson FA Acquisition LLC ("Matlin FA"), a Delaware limited liability
company, (ii) MatlinPatterson Global Opportunities Partners II L.P. ("Matlin
Partners (Delaware)"), a Delaware limited partnership, (iii) MatlinPatterson
Global Opportunities Partners (Cayman) II L.P. ("Matlin Partners (Cayman)" and,
together with Matlin Partners (Delaware), the "Matlin Partners"), a Cayman
Islands limited partnership, (iv) MatlinPatterson Global Advisers LLC ("Matlin
Advisers"), a Delaware limited liability company, by virtue of its investment
authority over securities held by each of the Matlin Partners, (v)
MatlinPatterson Global Partners II LLC ("Matlin Global Partners"), a Delaware
limited liability company, as the general partner of each of the Matlin
Partners, (vi) MatlinPatterson Asset Management LLC ("Matlin Asset Management"),
a Delaware limited liability company, as the holder of all of the membership
interests in Matlin Global Partners and Matlin Advisers, (vii) MatlinPatterson
LLC ("MatlinPatterson"), a Delaware limited liability company, as the holder of
all of the membership interests in Matlin Asset Management, (viii) David J.
Matlin and Mark R. Patterson each, as a holder of 50% of the membership
interests in MatlinPatterson, (ix) Christopher Pechock and Frank Plimpton, each
an employee of Matlin Advisers, as the persons named in the Proxies described in
the Statement, (x) MPII Special Cayman Ltd. ("MPII Special"), an exempted
company incorporated in the Cayman Islands, MP II Preferred Partners L.P. ("MP
Preferred Partners"), a Cayman Islands limited partnership and MP Preferred
Partners GP LLC ("MP Preferred Partners GP"), a Delaware limited liability
company. Matlin FA, Matlin Partners, Matlin Advisers, Matlin Global Partners,
Matlin Asset Management, MatlinPatterson, David J. Matlin, Mark R. Patterson, MP
Preferred Partners and MP Preferred Partners GP are collectively referred to in
this Amendment No. 7 as the "Reporting Persons" and each is a "Reporting
Person." Christopher Pechock and Frank Plimpton ceased to hold any voting rights
in the shares described in the Statement as of September 21, 2007 (as reflected
in Amendment No. 2 to the Statement and Amendment No. 3 to the Statement) and MP
II Special ceased to be a member of Matlin FA (as reflected in Amendment No. 6
to the Statement) and are no longer Reporting Persons for the purpose hereof.
The Statement, as previously amended, disclosed the shared beneficial ownership
by the Reporting Persons (other than MP Preferred Partners and MP Preferred
Partners GP) of 43,093,261 shares (the "Shares") of the common stock, par value
$0.01 per share ("Common Stock"), of Broadpoint Securities Group, Inc. (the
"Issuer") held by Matlin FA. On June 4, 2009, the equity interests in Matlin FA
were transferred from limited partnerships whose general partner is solely owned
by Matlin Asset Management to a limited partnership whose general partner is
also solely owned by MatlinPatterson Asset Management as follows: Matlin
Partners contributed all of their equity interests in Matlin FA to MP Preferred
Partners and MP Preferred Partners was admitted as the sole member of Matlin FA.
Matlin Asset Management is the sole owner of Matlin Global Partners, the general
partner of the transferor, Matlin Partners. Matlin Asset Management is also the
sole owner of MP Preferred Partners GP, the general partner of the transferee,
MP Preferred Partners. This Amendment No. 7 is being filed to disclose MP
Preferred Partners' and MP Preferred Partners GP's shared beneficial ownership
of the Shares and to disclose that the Matlin Partners, Matlin Global Partners
and Matlin Advisers are no longer Reporting Persons for the purpose hereof.
Capitalized terms used and not defined in this Amendment No. 7 shall have the
meanings set forth in the Amended Statement. Except as specifically provided
herein, this Amendment No. 7 does not modify any of the information previously
reported on the Amended Statement.
ITEM 2. IDENTITY AND BACKGROUND
Item 2 is amended and supplemented by deleting sections (ii,), (iii), (iv), (v)
and (viii) thereof and replacing them with the following:
(ii) MP Preferred Partners is a limited partnership organized under the laws of
the Cayman Islands. The principal business of MP Preferred Partners is investing
in equity and debt securities of companies.
(iii) [intentionally omitted].
(iv) MP Preferred Partners GP is a limited liability company organized under the
laws of Delaware. The principal business of MP Preferred Partners GP is to serve
as General Partner of MP Preferred Partners.
(v) Matlin Asset Management is a limited liability company organized under the
laws of Delaware. Matlin Asset Management is the holder of all the membership
interests in MP Preferred Partners. Matlin Asset Management's principal business
is owning Matlin Global Partners and Matlin Advisers.
