0001144204-13-009114.txt : 20130214 0001144204-13-009114.hdr.sgml : 20130214 20130214161010 ACCESSION NUMBER: 0001144204-13-009114 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 GROUP MEMBERS: CITADEL HOLDINGS II LP GROUP MEMBERS: CITADEL INVESTMENT GROUP II, L.L.C. GROUP MEMBERS: KENNETH GRIFFIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FXCM Inc. CENTRAL INDEX KEY: 0001499912 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 273268672 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-86045 FILM NUMBER: 13613790 BUSINESS ADDRESS: STREET 1: 55 WATER ST. STREET 2: FL 50 CITY: NEW YORK STATE: NY ZIP: 10041 BUSINESS PHONE: 6464322241 MAIL ADDRESS: STREET 1: 55 WATER ST. STREET 2: FL 50 CITY: NEW YORK STATE: NY ZIP: 10041 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITADEL ADVISORS LLC CENTRAL INDEX KEY: 0001423053 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O CITADEL LLC STREET 2: 131 S. DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL LLC STREET 2: 131 S. DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 SC 13G/A 1 v334259_13ga.htm SC 13G/A

 

 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
SCHEDULE 13G
(Rule 13d-102)
 
Information Statement Pursuant to Rules 13d-1 and 13d-2
Under the Securities Exchange Act of 1934
(Amendment No. 2 )*
 
 
  FXCM Inc.  
(Name of Issuer)
 
  Common Stock, $0.01 par value  
(Title of Class of Securities)
 
 
 

302693106

 
(CUSIP Number)
 
 
 

December 31, 2012

 
Date of Event Which Requires Filing of the Statement
               

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

[ ]   Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ]   Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 
 

 

Cusip No. 302693106 13G/A Page 2 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Citadel Advisors LLC

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [_]

(b) [_]

 

3.

 

SEC USE ONLY

 

 

4.

 

 

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 

5.

 

SOLE VOTING POWER

0

 

6.

 

SHARED VOTING POWER

 

1,236,985 shares

 

 

7.

 

SOLE DISPOSITIVE POWER

0

 

8.

 

 

SHARED DISPOSITIVE POWER

See Row 6 above.

 

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

See Row 6 above.

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES [_]

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.6%1

 

12.

 

 

TYPE OF REPORTING PERSON

IA; OO; HC

 

       

 

 

1The percentages reported in this Schedule 13G/A are based upon 34,228,927 shares of Common Stock outstanding as of November 7, 2012 (according to the Form 10Q/A filed by the issuer on November 13, 2012).

 

 
 

 

Cusip No. 302693106 13G/A Page 3 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Citadel Holdings II LP

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [_]

(b) [_]

 

3.

 

SEC USE ONLY

 

 

4.

 

 

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 

5.

 

SOLE VOTING POWER

0

 

6.

 

SHARED VOTING POWER

 

1,236,985 shares

 

 

7.

 

SOLE DISPOSITIVE POWER

0

 

8.

 

 

SHARED DISPOSITIVE POWER

See Row 6 above.

 

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

See Row 6 above.

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES [_]

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.6%

 

12.

 

 

TYPE OF REPORTING PERSON

PN; HC

 

       

 

 
 

 

Cusip No. 302693106 13G/A Page 4 of 10 Pages

 

 

 

1.

 

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Citadel Investment Group II, L.L.C.

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [_]

(b) [_]

 

3.

 

SEC USE ONLY

 

 

4.

 

 

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 

5.

 

SOLE VOTING POWER

0

 

6.

 

SHARED VOTING POWER

 

1,244,001 shares

 

 

7.

 

SOLE DISPOSITIVE POWER

0

 

8.

 

 

SHARED DISPOSITIVE POWER

See Row 6 above.

 

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

See Row 6 above.

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES [_]

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.6%

 

12.

 

 

TYPE OF REPORTING PERSON

OO; HC

 

       

 

 
 

 

Cusip No. 302693106 13G/A Page 5 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Kenneth Griffin

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [_]

(b) [_]

 

3.

 

SEC USE ONLY

 

 

4.

 

 

CITIZENSHIP OR PLACE OF ORGANIZATION

U.S. Citizen

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

 

5.

 

SOLE VOTING POWER

0

 

6.

 

SHARED VOTING POWER

 

1,244,001 shares

 

 

7.

 

SOLE DISPOSITIVE POWER

0

 

8.

 

 

SHARED DISPOSITIVE POWER

See Row 6 above.

 

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

See Row 6 above.

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES [_]

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.6%

 

12.

 

 

TYPE OF REPORTING PERSON

IN; HC

 

       

 

 
 

 

Cusip No. 302693106 13G/A Page 6 of 10 Pages

 

Item 1(a) Name of Issuer

FXCM Inc.

 

Item 1(b) Address of Issuer's Principal Executive Offices
32 Old Slip, New York, NY 10005

 

Item 2(a) Name of Person Filing
This Schedule 13G/A is being jointly filed by Citadel Advisors LLC (“Citadel Advisors”), Citadel Holdings II LP (“CH-II”), Citadel Investment Group II, L.L.C. (“CIG-II”) and Mr. Kenneth Griffin (collectively with Citadel Advisors, CH-II and CIG-II, the “Reporting Persons”) with respect to shares of Common Stock of the above-named issuer owned by Surveyor Capital Ltd., a Cayman Islands limited company (“SC”), and Citadel Securities LLC, a Delaware limited liability company (“Citadel Securities”).

