<PAGE> United States
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(X) Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange
Act of 1934.
For the fiscal year ended September 30, 1993 Or
( ) 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 1-8408
THE ADVEST GROUP, INC.
(Exact name of registrant as specified in its charter)
Delaware 06-0950444
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification Number)
One Commercial Plaza - 280 Trumbull Street Hartford, Connecticut 06103
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code: (203) 525-1421
Securities registered pursuant to Section 12(b) of the Act: Yes
Name of each exchange on
Title of each class which registered
Common Stock, $.01 Par Value New York Stock Exchange, Inc.
9% Convertible Subordinated Debentures New York Stock Exchange, Inc.
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by an (X) whether the Registrant (1) has filed all reports required to
be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during
the preceding 12 months (or for such shorter period that the Registrant was
required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days. Yes X No
Indicate by an (X) if disclosure of delinquent filers pursuant to item 405 of
Regulation S-K is not contained herein, and will not be contained, to the best
of Registrant's knowledge, in definitive proxy or information statements
incorporated by reference in Part III of this Form 10-K or any amendment to this
Form 10-K. [ ]
The aggregate market value of voting stock held by non-affiliates of the
Registrant was $59,431,701 as of December 1, 1993.
On December 1, 1993, the Registrant has outstanding 8,992,117 shares of common
stock of $.01 par value, which is the Registrant's only class of common stock.
Parts I, II and IV incorporate information by reference from the Registrant's
1993 Annual Report to Shareholders. Part III incorporates information by
reference from the Registrant's definitive proxy statement for the annual
meeting to be held on January 27, 1994.
Page 1 -- total of sequentially numbered pages is 3.
<PAGE>
THE ADVEST GROUP, INC.
FORM 10-K/A for the Period Ending 9/30/93
EXHIBIT INDEX
Exhibits identified in parentheses below, on file with the SEC, are incorporated
by reference as exhibits hereto.
Exhibit Sequential
Number Page
Number
99.1 Annual Report on Form ll-K for 3
The Advest Thrift Plan for the
plan year ended December 31, 1993
(filed as Exhibit 99.1 to Form
SE dated 7/14/94. File No. 1-8404).
Page 2
<PAGE>
THE ADVEST GROUP, INC.
FORM 10-K/A for the Period Ending 9/30/93
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this amendment to be signed on its behalf by the
undersigned thereunto duly authorized.
THE ADVEST GROUP, INC.
(Registrant)
By Martin Lilienthal
Martin Lilienthal
Chief Financial Officer
Date: July 14, 1994
