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