Filing Details
- Accession Number:
- 0001181431-10-057616
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-24 16:21:53
- Reporting Period:
- 2010-11-22
- Filing Date:
- 2010-11-24
- Accepted Time:
- 2010-11-24 16:21:53
- 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 | 2010-11-22 | 50,000 | $9.84 | 215,698 | No | 4 | M | Direct | |
Class A Common Stock | Disposition | 2010-11-22 | 50,000 | $13.28 | 165,698 | No | 4 | S | Direct | |
Class A Common Stock | Acquisiton | 2010-11-23 | 50,000 | $9.84 | 215,698 | No | 4 | M | Direct | |
Class A Common Stock | Disposition | 2010-11-23 | 50,000 | $13.12 | 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 | 2010-11-22 | 50,000 | $9.84 | 50,000 | $9.84 |
Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2010-11-23 | 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 |
---|---|---|---|---|---|---|
1,413,630 | 2009-01-01 | 2011-01-01 | No | 4 | M | Direct |
1,363,630 | 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
- 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.
- Represents the sale of 50,000 shares in 9 separate transactions at prices ranging from $13.20 to $13.36 per share, resulting in a weighted average sale price per share of $13.279. 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.
- Represents the sale of 50,000 shares in 8 separate transactions at prices ranging from $13.06 to $13.18 per share, resulting in a weighted average sale price per share of $13.115. 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.
- Breakdown of aggregate number of derivative securities beneficially owned following reported transactions (which have different exercise and expiration dates): 363,630 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.