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Filing Details

Accession Number:
0001181431-12-046746
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-08-21 15:28:14
Reporting Period:
2012-08-17
Filing Date:
2012-08-21
Accepted Time:
2012-08-21 15:28:14
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1060749 Knight Capital Group Inc. KCG Security Brokers, Dealers & Flotation Companies (6211) 223689303
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1443881 L.p. Vi Partners Capital Blackstone C/o The Blackstone Group L.p.
345 Park Avenue,
New York NY 10154
No No Yes No
1555905 L.p. Vi Partnership Investment Family Blackstone C/o The Blackstone Group L.p.
345 Park Avenue,
New York NY 10154
No No Yes No
1555906 L.p. Esc Vi Partnership Investment Family Blackstone C/o The Blackstone Group L.p.
345 Park Avenue,
New York NY 10154
No No Yes No
1556083 L.l.c. Vi Bma C/o The Blackstone Group L.p.
345 Park Avenue,
New York NY 10154
No No Yes No
1556088 L.l.c. Gp Side-By-Side Vi Bcp C/o The Blackstone Group L.p.
345 Park Avenue,
New York NY 10154
No No Yes No
1556089 L.l.c. Vi Associates Management Blackstone C/o The Blackstone Group L.p.
345 Park Avenue
New York NY 10154
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Series A-2 Non-Voting Cumulative Perpetual Conv Pref Stock Disposition 2012-08-17 1,741 $1,500.00 67,888 No 4 S Indirect (See Footnotes)
Series A-2 Non-Voting Cumulative Perpetual Conv Pref Stock Disposition 2012-08-17 1 $1,500.00 35 No 4 S Indirect (See Footnotes)
Series A-2 Non-Voting Cumulative Perpetual Conv Pref Stock Disposition 2012-08-17 10 $1,500.00 414 No 4 S Indirect (See Footnotes)
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect (See Footnotes)
No 4 S Indirect (See Footnotes)
No 4 S Indirect (See Footnotes)
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Series A-1 Cumulative Perpetual Convertible Preferred Stock Disposition 2012-08-17 432 $1,500.00 288,000 $0.00
Class A Common Stock Series A-1 Cumulative Perpetual Convertible Preferred Stock Disposition 2012-08-17 3 $1,500.00 2,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
16,866 No 4 S Indirect
102 No 4 S Indirect
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Series A-1 Cumulative Perpetual Convertible Preferred Stock $0.00 5,333 8 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
5,333 8 Indirect
Footnotes
  1. Following the reported transactions, Blackstone Funds (as defined below) beneficially own, in the aggregate, 16,976 shares of Series A-1 Cumulative Perpetual Convertible Preferred Stock, par value $0.01 per share (the "Series A-1 Preferred Stock") (convertible in accordance with the terms thereof at an initial conversion rate of 666.667 shares of Class A Common Stock, par value $0.01 per share (the "Common Stock"), per $1,000 of stated value of Series A-1 Preferred Stock, equal to an equivalent conversion price of $1.50 per share, into approximately 11,317,338 shares of Class A Common Stock, subject to certain adjustments), and 68,337 shares of Series A-2 Non-Voting Cumulative Perpetual Convertible Preferred Stock, par value $0.01 per share (the "Series A-2 Preferred Stock," and, with the Series A-1 Preferred Stock, the "Preferred Stock") (Continued in Footnote 2)
  2. (convertible in accordance with the terms thereof, upon the occurrence of certain regulatory approvals, on a one-for-one basis into Series A-1 Preferred Stock or, at an initial conversion rate of 666.667 shares of Class A Common Stock per $1,000 of stated value of Series A-2 Preferred Stock, equal to an equivalent conversion price of $1.50 per share, into approximately 45,558,022 shares of Class A Common Stock, subject to certain adjustments). For further information on the events that trigger conversions and other details regarding the conversions, see the terms of the Certificate of Designations of Preferences and Rights of the Series A-1 Cumulative Perpetual Convertible Preferred Stock and Series A-2 Non-Voting Cumulative Perpetual Convertible Preferred Stock of Knight Capital Group, Inc. (attached as Exhibit 3.1 to Form 8-K filed with the Securities and Exchange Commission by the Issuer on August 6, 2012).
  3. Represents securities directly held by Blackstone Capital Partners VI L.P.
  4. Represents securities directly held by Blackstone Family Investment Partnership VI L.P.
  5. Represents securities directly held by Blackstone Family Investment Partnership VI ESC L.P. (collectively, with Blackstone Capital Partners VI L.P. and Blackstone Family Investment Partnership VI L.P., the "Blackstone Funds").
  6. Blackstone Management Associates VI L.L.C. is the general partner of Blackstone Capital Partners VI L.P. BMA VI L.L.C. is the sole member of Blackstone Management Associates VI L.L.C. BCP VI Side-By-Side GP L.L.C. is the general partner of Blackstone Family Investment Partnership VI L.P. and Blackstone Family Investment Partnership VI ESC L.P.
  7. Blackstone Holdings III L.P. is the managing member and the owner of a majority in interest of BMA VI L.L.C. and the sole member of BCP VI Side-By-Side GP L.L.C. Blackstone Holdings III GP L.P. is the general partner of Blackstone Holdings III L.P. The general partner of Blackstone Holdings III GP L.P. is Blackstone Holdings III GP Management L.L.C. The sole member of Blackstone Holdings III GP Management L.L.C. is The Blackstone Group L.P. The general partner of The Blackstone Group L.P. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.
  8. Due to the limitations of the electronic filing system, Blackstone Holdings III L.P., Blackstone Holdings III GP L.P., Blackstone Holdings III GP Management L.L.C., The Blackstone Group L.P., Blackstone Group Management L.L.C. and Stephen A. Schwarzman are filing a separate Form 4.
  9. Each of the Reporting Persons, other than the Blackstone Funds to the extent of their direct holdings, disclaims beneficial ownership of such Preferred Stock, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons, including the Blackstone Funds, states that the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.