0000950142-16-004866.txt : 20161130 0000950142-16-004866.hdr.sgml : 20161130 20161130172903 ACCESSION NUMBER: 0000950142-16-004866 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161128 FILED AS OF DATE: 20161130 DATE AS OF CHANGE: 20161130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KCG Holdings, Inc. CENTRAL INDEX KEY: 0001569391 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 300 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10282 BUSINESS PHONE: 646-682-6000 MAIL ADDRESS: STREET 1: 300 VESEY STREET CITY: NEW YORK STATE: NY ZIP: 10282 FORMER COMPANY: FORMER CONFORMED NAME: Knight Holdco, Inc. DATE OF NAME CHANGE: 20130211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KERN RENE M CENTRAL INDEX KEY: 0001193348 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54991 FILM NUMBER: 162026133 MAIL ADDRESS: STREET 1: 55 EAST 52ND STREET, 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10055 4 1 es1601187_4-kern.xml OWNERSHIP DOCUMENT X0306 4 2016-11-28 0 0001569391 KCG Holdings, Inc. KCG 0001193348 KERN RENE M C/O GENERAL ATLANTIC SERVICE CO., LLC 55 E. 52ND ST., 32ND FL. NEW YORK NY 10055 1 0 0 0 Class A Common Stock, par value $0.01 per share 2016-11-28 4 S 0 18709027 D 0 I See Footnote Class A Common Stock, par value $0.01 per share 14178 D Class A Warrants 12 2016-11-28 4 S 0 2338997 D 2013-07-01 2017-07-01 Class A Common Stock 2338997 359231 I See Footnote Class B Warrants 13.5 2016-11-28 4 S 0 2338997 D 2013-07-01 2018-07-01 Class A Common Stock 2338997 359231 I See Footnote Class C Warrants 15 2016-11-28 4 S 0 2338985 D 2013-07-01 2019-07-01 Class A Common Stock 2338985 359242 I See Footnote All shares owned by GA-GTCO Interholdco, LLC ("GA-GTCO Interholdco"), a Delaware limited liability company. On November 28, 2016, pursuant to a purchase agreement (the "Purchase Agreement") between KCG Holdings, Inc. (the "Issuer") and GA-GTCO Interholdco, dated as of November 17, 2016, GA-GTCO Interholdco disposed of (i) 18,709,027 of the Issuer's Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") in exchange for 8,202,124 shares of common stock, par value $0.01 per share of Bats Global Markets, Inc. ("Bats Common Stock") and (ii) 7,016,979 warrants to purchase Class A Common Stock ("Warrants") in exchange for 613,412 shares of Bats Common Stock. The members of GA-GTCO Interholdco are General Atlantic Partners 83, L.P., a Delaware limited partnership ("GAP 83"), General Atlantic Partners 93, L.P., a Delaware limited partnership ("GAP 93"), GA-GTCO US AIV, L.P., a Delaware limited partnership ("GA US AIV"), GA-GTCO AIV, L.P., a Delaware limited partnership ("GA AIV"), GAP-W, LLC, a Delaware limited liability company ("GAP-W"), GAP Coinvestments III, LLC, a Delaware limited liability company ("GAPCO III"), GAP Coinvestments IV, LLC, a Delaware limited liability company ("GAPCO IV"), GAP Coinvestments CDA, L.P., a Delaware limited partnership ("GAPCO CDA"), and GapStar, LLC, a Delaware limited liability company ("GapStar"). The general partner of GAP 83, GAP 93, GA US AIV and GA AIV is General Atlantic GenPar, L.P. ("GenPar"); (cont'd in footnote 3) (cont'd from footnote 2) GenPar is also the manager of GAP-W. The general partner of GenPar is General Atlantic LLC ("GA LLC"). GA LLC is the managing member of GAPCO III and GAPCO IV and the general partner of GAPCO CDA. While GA LLC and GenPar may be deemed to beneficially own all of the Warrants reported herein, each disclaims such beneficial ownership except to the extent of their respective pecuniary interest therein. Certain managing directors of GA LLC are the members of GapStar. The managing directors of GA LLC may be deemed to share voting and dispositive power with respect to shares and interests described herein, and voting and disposition decisions are made by a portfolio committee of GA LLC comprised of certain of the managing directors and officers of GA LLC. (cont'd in footnote 4) (cont'd from footnote 3) All individuals, including Mr. Kern, disclaim beneficial ownership of the Warrants owned by GA-GTCO Interholdco except to the extent of their respective pecuniary interest therein. Mr. Kern is a managing director of GA LLC. /s/ Rene M. Kern 2016-11-30