Filing Details
- Accession Number:
- 0001179110-11-005906
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-04 17:45:06
- Reporting Period:
- 2011-03-31
- Filing Date:
- 2011-04-04
- Accepted Time:
- 2011-04-04 17:45:06
- 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 | Acquisiton | 2011-03-31 | 13,309 | $0.00 | 359,182 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-03-31 | 6,152 | $5.02 | 353,030 | No | 4 | F | Direct | |
Common Stock | Acquisiton | 2011-03-31 | 88,438 | $0.00 | 441,468 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-03-31 | 40,877 | $5.02 | 400,591 | No | 4 | F | Direct | |
Common Stock | Acquisiton | 2011-03-31 | 119,757 | $0.00 | 520,348 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-03-31 | 55,352 | $5.02 | 464,996 | No | 4 | F | Direct | |
Common Stock | Disposition | 2011-03-31 | 20,000 | $5.00 | 444,996 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Restricted Stock Units | Disposition | 2011-03-31 | 13,309 | $0.00 | 13,309 | $0.00 |
Common Stock | Restricted Stock Units | Disposition | 2011-03-31 | 88,438 | $0.00 | 88,438 | $0.00 |
Common Stock | Restricted Stock Units | Disposition | 2011-03-31 | 119,757 | $0.00 | 119,757 | $0.00 |
Common Stock | Restricted Stock Units | Acquisiton | 2011-03-31 | 522,388 | $0.00 | 522,388 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | M | Direct | ||
91,118 | No | 4 | M | Direct | ||
243,146 | No | 4 | M | Direct | ||
522,388 | No | 4 | A | 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 |
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 |
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 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, 2011.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.