(viii) [intentionally omitted].
13
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Item 7 is amended and supplemented by adding the following:
1 Joint Filing Agreement dated as of June 5, 2009 among the Reporting
Persons.
14
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, we certify
that the information set forth in this Statement is true, complete and correct.
Dated: June 5, 2009
MATLINPATTERSON FA ACQUISITION LLC
By: /s/ Robert H. Weiss
--------------------------------------------
Name: Robert H. Weiss
Title: Vice President
MP PREFERRED PARTNERS GP LLC
By: /s/ Robert H. Weiss
--------------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MATLINPATTERSON LLC
By: /s/ Mark R. Patterson
--------------------------------------------
Name: Mark R. Patterson
Title: Member
MATLINPATTERSON ASSET MANAGEMENT LLC
By: /s/ Robert H. Weiss
--------------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MATLINPATTERSON GLOBAL ADVISERS LLC
By: /s/ Robert H. Weiss
--------------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MATLINPATTERSON GLOBAL PARTNERS II LLC
By: /s/ Robert H. Weiss
--------------------------------------------
Name: Robert H. Weiss
Title: General Counsel
15
MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS II L.P.
By: MatlinPatterson Global Partners II LLC,
its general partner
By: /s/ Robert H. Weiss
--------------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MATLINPATTERSON GLOBAL OPPORTUNITIES PARTNERS (Cayman) L.P.
By: MatlinPatterson Global Partners II LLC,
its general partner
By: /s/ Robert H. Weiss
--------------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MP II PREFERRED PARTNERS L.P.
By: MP Preferred Partners GP LLC,
its general partner
By: /s/ Robert H. Weiss
--------------------------------------------
Name: Robert H. Weiss
Title: General Counsel
DAVID J. MATLIN
By: /s/ David J. Matlin
--------------------------------------------
Name: David J. Matlin
MARK R. PATTERSON
By: /s/ Mark R. Patterson
--------------------------------------------
Name: Mark R. Patterson
16
EXHIBIT INDEX
-------------
1 Joint Filing Agreement, dated as of June 5, 2009, among the Reporting
Persons.
EXHIBIT 1
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 Asset Management LLC,
MatlinPatterson Global Advisers LLC, MatlinPatterson Global Partners II LLC,
MatlinPatterson Global Opportunities Partners II L.P., MatlinPatterson Global
Opportunities Partners (Cayman) II L.P., MP II Preferred Partners L.P, MP
Preferred Partners GP LLC, David J. Matlin and Mark R. Patterson, on behalf of
each of them a statement on Schedule 13D (including amendments thereto) with
respect to shares of common stock, par value $0.01 per share, of Broadpoint
Securities Group, Inc., formerly known as First Albany Companies Inc., a New
York corporation, and that this Agreement be included as an Exhibit to such
joint filing. This Agreement may be executed in any number of counterparts all
of which taken together shall constitute one and the same instrument.
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 5th day
of June 2009.
MATLINPATTERSON FA ACQUISITION LLC
By: /s/ Robert H. Weiss
-------------------------------------
Name: Robert H. Weiss
Title: Vice President
MATLINPATTERSON LLC
By: /s/ Mark R. Patterson
-------------------------------------
Name: Mark R. Patterson
Title: Member
MATLINPATTERSON ASSET MANAGEMENT LLC
By: /s/ Robert H. Weiss
-------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MATLINPATTERSON GLOBAL ADVISERS LLC
By: /s/ Robert H. Weiss
-------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MATLINPATTERSON GLOBAL PARTNERS II LLC
By: /s/ Robert H. Weiss
-------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MATLINPATTERSON GLOBAL OPPORTUNITIES
PARTNERS II L.P.
By: MatlinPatterson Global Partners II
LLC, its general partner
By: /s/ Robert H. Weiss
-------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MATLINPATTERSON GLOBAL OPPORTUNITIES
PARTNERS (Cayman) L.P.
By: MatlinPatterson Global Partners II
LLC, its general partner
By: /s/ Robert H. Weiss
-------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MP II PREFERRED PARTNERS L.P.
By: MP Preferred Partners GP LLC, its
general partner
By: /s/ Robert H. Weiss
-------------------------------------
Name: Robert H. Weiss
Title: General Counsel
MP PREFERRED PARTNERS GP LLC
By: /s/ Robert H. Weiss
-------------------------------------
Name: Robert H. Weiss
Title: General Counsel
DAVID J. MATLIN
By: /s/ David J. Matlin
-------------------------------------
Name: David J. Matlin
MARK R. PATTERSON
By: /s/ Mark R. Patterson
-------------------------------------
Name: Mark R. Patterson