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Home > Insider Trading > Filing (0001179110-14-006441)

Filing Details

Accession Number:
0001179110-14-006441
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-03 17:34:23
Reporting Period:
2014-04-01
Filing Date:
2014-04-03
Accepted Time:
2014-04-03 17:34:23
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
1314813 Michael Gooch C/O Gfi Group Inc.
55 Water Street
New York NY 10041		 Executive Chairman Yes Yes Yes No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2014-04-01 35,000 $3.59 46,285,128 No 4 S Indirect See footnote
Common Stock Disposition 2014-04-02 35,000 $3.78 46,250,128 No 4 S Indirect See footnote
Common Stock Disposition 2014-04-03 30,000 $3.69 46,220,128 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
No 4 S Indirect See footnote
No 4 S Indirect See footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 5,264 Indirect See footnote
Common Stock 238,848 Indirect See footnote
Common Stock 42,104 Indirect See footnote
Common Stock 300,073 Direct
Reported Derivative Holdings
Show Other Fields >>
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Restricted Stock Units $0.00 52,308 52,308 Direct
Common Stock Restricted Stock Units $0.00 70,036 70,036 Direct
Common Stock Restricted Stock Units $0.00 87,977 87,977 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
52,308 52,308 Direct
70,036 70,036 Direct
87,977 87,977 Direct
Footnotes
  1. Represents 5,264 shares of Common Stock owned by Magnetic Management LLC. Magnetic Management LLC is a wholly-owned subsidiary of Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc. Through Jersey Partners, Inc., Mr. Gooch has voting power with respect to these shares but disclaims beneficial ownership.
  2. Represents 238,848 shares of Common Stock owned by N-Two LLC, a subsidiary of Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc.
  3. Represents shares of Common Stock owned by Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc.
  4. Represents 42,104 shares of Common Stock owned by the Gooch Investment Trust. Mr. Gooch has voting power with respect to these shares but disclaims beneficial ownership.
  5. The Restricted Stock Units settle 1 for 1 upon vesting.
  6. Includes 1,320 shares owned by the Reporting Person's children. The Reporting Person disclaims beneficial ownership with respect to these shares.
  7. 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.
  8. 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.
  9. 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, 2014.
  10. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.52 to $3.77. 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.
  11. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.72 to $3.82. 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.
  12. The sales reporting in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  13. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.65 to $3.76. 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.