FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
FXCM Inc. [ FXCM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/22/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | ||||||
Class A Common Stock | 05/22/2015 | C | 32,550 | A | (1) | 32,550 | I | By Trust(2) | ||
Class A Common Stock | 05/22/2015 | S | 32,550 | D | $1.3 | 0 | I | By Trust(2) | ||
Class A Common Stock | 05/22/2015 | C | 65,720 | A | (1) | 65,720 | I | By LLC(3) | ||
Class A Common Stock | 05/22/2015 | S | 65,720 | D | $1.31 | 0 | I | By LLC(3) | ||
Class A Common Stock | 05/22/2015 | C | 51,149 | A | (1) | 151,149 | D | |||
Class A Common Stock | 05/22/2015 | S | 51,149 | D | $1.3 | 100,000 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Units of FXCM Holdings LLC | (1) | 05/22/2015 | C | 32,550 | (1) | (1) | Class A Com-mon Stock | 32,550 | $0 | 182,942(4) | I | By Trust(2) | |||
Units of FXCM Holdings LLC | (1) | 05/22/2015 | C | 65,720 | (1) | (1) | Class A Com-mon Stock | 65,720 | $0 | 0(4) | I | By LLC(3) | |||
Units of FXCM Holdings LLC | (1) | 05/22/2015 | C | 51,149 | (1) | (1) | Class A Com-mon Stock | 51,149 | $0 | 17,292(4) | D |
Explanation of Responses: |
1. Pursuant to the terms of an exchange agreement, as of December 7, 2011, units of FXCM Holdings LLC are exchangeable for shares of Class A common stock of FXCM Inc. on a one-for-one basis. |
2. Held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person's wife serves as trustee. The Reporting Person disclaims beneficial ownership over the securities held by this trust except to the extent of his pecuniary interest therein. |
3. Held by a limited liability company, for which the Reporting Person is manager. The Reporting Person disclaims beneficial ownership over the securities held by this limited liability company except to the extent of his pecuniary interest therein. |
4. Accounts for a mathematical error in the Reporting Person's May 21, 2015 Form 4, which inadvertently counted securities previously reported as having been disposed of on May 18, 2015. |
/s/David S. Sassoon, as designated signatory | 05/21/2015 | |
** 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 Number. |