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
October 16, 2007
Date of Report (Date of earliest event reported)
Inter-Atlantic Financial, Inc.
(Exact name of registrant as specified in its charter)
| |
|
|
|
|
| Delaware
|
|
001-33721
|
|
20-8237170 |
(State or other jurisdiction
of incorporation)
|
|
(Commission File No.)
|
|
(IRS Employer Identification
No.) |
400 Madison Ave.
New York, NY 10017
(Address of principal executive offices including zip code)
Registrant’s telephone number, including area code:
(212) 581-2000
Not applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligation of the registrant under any of the
following provisions (See General Instruction A.2. below):
|
|
|
| o |
|
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|
|
|
| o |
|
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
|
|
|
| o |
|
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
|
|
|
| o |
|
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
TABLE OF CONTENTS
Item 8.01 Other Events
On October 16, 2007, Inter-Atlantic Financial, Inc. (the “Company”) announced the closing of
1,110,300 Units (“Units”) pursuant to the underwriters’ over-allotment option in addition to the
October 9, 2007 closing of its initial public offering for 7,500,000 Units for a total of 8,610,300
Units. Each unit consists of one ordinary share, par value $.0001, and one warrant. The units were
sold at an offering price of $8.00, generating gross proceeds to the Company of $68,882,400. Morgan
Joseph & Co. Inc. led the initial public offering. The Company’s units began trading on the
American Stock Exchange on Wednesday, October 3, 2007. Total proceeds placed into trust were
$68,515,928.
A copy of the Press Release issued by the Company announcing the closing of the underwriters’
over-allotment option is attached hereto as Exhibit 99.1.
On October 22, 2007, the Company announced that, commencing on October 23, 2007, the holders
of the Company’s Units may elect to separately trade the common stock and warrants included in such
Units. Those units not separated will continue to trade on the American Stock Exchange under the
symbol IAN.U, and each of the common stock and the warrants will trade on the American Stock
Exchange under symbols IAN and IAN.WS, respectively.
A copy of the Press Release issued by the Company announcing the separate trading of the
securities underlying the Units is attached hereto as Exhibit 99.2.
Item 9.01 Financial Statements and Exhibits
| |
(a) |
|
Not applicable. |
| |
| |
(b) |
|
Not applicable. |
| |
| |
(c) |
|
The following exhibits are furnished in accordance with the provisions of Item 601 of Regulation S-K: |
| |
|
|
| Exhibit |
|
|
| Number |
|
Description of Exhibit |
|
|
|
99.1
|
|
Press Release issued by Inter-Atlantic Financial, Inc. dated October 16, 2007 |
99.2
|
|
Press Release issued by Inter-Atlantic Financial, Inc. dated October 22, 2007 |
[signature on following page]
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the
Registrant has duly caused this Report to be signed on its behalf by the undersigned thereunto duly
authorized.
| |
|
|
|
|
| |
INTER-ATLANTIC FINANCIAL, INC.
|
|
| |
By: |
/s/ Andrew S. Lerner
|
|
| |
|
Andrew S. Lerner |
|
| |
|
Chief Executive Officer |
|
| |
Dated: October 23, 2007