-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TYZl02/5ELhzDwcfzh9KNs5MAKacMVO+o0niz10fISJmSO5VSFI8O+IaGEbceaIq B1y/G/mcxlMRqzWggozyaw== 0001299933-09-001840.txt : 20090428 0001299933-09-001840.hdr.sgml : 20090428 20090428074655 ACCESSION NUMBER: 0001299933-09-001840 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090428 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20090428 DATE AS OF CHANGE: 20090428 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRADESTATION GROUP INC CENTRAL INDEX KEY: 0001111559 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 650977576 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-31049 FILM NUMBER: 09774012 BUSINESS ADDRESS: STREET 1: 8050 SW 10TH STREET STREET 2: SUITE 4000 CITY: PLANTATION STATE: FL ZIP: 33324 BUSINESS PHONE: 954-652-7023 MAIL ADDRESS: STREET 1: 8050 SW 10TH STREET STREET 2: SUITE 4000 CITY: PLANTATION STATE: FL ZIP: 33324 FORMER COMPANY: FORMER CONFORMED NAME: ONLINETRADING COM GROUP INC DATE OF NAME CHANGE: 20000410 8-K 1 htm_32447.htm LIVE FILING TradeStation Group, Inc. (Form: 8-K)  

 


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

     
Date of Report (Date of Earliest Event Reported):   April 28, 2009

TradeStation Group, Inc.
__________________________________________
(Exact name of registrant as specified in its charter)

     
Florida 000-31049 650977576
_____________________
(State or other jurisdiction
_____________
(Commission
______________
(I.R.S. Employer
of incorporation) File Number) Identification No.)
      
8050 SW 10th Street, Suite 4000, Plantation, Florida   33324
_________________________________
(Address of principal executive offices)
  ___________
(Zip Code)
     
Registrant’s telephone number, including area code:   (954) 652-7000

Not Applicable
______________________________________________
Former name or former address, if changed since last report

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[  ]  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[  ]  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[  ]  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[  ]  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Item 8.01 Other Events.

The Company issued a press release on April 28, 2009 announcing that separate family limited partnerships beneficially owned by each of William Cruz and Ralph Cruz, the Company's non-executive Co-Chairmen, will be each entering into a Rule 10b5-1 plan to each sell up to 1,500,000 shares over the period ending December 31, 2009, subject to minimum price limits. Currently, William Cruz beneficially owns 4,104,688 shares and Ralph Cruz beneficially owns 3,966,468 shares of Company common stock. Under each of the two plans, no more than 750,000 shares (excluding privately negotiated sales, if any) may be sold during any calendar-quarterly period, subject to any Rule 144 volume limitations. Sales under each of the Rule 10b5-1 plans will not commence earlier than May 11, 2009. The press release announcing the Rule 10b5-1 plans is attached as Exhibit 99.1 to this report.

Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, permits corporate officers and directors to adopt written pre-arranged s tock trading plans when they are not in possession of material, non-public information. To the extent required, proposed and actual transactions will be disclosed publicly through Form 144 and Form 4 filings, respectively, with the Securities and Exchange Commission. The Form 4 filings also will be posted in the investor relations section of the Company's Web site.





Item 9.01 Financial Statements and Exhibits.

Ex-99.1: Press Release dated April 28, 2009 concerning 10b5-1 Plan






SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

         
    TradeStation Group, Inc.
          
April 28, 2009   By:   /s/ David Fleischman
       
        Name: David Fleischman
        Title: Chief Financial Officer, Vice President of Finance and Treasurer


Exhibit Index


     
Exhibit No.   Description

 
99.1
  Press Release dated April 28, 2009 concerning 10b5-1 Plan
EX-99.1 2 exhibit1.htm EX-99.1 EX-99.1

TradeStation Co-Chairmen Announce Entering Into 10b5-1 Plans

Plantation FL, April 28, 2009 - TradeStation Group, Inc. (NASDAQ GS: TRAD) announced that separate family limited partnerships beneficially owned by each of William Cruz and Ralph Cruz, the company’s non-executive Co-Chairmen, are each entering into a Rule 10b5-1 plan to each sell up to 1,500,000 shares over the period ending December 31, 2009, subject to minimum price limits. Currently, William Cruz beneficially owns 4,104,688 shares and Ralph Cruz beneficially owns 3,966,468 shares of company common stock. Under each of the two plans, no more than 750,000 shares (excluding privately negotiated sales, if any) may be sold during any calendar-quarterly period. Sales under each of the 10b5-1 plans will not commence earlier than May 11, 2009.

About TradeStation Group, Inc.

TradeStation Group, Inc. (NASDAQ GS: TRAD), through its principal operating subsidiary, TradeStation Securities, Inc., offers the TradeStation platform to the active trader and certain institutional trader markets. TradeStation is an electronic trading platform that offers state-of-the-art electronic order execution and enables clients to design, test, optimize, monitor and automate their own custom Equities, Options, Futures and Forex trading strategies.

TradeStation Securities, Inc. (Member NYSE, FINRA, SIPC, NSCC, DTC, OCC & NFA) is a licensed securities broker-dealer and a registered futures commission merchant, and also a member of the Boston Options Exchange, Chicago Board Options Exchange, Chicago Stock Exchange, International Securities Exchange and NASDAQ OMX. The company’s technology subsidiary, TradeStation Technologies, Inc., develops and offers strategy trading software tools and subscription services.  Its London-based subsidiary, TradeStation Europe Limited, an FSA-authorized brokerage firm, introduces UK and other European accounts to TradeStation Securities.

Contact -
David Fleischman
Chief Financial Officer
TradeStation Group, Inc.
954-652-7000

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