Filing Details
- Accession Number:
- 0001181431-13-061387
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-04 16:24:02
- Reporting Period:
- 2013-12-02
- Filing Date:
- 2013-12-04
- Accepted Time:
- 2013-12-04 16:24:02
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1569391 | Kcg Holdings Inc. | KCG | Security Brokers, Dealers & Flotation Companies (6211) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1580395 | Jo Mary Schuler | C/O Serenity Investments, Llc 830 North Blvd. Oak Park IL 60301 | No | No | Yes | No | |
1580396 | Serenity Investments, Llc | 830 North Blvd. Oak Park IL 60301 | No | No | Yes | 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, Par Value $0.01 Per Share | Disposition | 2013-12-02 | 102,194 | $11.85 | 13,641,323 | No | 4 | S | Direct | |
Class A Common Stock, Par Value $0.01 Per Share | Disposition | 2013-12-03 | 266,444 | $11.48 | 13,374,879 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | S | Direct |
Footnotes
- Transactions executed in accordance with a Rule 10b5-1 trading plan established on November 1, 2013.
- Represents the sale of 102,194 shares in 20 separate transactions at prices ranging from $11.80 to $11.905 per share, resulting in a weighted average sale price per share of $11.85. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price.
- These shares of Class A Common Stock are held directly by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("Serenity"), and indirectly by Mary Jo Schuler. Mary Jo Schuler and her husband, Stephen G. Schuler, separately hold equity interests in Serenity that together represent a controlling interest in Serenity. Mary Jo Schuler disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.
- Represents the sale of 266,444 shares in 24 separate transactions at prices ranging from $11.45 to $11.80 per share, resulting in a weighted average sale price per share of $11.48. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price.