Filing Details
- Accession Number:
- 0000899243-17-010856
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-04-25 16:30:06
- Reporting Period:
- 2017-04-21
- Filing Date:
- 2017-04-25
- Accepted Time:
- 2017-04-25 16:30:06
- 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 |
|---|---|---|---|---|---|---|---|
| 1585000 | A Gregory Tusar | Kcg Holdings, Inc. 300 Vesey Street New York NY 10282 | See Remarks | No | 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 | 2017-04-21 | 75,910 | $0.00 | 288,480 | No | 4 | M | Direct | |
| Class A Common Stock, Par Value $0.01 Per Share | Disposition | 2017-04-21 | 158,080 | $0.00 | 130,400 | No | 4 | S | Direct | |
| Class A Common Stock, Par Value $0.01 Per Share | Acquisiton | 2017-04-24 | 11,600 | $0.00 | 142,000 | No | 4 | M | Direct | |
| Class A Common Stock, Par Value $0.01 Per Share | Disposition | 2017-04-24 | 32,100 | $0.00 | 109,900 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Options (right to buy) | Disposition | 2017-04-21 | 75,910 | $0.00 | 75,910 | $8.25 |
| Class A Common Stock | Stock Options (right to buy) | Disposition | 2017-04-24 | 11,600 | $0.00 | 11,600 | $8.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 15,000 | 2018-08-20 | No | 4 | M | Direct | |
| 3,400 | 2018-08-20 | No | 4 | M | Direct |
Footnotes
- Reflects the exercise by the Reporting Person of Stock Options granted by KCG Holdings, Inc. under the KCG Holdings, Inc. Amended and Restated Equity Incentive Plan.
- Represents the sale of 158,080 shares in multiple transactions at prices ranging from $19.75 to $19.76 per share, resulting in a weighted average sale price per share of $19.75. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price.
- Represents the sale of 32,100 shares in multiple transactions at prices ranging from $19.75 to $19.78 per share, resulting in a weighted average sale price per share of $19.76. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price.
- Stock options granted by KCG Holdings, Inc. under the KCG Holdings, Inc. Amended and Restated Equity Incentive Plan. The options vested in full on August 20, 2016.
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