SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549
FORM 8-K
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CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
January 11, 1999
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Date of Report (Date of earliest event reported)
POINT WEST CAPITAL CORPORATION.
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(Exact name of registrant as specified in its charter)
Delaware 0-27736 94-3165263
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(State or other (Commission (IRS Employer
jurisdiction of File Number) Identification
incorporation) No.)
1700 Montgomery Street, Suite 250, San Francisco, CA 94111
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(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (415)394-9467
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Item 5. Other Events.
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On January 11, 1999, The Company issued a press release
announcing the formation of Point West Securities
Item 7. Financial Statements, Pro Forma Financial Information and Exhibits.
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(c) Exhibits
99.1 Text of Press Release dated January 11, 1999
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of
1934, the Registrant has duly caused this Report to be signed on its behalf by
the undersigned thereunto duly authorized.
Point West Capital
Corporation
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By/s/Alan B. Perper
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President
Date: January 14, 1999
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EXHIBIT INDEX
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Exhibit Number Document Description Sequential
Page Number
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99.1 Text of Press Release dated
January 11, 1999 1
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FOR IMMEDIATE RELEASE
January 11, 1999
POINT WEST CAPITAL CORPORATION
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ANNOUNCES FORMATION OF POINT WEST SECURITIES
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SAN FRANCISCO-(January 11, 1999) Point West Capital Corporation (Nasdaq
Symbol: PWCC) today announced that it recently formed Point West Securities,
LLC, a broker-dealer licensed by the National Association of Securities Dealers,
Inc. and registered with the Securities and Exchange Commission. Point West
Securities is licensed as a broker dealer in California, Colorado, Connecticut,
Delaware, Illinois, Maryland, Minnesota, New Jersey, Oregon and Pennsylvania and
has applied to be licensed as a broker dealer in approximately 13 other states.
Point West Securities will offer investment banking services targeting
e-commerce, telecommunications, internet and other technology growth companies
as well as provide equity research and brokerage services to institutional
investors.
The Company reported that Point West Securities hired as a Managing
Director Michael Gallo (42), formerly a managing director with Morgan Fuller
Capital Group. Mr. Gallo has 18 years of experience in the securities industry
with firms including Bear Stearns, Genesis Merchant Group, J.P. Morgan and
Merrill Lynch.
Ward Rotter, the Chief Financial Officer of Point West Capital, a
financial services firm, stated that Point West Capital viewed the
expansion of its financial services into the broker dealer business to
be synergistic with its other businesses and that it saw opportunity
in light of the recent consolidation of broker dealers, especially in
the San Francisco Bay area.
KEYWORD CALIFORNIA AND INDUSTRY KEYWORD: SPECIALTY FINANCE).
CONTACTS: POINT WEST CAPITAL CORPORATION, SAN FRANCISCO.
Alan B. Perper, 415/394-9467
