Filing Details

Accession Number:
0001209191-14-007605
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-05 17:03:35
Reporting Period:
2014-02-03
Filing Date:
2014-02-05
Accepted Time:
2014-02-05 17:03:35
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
1580561 Stephen Schuler Kcg Holdings, Inc.,
545 Washington Boulevard
Jersey City NJ 07310
Yes 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 2014-02-03 425,000 $11.04 10,161,251 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Restricted Stock Units (Previously Reported) 7,221 Direct
Footnotes
  1. Represents the sale of 375,000 shares of KCG Class A Common Stock to Daniel Coleman, KCG's Chief Executive Officer, and the sale of 50,000 shares of KCG Class A Common Stock to Charles Haldeman, the Non-Executive Chairman of KCG's Board of Directors, each in a private transaction for a price of $11.0443 per share (the volume weighted average price for February 3, 2014).
  2. Total amount reflects a reduction of 1,457,266 shares of KCG Class A Common Stock as a result of a pro rata distribution effected by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("Serenity"), on December 31, 2013 in a transaction exempt from reporting.
  3. These shares of Class A Common Stock are held by Serenity. The reporting person and his wife separately hold equity interests in Serenity that together represent a controlling interest in Serenity. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.