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KCG Kcg Holdings Class A

20.00
0.00 (0.00%)
Pre Market
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Kcg Holdings Class A NYSE:KCG NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 20.00 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

28/04/2016 9:20pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Schuler Stephen
2. Issuer Name and Ticker or Trading Symbol

KCG Holdings, Inc. [ KCG ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

KCG HOLDINGS, INC., 545 WASHINGTON BOULEVARD
3. Date of Earliest Transaction (MM/DD/YYYY)

4/26/2016
(Street)

JERSEY CITY, NJ 07310
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Class A Warrants     (1) (2) 4/26/2016     D      997973       7/1/2013     (2) Class A Common Stock   997973   $2.17   0   I   See Footnote   (3)
Class B Warrants     (1) (4) 4/26/2016     D      985529       7/1/2013     (4) Class A Common Stock   985529   $2.17   0   I   See Footnote   (3)
Class C Warrants     (1) (5) 4/26/2016     D      985529       7/1/2013     (5) Class A Common Stock   985529   $2.17   0   I   See Footnote   (3)

Explanation of Responses:
( 1)  The exercise price of each of the Class A, Class B and Class C Warrants was adjusted on June 9, 2015, in accordance with the terms of the warrant agreement governing the warrants, in connection with the Issuer's "modified Dutch auction" tender offer.
( 2)  The Class A Warrants had an exercise price of $11.70 per warrant and expired on July 1, 2017.
( 3)  The reported securities were held by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("Serenity"). The reporting person and his wife separately hold equity interests in Serenity that together represent a controlling interest in Serenity. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.
( 4)  The Class B Warrants had an exercise price of $13.16 per warrant and expired on July 1, 2018.
( 5)  The Class C Warrants had an exercise price of $14.63 per warrant and expired on July 1, 2019.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Schuler Stephen
KCG HOLDINGS, INC.
545 WASHINGTON BOULEVARD
JERSEY CITY, NJ 07310
X



Signatures
/s/ Robert McQueen as attorney-in-fact for Stephen Schuler 4/28/2016
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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