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
- 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).
- 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.
- 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.