Filing Details
- Accession Number:
- 0000899243-17-011826
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-04 16:19:10
- Reporting Period:
- 2017-05-02
- Filing Date:
- 2017-05-04
- Accepted Time:
- 2017-05-04 16:19:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1569391 | Kcg Holdings Inc. | KCG | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1539519 | A John Mccarthy | Kcg Holdings, Inc., 300 Vesey Street New York NY 10282 | General Counsel | 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 | 2017-05-02 | 40,829 | $0.00 | 61,829 | No | 4 | X | Direct | |
| Class A Common Stock, Par Value $0.01 Per Share | Disposition | 2017-05-02 | 26,951 | $19.94 | 34,878 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | 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 | Class A Warrants (right to buy) | Disposition | 2017-05-02 | 13,610 | $0.00 | 13,610 | $11.70 |
| Class A Common Stock | Class A Warrants (right to buy) | Disposition | 2017-05-02 | 13,610 | $0.00 | 13,610 | $13.16 |
| Class A Common Stock | Class A Warrants (right to buy) | Disposition | 2017-05-02 | 13,609 | $0.00 | 13,609 | $14.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-07-01 | 2017-07-01 | No | 4 | X | Direct |
| 0 | 2013-07-01 | 2018-07-01 | No | 4 | X | Direct |
| 0 | 2013-07-01 | 2019-07-01 | No | 4 | X | Direct |
Footnotes
- On May 2, 2017, the reporting person exercised (i) a warrant to purchase 13,610 shares of KCG common stock for $11.70 a share, (ii) a warrant to purchase 13,610 shares of KCG common stock for $13.16 a share and (iii) a warrant to purchase 13,609 shares of KCG common stock for $14.63 a share. The reporting person paid the exercise price of each on a cashless basis, resulting in KCG's withholding of 26,951 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 13,878 shares. KCG also paid $41.48 to the reporting person in lieu of a fractional share.
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