Filing Details
- Accession Number:
- 0001179110-11-001435
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-28 10:12:59
- Reporting Period:
- 2011-01-26
- Filing Date:
- 2011-01-28
- Accepted Time:
- 2011-01-28 10:12:59
- 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 |
---|---|---|---|---|---|---|---|
1314402 | Colin Heffron | C/O Gfi Group Inc. 55 Water Street New York NY 10041 | President | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2011-01-26 | 20,000 | $5.14 | 345,873 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | 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 | 2014-02-01 | 42,108 | 42,108 | Direct | |
Common Stock | Options to purchase Common Stock | $5.25 | 2014-02-01 | 52,632 | 52,632 | Direct | |
Common Stock | Restricted Stock Units | $0.00 | 160,000 | 160,000 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 13,309 | 13,309 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 179,556 | 179,556 | Direct | ||
Common Stock | Restricted Stock Units | $0.00 | 362,903 | 362,903 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2014-02-01 | 42,108 | 42,108 | Direct |
2014-02-01 | 52,632 | 52,632 | Direct |
160,000 | 160,000 | Direct | |
13,309 | 13,309 | Direct | |
179,556 | 179,556 | Direct | |
362,903 | 362,903 | Direct |
Footnotes
- Options are currently exercisable.
- Options are currently exercisable.
- Subject to any election to defer the settlement of vested Restricted Stock units, the Restricted Stock Units settle 1 for 1 upon vesting.
- The restricted stock units shall be subject to vesting in five annual installments on each of the anniversaries of date of grant, which was April 30, 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 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 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, 2010.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $5.14 to $5.15. 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 purchased at each separate price.