SEC Company Response from HIGHBURY FINANCIAL INC (CIK 0001335249) — Dec 19, 2005
HIGHBURY FINANCIAL INC (CIK 0001335249)
Date: Dec. 19, 2005 · CIK: 0001335249 · Accession: 0001144204-05-040317
AI Filing Summary & Sentiment
File numbers found in text: 333-127272
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CORRESP
1
filename1.htm
December
19,
2005
VIA
EDGAR
Securities
and Exchange Commission
100
F
Street, N.W.
Washington,
DC 20549
Attention:
Mr. John Reynolds
Re: Highbury
Financial Inc.
Registration
Statement on Form S-1 (File No. 333-127272)
Dear
Mr.
Reynolds:
In
connection with the above-referenced Registration Statement, on behalf of
the
Representative of the proposed Underwriters, we wish to advise you that the
Representative requests that the above-referenced Registration Statement
be
accelerated so that the same will become effective at 4:30 New York City
time,
on December 21, 2005, or as soon thereafter as practicable.
In
making
the foregoing request, we confirm that we are aware of our obligations under
Rule 460 under the Securities Act of 1933, as amended, and that in compliance
therewith, we have taken reasonable steps to make the information contained
in
the Registration Statement conveniently available to underwriters and dealers
who will be invited to participate in the distribution of the securities
registered thereunder. We further confirm that we have and will comply with
Rule
15c2-8 under the Securities Exchange Act of 1934, as amended, with respect
to
the distribution of Prospectuses. We have been informed by the other
underwriters and dealers participating in the distribution of this offering
that
such persons have and will comply with Rule 15c2-8 with respect to the
distribution of Prospectuses. Between October 28, 2005 and December 19, 2005
(48
business hours before proposed effectiveness of the Registration Statement)
we
distributed (i) 183 copies of the Preliminary Prospectus dated October 28,
2005,
of which no copies were distributed to other underwriters and approximately
183
to investors, including individuals and institutions, and (ii) 266 copies
of the
Preliminary Prospectus dated December 6, 2005, of which no copies were
distributed to other underwriters and approximately 266 to investors, including
individuals and institutions. Copies of the Preliminary Prospectus were
available to anyone requesting the same at the offices of the underwriters.
The
underwriting arrangements have been described to the National Association
of
Securities Dealers, Inc., and the Association has advised us that they have
no
objection to the underwriters’ compensation and other underwriting
arrangements.
Securities
and Exchange Commission
December
19, 2005
Page
2
If
you
have questions or comments regarding this request, please call Kenneth L.
Guernsey, Cooley Godward LLP at (415) 693-2000.
Sincerely,
ThinkEquity Partners LLC
By: /s/
Benjamin J. Davey
Name: Benjamin
J. Davey
Title: Managing
Director, Head of Syndicate