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