Filing Details
- Accession Number:
- 0001179110-10-004927
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-03-10 12:00:00
- Reporting Period:
- 2010-03-09
- Filing Date:
- 2010-03-10
- Accepted Time:
- 2010-03-10 17:39:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1292426 | Gfi Group Inc. | GFIG | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 800006224 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1361507 | Daniel Ronald Levi | C/O Gfi Group Inc. 55 Water Street New York NY 10041 | Chief Operating Officer | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2010-03-09 | 36,844 | $2.38 | 127,139 | No | 4 | M | Direct | |
Common Stock | Disposition | 2010-03-09 | 24,551 | $5.86 | 102,588 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Options to Purchase Common Stock | Disposition | 2010-03-09 | 36,844 | $2.38 | 36,844 | $2.38 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2010-04-03 | No | 4 | M | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Options to Purchase Common Stock | $2.97 | 2014-01-01 | 210,528 | 210,528 | Direct | |
Common Stock | Options to Purchase Common Stock | $2.38 | 2010-12-31 | 189,472 | 189,472 | Direct | |
Common Stock | Restricted Stock Units | $0.00 | 11,970 | 11,970 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 21,856 | 21,856 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 149,248 | 149,248 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 267,994 | 267,994 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-01-01 | 210,528 | 210,528 | Direct |
2010-12-31 | 189,472 | 189,472 | Direct |
11,970 | 11,970 | Direct | |
21,856 | 21,856 | Direct | |
149,248 | 149,248 | Direct | |
267,994 | 267,994 | Direct |
Footnotes
- Options are currently exercisable.
- Options are currently exercisable.
- The Restricted Stock Units settle 1 for 1 upon vesting.
- Represents an option to purchase 189,472 shares of the Issuer's issued and outstanding common stock owned by Jersey Partners Inc.
- The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2007.
- The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2008.
- The Restricted Stock Units vest 33% on August 31, 2009, 33% on August 31, 2010 and 34% on August 31, 2011 and have no expiration date.
- The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2009.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.85 to $5.93. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.