Filing Details
- Accession Number:
- 0001209191-11-010388
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-17 09:44:42
- Reporting Period:
- 2011-02-15
- Filing Date:
- 2011-02-17
- Accepted Time:
- 2011-02-17 09:44:42
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1111559 | Tradestation Group Inc | TRAD | Security Brokers, Dealers & Flotation Companies (6211) | 650977576 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1236837 | J Marc Stone | 8050 Sw 10Th Street Suite 4000 Plantation FL 33324 | Vp Corp Dev, Gen Counsel & Sec | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-02-15 | 12,169 | $0.00 | 84,055 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2011-02-15 | 706 | $7.14 | 83,349 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-02-15 | 6,013 | $7.16 | 77,336 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-02-15 | 100 | $7.17 | 77,236 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-02-15 | 3,000 | $1.39 | 80,236 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-15 | 1,550 | $7.14 | 78,686 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-02-15 | 1,350 | $7.17 | 77,336 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-02-15 | 100 | $7.19 | 77,236 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2011-02-15 | 13,750 | $0.00 | 13,750 | $7.11 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2011-02-15 | 3,000 | $1.39 | 3,000 | $1.39 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 13,750 | 2012-02-15 | 2021-02-14 | No | 4 | A | Direct |
| 3,000 | 2007-12-24 | 2012-12-24 | No | 4 | M | Direct |
Footnotes
- The issuance of these shares is pursuant to a restricted stock grant under the Company's incentive stock plan. The shares issued will vest 50% on the third anniversary of the date of grant and 100% on the sixth anniversary, with 100% acceleration upon retirement, death, disability and change in control of the Company. Any unvested shares at the time of termination of employment must be resold to the Company for $0.
- Stock option becomes exercisable in one-fifth (1/5) increments on February 15, 2012, 2013, 2014, 2015 and 2016, with 100% acceleration of vesting upon death, disability and change in control of the Company.
- The derivative securities exercised (3,000 in total) became fully vested and exercisable on December 24, 2007.
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