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