Filing Details

Accession Number:
0001181431-10-057056
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-11-22 16:16:43
Reporting Period:
2010-11-18
Filing Date:
2010-11-22
Accepted Time:
2010-11-22 16:16:43
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1060749 Knight Capital Group Inc. KCG Security Brokers, Dealers & Flotation Companies (6211) 223689303
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1235138 M Thomas Joyce Knight Capital Group, Inc.
545 Washington Boulevard
Jersey City NJ 07310
Chairman & Ceo No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2010-11-18 50,000 $9.84 215,698 No 4 M Direct
Class A Common Stock Disposition 2010-11-18 50,000 $13.54 165,698 No 4 S Direct
Class A Common Stock Acquisiton 2010-11-19 50,000 $9.84 215,698 No 4 M Direct
Class A Common Stock Disposition 2010-11-19 50,000 $13.51 165,698 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Stock Option (Right to Buy) Disposition 2010-11-18 50,000 $9.84 50,000 $9.84
Class A Common Stock Stock Option (Right to Buy) Disposition 2010-11-19 50,000 $9.84 50,000 $9.84
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,513,630 2009-01-01 2011-01-01 No 4 M Direct
1,463,630 2009-01-01 2011-01-01 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Restricted Stock Units (Previously Reported) 711,145 Direct
Restricted Class A Common Stock (Previously Reported) 57,884 Direct
Class A Common Stock (Previously Reported) 76,061 Indirect By Joyce Family 2009 GRAT
Class A Common Stock (Previously Reported) 200,000 Indirect By Joyce Family 2009 GRAT II
Class A Common Stock (Previously Reported) 400,000 Indirect By Joyce Family 2010 GRAT
Class A Common Stock (Previously Reported) 34,695 Indirect By Trust for Children
Footnotes
  1. Transactions executed in accordance with a previously established Rule 10b5-1 trading plan. Stock options exercised were previously reported and have an expiration date of January 1, 2011.
  2. Represents the sale of 50,000 shares in 14 separate transactions at prices ranging from $13.50 to $13.66 per share, resulting in a weighted average sale price per share of $13.535. Reporting person undertakes to provide the SEC, the Issuer, or security holder full information pertaining to the number of shares sold at each separate price.
  3. Represents the sale of 50,000 shares in 17 separate transactions at prices ranging from $13.43 to $13.59 per share, resulting in a weighted average sale price per share of $13.506. Reporting person undertakes to provide the SEC, the Issuer, or security holder full information pertaining to the number of shares sold at each separate price.
  4. Breakdown of aggregate number of derivative securities beneficially owned following reported transactions (which have different exercise and expiration dates): 463,630 options and 1,000,000 restricted stock units ("RSUs"). As previously reported, the RSUs reported in Table II of this filing vest based upon the stock price of the Issuer's Class A Common Stock reaching certain specified levels.