Filing Details
- Accession Number:
- 0001615774-17-007027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-11-29 16:16:24
- Reporting Period:
- 2017-11-27
- Accepted Time:
- 2017-11-29 16:16:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1499912 | Global Brokerage Inc. | GLBR | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 273268672 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1504921 | David Sakhai | C/O Global Brokerage, Inc. 55 Water St. New York NY 10041 | Chief Operating Officer | Yes | 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 | Acquisiton | 2017-11-27 | 365,636 | $0.00 | 403,793 | No | 4 | C | Indirect | By Trusts |
| Class A Common Stock | Disposition | 2017-11-28 | 20,000 | $0.50 | 383,793 | No | 4 | S | Indirect | By Trusts |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Trusts |
| No | 4 | S | Indirect | By Trusts |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Units of Global Brokerage Holdings LLC | Disposition | 2017-11-27 | 365,636 | $0.00 | 365,636 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct |
Footnotes
- Pursuant to the terms of an exchange agreement, as of December 7, 2011, units of Global Brokerage Holdings LLC are exchangeable for shares of Class A common stock of Global Brokeage, Inc. on a one-for-one basis.
- A portion of these securities are (i) held by trusts for the benefit of the Reporting Person's family, for which the Reporting Person's family member(s) serve as trustee, and (ii) by members of the Reporting Person's family.
Billionaire Hedge Funds
