0001144204-13-045314.txt : 20130813 0001144204-13-045314.hdr.sgml : 20130813 20130813210023 ACCESSION NUMBER: 0001144204-13-045314 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130809 FILED AS OF DATE: 20130813 DATE AS OF CHANGE: 20130813 ISSUER: 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 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sassoon David S. CENTRAL INDEX KEY: 0001505055 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34986 FILM NUMBER: 131034631 MAIL ADDRESS: STREET 1: C/O FXCM INC. STREET 2: 32 OLD SLIP CITY: NEW YORK STATE: NY ZIP: 10005 4 1 v352886_4.xml OWNERSHIP DOCUMENT X0306 4 2013-08-09 0 0001499912 FXCM Inc. FXCM 0001505055 Sassoon David S. C/O FXCM INC., 55 WATER ST. NEW YORK NY 10041 0 1 0 0 General Counsel Class A Common Stock, par value $0.01 2013-08-09 4 M 0 1250 10.73 A 1250 D Class A Common Stock, par value $0.01 2013-08-09 4 S 0 1250 17.998 D 0 D Class A Common Stock, par value $0.01 2013-08-12 4 M 0 7500 14 A 7500 D Class A Common Stock, par value $0.01 2013-08-12 4 S 0 7500 18.084 D 0 D Class A Common Stock, par value $0.01 2013-08-13 4 M 0 4000 10.73 A 4000 D Class A Common Stock, par value $0.01 2013-08-13 4 S 0 4000 18.77 D 0 D Class A Common Stock, par value $0.01 500 I By D&E Capital Enterprises, LLC Stock Options (right to buy) 10.73 2013-08-09 4 M 0 1250 0 D 2018-08-12 Class A Common Stock 1250 18750 D Stock Options (right to buy) 14 2013-08-12 4 M 0 7500 0 D 2018-08-12 Class A Common Stock 7500 92500 D Stock Options (right to buy) 10.73 2013-08-13 4 M 0 4000 0 D 2017-12-01 Class A Common Stock 4000 14750 D This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.96 to $18.02, inclusive. The reporting person undertakes to provide to FXCM Inc., any security holder of FXCM Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.08 to $18.09, inclusive. The reporting person undertakes to provide to FXCM Inc., any security holder of FXCM Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.75 to $18.79, inclusive. The reporting person undertakes to provide to FXCM Inc., any security holder of FXCM Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Shares of Class A common stock held through D&E Capital Enterprises LLC of which the reporting person disclaims beneficial ownership except to the extent of his pecuniary interest, if any, therein. Represents options to purchase shares of Class A common stock, which will generally vest in equal annual installments over a four-year period that began on August 12, 2011 (the grant date of the options) and, to the extent vested, generally remain exercisable until the seventh anniversary of the grant date unless the reporting person's employment with FXCM Inc. terminates prior to such date. Represents options to purchase shares of Class A common stock, which will generally vest in equal annual installments over a four-year period that began on December 1, 2010 (the grant date of the options) and, to the extent vested, generally remain exercisable until the seventh anniversary of the grant date unless the reporting person's employment with FXCM Inc. terminates prior to such date. /s/ David S. Sassoon 2013-08-13