 

Citadel Advisors is the portfolio manager for SC. CH-II was, as of December 31, 2012, the managing member of Citadel Advisors. Citadel Holdings I LP, a Delaware limited liability company (“CH-I”), is the non-member manager of Citadel Securities. CIG-II is the general partner of CH-I and CH-II. Mr. Griffin is the President and Chief Executive Officer of, and owns a controlling interest in, CIG-II.

 

The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

 

Item 2(b) Address of Principal Business Office
The address of the principal business office of each of the Reporting Persons is c/o Citadel LLC, 131 S. Dearborn Street, 32nd Floor, Chicago, Illinois 60603.

 

Item 2(c) Citizenship
Each of Citadel Advisors and CIG-II is organized as a limited liability company under the laws of the State of Delaware. CH-II is organized as a limited partnership under the laws of the State of Delaware. Mr. Griffin is a U.S. citizen.

 

Item 2(d) Title of Class of Securities
Common Stock, $0.01 par value

 

Item 2(e) CUSIP Number
302693106

 

Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

 

(a) [__] Broker or dealer registered under Section 15 of the Exchange Act;

 

(b) [__] Bank as defined in Section 3(a)(6) of the Exchange Act;

 

(c) [__] Insurance company as defined in Section 3(a)(19) of the Exchange Act;

 

 
 

 

Cusip No. 302693106 13G/A Page 7 of 10 Pages

 

(d) [__] Investment company registered under Section 8 of the Investment Company Act;

 

(e) [__] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

 

(f) [__] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

 

(g) [__] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

 

(h) [__] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

 

(i) [__] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;

 

(j) [__] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

 

If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: ____________.

 

Item 4 Ownership

 

A. Citadel Advisors LLC

 

(a)Citadel Advisors may be deemed to beneficially own 1,236,985 shares of Common Stock.

 

(b)The number of shares Citadel Advisors may be deemed to beneficially own constitutes approximately 3.6% of the Common Stock outstanding.

 

(c)Number of shares as to which such person has:

 

(i)sole power to vote or to direct the vote: 0

 

(ii)shared power to vote or to direct the vote: 1,236,985

 

(iii)sole power to dispose or to direct the disposition of: 0

 

(iv)shared power to dispose or to direct the disposition of: 1,236,985

 

B. Citadel Holdings II LP

 

(a)CH-II may be deemed to beneficially own 1,236,985 shares of Common Stock.

 

(b)The number of shares CH-II may be deemed to beneficially own constitutes approximately 3.6% of the Common Stock outstanding.

 
 

 

Cusip No. 302693106 13G/A Page 8 of 10 Pages

 

(c)Number of shares as to which such person has:

 

(i)sole power to vote or to direct the vote: 0

 

(ii)shared power to vote or to direct the vote: 1,236,985

 

(iii)sole power to dispose or to direct the disposition of: 0

 

(iv)shared power to dispose or to direct the disposition of: 1,236,985

 

C. Citadel Investment Group II, L.L.C.

 

(a)CIG-II may be deemed to beneficially own 1,244,001 shares of Common Stock.

 

(b)The number of shares CIG-II may be deemed to beneficially own constitutes approximately 3.6% of the Common Stock outstanding.

 

(c)Number of shares as to which such person has:

  

(i)sole power to vote or to direct the vote: 0

 

(ii)shared power to vote or to direct the vote: 1,244,001

 

(iii)sole power to dispose or to direct the disposition of: 0

 

(iv)shared power to dispose or to direct the disposition of: 1,244,001

 

D. Kenneth Griffin

 

(a)Mr. Griffin may be deemed to beneficially own 1,244,001 shares of Common Stock.

 

(b)The number of shares Mr. Griffin may be deemed to beneficially own constitutes approximately 3.6% of the Common Stock outstanding.

 

(c) Number of shares as to which such person has:

 

(i)sole power to vote or to direct the vote: 0

 

(ii)shared power to vote or to direct the vote: 1,244,001

 

(iii)sole power to dispose or to direct the disposition of: 0

 

(iv)shared power to dispose or to direct the disposition of: 1,244,001

 

Item 5 Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [X].

 

Item 6 Ownership of More than Five Percent on Behalf of Another Person

Not Applicable

 

 
 

Cusip No. 302693106 13G/A Page 9 of 10 Pages

 

Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company

See Item 2 above

 

Item 8 Identification and Classification of Members of the Group

Not Applicable

 

Item 9 Notice of Dissolution of Group

Not Applicable

 

Item 10 Certification
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 
 

 

Cusip No. 302693106 13G/A Page 10 of 10 Pages

 

 

After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

Dated this 14th day of February, 2013.

 

CITADEL ADVISORS LLC

 

By: Citadel Advisors Holdings LP,

its Managing Member

By: Citadel Investment Group II, L.L.C.,

its General Partner

By: /s/ Mark Polemeni

        Mark Polemeni, Authorized Signatory

 

CITADEL HOLDINGS II LP

 

By: Citadel Investment Group II, L.L.C.,

its General Partner

By: /s/ Mark Polemeni

        Mark Polemeni, Authorized Signatory

 

CITADEL INVESTMENT GROUP II, L.L.C.

By: /s/ Mark Polemeni

        Mark Polemeni, Authorized Signatory

KENNETH GRIFFIN

 

By: /s/ Mark Polemeni

        Mark Polemeni, attorney-in-fact*

 

 

*Mark Polemeni is signing on behalf of Kenneth Griffin as attorney-in-fact pursuant to a power of attorney previously filed with the Securities and Exchange Commission on January 18, 2013, and hereby incorporated by reference herein. The power of attorney was filed as an attachment to a filing by Citadel Advisors LLC on Schedule 13G for TiVo Inc.