Filing Details

Accession Number:
0001209191-14-006837
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-04 13:11:41
Reporting Period:
2014-02-03
Filing Date:
2014-02-04
Accepted Time:
2014-02-04 13:11:41
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
1328944 Daniel Coleman Kcg Holdings, Inc., 545 Washington
Boulevard
Jersey City NJ 07310
Chief Executive Officer Yes 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, Par Value $0.01 Per Share Acquisiton 2014-02-03 805,000 $11.04 1,274,878 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Restricted Stock Units (Previously Reported) 195,000 Direct
Footnotes
  1. Represents the purchase of (i) 375,000 shares of KCG Class A Common Stock from Daniel V. Tierney 2011 Trust, a 10% holder of KCG Class A Common Stock and a trust of which Daniel Tierney, a director of KCG, is the settlor and sole beneficiary, (ii) 375,000 shares of KCG Class A Common Stock from Serenity Investments, LLC, a 10% holder of KCG Class A Common Stock and a limited liability company in which Stephen Schuler, a director of KCG, and his wife together own a controlling interest, (iii) 25,000 shares of KCG Class A Common Stock from Steven Bisgay, KCG's Chief Financial Officer, and (iv) 30,000 shares of KCG Class A Common Stock from John McCarthy, KCG's General Counsel and Corporate Secretary, each in a private transaction for a price of $11.0443 per share (the volume weighted average price for February 3, 2014).