Filing Details

Accession Number:
0001179110-13-018587
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-12-30 21:20:09
Reporting Period:
2013-12-27
Filing Date:
2013-12-30
Accepted Time:
2013-12-30 21:20:09
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
1361507 Daniel Ronald Levi C/O Gfi Group Inc.
55 Water Street
New York NY 10041
Chief Operating Officer 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 2013-12-27 17,855 $2.97 726,682 No 4 M Direct
Common Stock Disposition 2013-12-27 17,855 $3.83 708,827 No 4 S Direct
Common Stock Acquisiton 2013-12-30 68,987 $2.97 777,814 No 4 M Direct
Common Stock Disposition 2013-12-30 68,987 $3.80 708,827 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Options to Purchase Common Stock Disposition 2013-12-27 17,855 $2.97 17,855 $2.97
Common Stock Options to Purchase Common Stock Disposition 2013-12-30 68,987 $2.97 68,987 $2.97
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
68,987 2014-01-01 No 4 M Direct
0 2014-01-01 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Restricted Stock Units $0.00 79,070 79,070 Direct
Common Stock Restricted Stock Units $0.00 173,639 173,639 Direct
Common Stock Restricted Stock Units $0.00 192,308 192,308 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
79,070 79,070 Direct
173,639 173,639 Direct
192,308 192,308 Direct
Footnotes
  1. Options are currently exercisable.
  2. The Restricted Stock Units settle 1 for 1 upon vesting.
  3. 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.
  4. 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, 2012.
  5. 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, 2013.
  6. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  7. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.79 to $3.87. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
  8. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.76 to $3.83. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.