Filing Details
- Accession Number:
- 0001209191-14-007641
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-05 17:26:18
- Reporting Period:
- 2014-02-03
- Filing Date:
- 2014-02-05
- Accepted Time:
- 2014-02-05 17:26:18
- 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 | 2014-02-03 | 425,000 | $11.04 | 10,161,251 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Footnotes
- Represents the sale of 375,000 shares of Class A Common Stock to Daniel Coleman, KCG's Chief Executive Officer, and the sale of 50,000 shares of 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 with respect to Mary Jo Schuler reflects a reduction of 1,457,266 shares of 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 directly by 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.