0000899243-17-011826.txt : 20170504
0000899243-17-011826.hdr.sgml : 20170504
20170504161910
ACCESSION NUMBER: 0000899243-17-011826
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170502
FILED AS OF DATE: 20170504
DATE AS OF CHANGE: 20170504
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: McCarthy John A
CENTRAL INDEX KEY: 0001539519
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-54991
FILM NUMBER: 17814212
MAIL ADDRESS:
STREET 1: 4009 64TH ST
CITY: BETHESDA
STATE: MD
ZIP: 20816
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-05-02
0
0001569391
KCG Holdings, Inc.
KCG
0001539519
McCarthy John A
KCG HOLDINGS, INC.,
300 VESEY STREET
NEW YORK
NY
10282
0
1
0
0
General Counsel
Class A Common Stock, par value $0.01 per share
2017-05-02
4
X
0
40829
A
61829
D
Class A Common Stock, par value $0.01 per share
2017-05-02
4
S
0
26951
19.94
D
34878
D
Class A Warrants (right to buy)
11.70
2017-05-02
4
X
0
13610
0.00
D
2013-07-01
2017-07-01
Class A Common Stock
13610
0
D
Class A Warrants (right to buy)
13.16
2017-05-02
4
X
0
13610
0.00
D
2013-07-01
2018-07-01
Class A Common Stock
13610
0
D
Class A Warrants (right to buy)
14.63
2017-05-02
4
X
0
13609
0.00
D
2013-07-01
2019-07-01
Class A Common Stock
13609
0
D
On May 2, 2017, the reporting person exercised (i) a warrant to purchase 13,610 shares of KCG common stock for $11.70 a share, (ii) a warrant to purchase 13,610 shares of KCG common stock for $13.16 a share and (iii) a warrant to purchase 13,609 shares of KCG common stock for $14.63 a share. The reporting person paid the exercise price of each on a cashless basis, resulting in KCG's withholding of 26,951 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 13,878 shares. KCG also paid $41.48 to the reporting person in lieu of a fractional share.
/s/ Robert McQueen as attorney-in-fact for John McCarthy
2017-05-04