Filing Details

Accession Number:
0001179110-11-005906
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-04-04 17:45:06
Reporting Period:
2011-03-31
Filing Date:
2011-04-04
Accepted Time:
2011-04-04 17:45:06
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
1314402 Colin Heffron C/O Gfi Group Inc.
55 Water Street
New York NY 10041
President 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
Common Stock Acquisiton 2011-03-31 13,309 $0.00 359,182 No 4 M Direct
Common Stock Disposition 2011-03-31 6,152 $5.02 353,030 No 4 F Direct
Common Stock Acquisiton 2011-03-31 88,438 $0.00 441,468 No 4 M Direct
Common Stock Disposition 2011-03-31 40,877 $5.02 400,591 No 4 F Direct
Common Stock Acquisiton 2011-03-31 119,757 $0.00 520,348 No 4 M Direct
Common Stock Disposition 2011-03-31 55,352 $5.02 464,996 No 4 F Direct
Common Stock Disposition 2011-03-31 20,000 $5.00 444,996 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 M Direct
No 4 F Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2011-03-31 13,309 $0.00 13,309 $0.00
Common Stock Restricted Stock Units Disposition 2011-03-31 88,438 $0.00 88,438 $0.00
Common Stock Restricted Stock Units Disposition 2011-03-31 119,757 $0.00 119,757 $0.00
Common Stock Restricted Stock Units Acquisiton 2011-03-31 522,388 $0.00 522,388 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 M Direct
91,118 No 4 M Direct
243,146 No 4 M Direct
522,388 No 4 A Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Options to purchase Common Stock $2.97 2014-02-01 42,108 42,108 Direct
Common Stock Options to purchase Common Stock $5.25 2014-02-01 52,632 52,632 Direct
Common Stock Restricted Stock Units $0.00 160,000 160,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-02-01 42,108 42,108 Direct
2014-02-01 52,632 52,632 Direct
160,000 160,000 Direct
Footnotes
  1. Options are currently exercisable.
  2. Options are currently exercisable.
  3. Subject to any election to defer the settlement of vested Restricted Stock units, the Restricted Stock Units settle 1 for 1 upon vesting.
  4. The restricted stock units shall be subject to vesting in five annual installments on each of the anniversaries of date of grant, which was April 30, 2007.
  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, 2008.
  6. 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, 2009.
  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, 2010.
  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, 2011.
  9. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.