Filing Details

Accession Number:
0001181431-13-061869
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-06 19:25:39
Reporting Period:
2013-12-04
Filing Date:
2013-12-06
Accepted Time:
2013-12-06 19:25:39
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
1580395 Jo Mary Schuler C/O Serenity Investments, Llc
830 North Blvd.
Oak Park IL 60301
No No Yes No
1580396 Serenity Investments, Llc 830 North Blvd.
Oak Park IL 60301
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
Class A Common Stock, Par Value $0.01 Per Share Disposition 2013-12-04 148,428 $11.35 13,226,451 No 4 S Direct
Class A Common Stock, Par Value $0.01 Per Share Disposition 2013-12-05 100,000 $11.35 13,126,451 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Footnotes
  1. Transactions executed in accordance with a Rule 10b5-1 trading plan established on November 1, 2013.
  2. Represents the sale of 148,428 shares in multiple transactions at prices ranging from $11.25 to $11.61 per share, resulting in a weighted average sale price per share of $11.35. 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.
  3. These shares of Class A Common Stock are held directly by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("Serenity"), and indirectly by Mary Jo Schuler. Mary Jo Schuler and her husband, Stephen G. Schuler, separately hold equity interests in Serenity that together represent a controlling interest in Serenity. Mary Jo Schuler disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.
  4. Represents the sale of 100,000 shares in multiple transactions at prices ranging from $11.30 to $11.37 per share, resulting in a weighted average sale price per share of $11.35. 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.