Filing Details
- Accession Number:
- 0001104659-12-008830
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-10 18:44:25
- Reporting Period:
- 2012-02-08
- Filing Date:
- 2012-02-10
- Accepted Time:
- 2012-02-10 18:44:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1529979 | Fx Alliance Inc. | FX | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 205845576 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1541433 | Zev Philip Weisberg | 909 Third Avenue, 10Th Floor New York NY 10022 | Chief Executive 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-02-08 | 100 | $0.00 | 1,025,914 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2012-02-08 | 18,000 | $12.00 | 1,043,914 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2012-02-09 | 1,800 | $13.60 | 1,045,714 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2012-02-08 | 525,000 | $0.00 | 525,000 | $13.25 |
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2012-02-08 | 622,563 | $0.00 | 622,563 | $11.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,140,432 | 2020-12-31 | No | 4 | D | Direct | |
| 1,762,995 | 2020-12-31 | No | 4 | A | Direct |
Footnotes
- Mr. Weisberg purchased 18,000 shares at the Initial Public Offering price of $12.00 pursuant to the Company's Directed Share Program. The consummation of this purchase will occur in connection with the closing of the Initial Public Offering, which is expected to occur on February 14, 2012
- The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option, with changes in the exercise price and number of shares underlying the option. The option was originally granted on December 31, 2010 and provides for vesting in three equal annual installments commencing on December 31, 2012.
Billionaire Hedge Funds
