0000899243-15-007463.txt : 20151103 0000899243-15-007463.hdr.sgml : 20151103 20151103161429 ACCESSION NUMBER: 0000899243-15-007463 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151030 FILED AS OF DATE: 20151103 DATE AS OF CHANGE: 20151103 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: 545 WASHINGTON BOULEVARD CITY: JERSEY CITY STATE: NJ ZIP: 07310 BUSINESS PHONE: 201-222-9400 MAIL ADDRESS: STREET 1: 545 WASHINGTON BOULEVARD CITY: JERSEY CITY STATE: NJ ZIP: 07310 FORMER COMPANY: FORMER CONFORMED NAME: Knight Holdco, Inc. DATE OF NAME CHANGE: 20130211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schuler Stephen CENTRAL INDEX KEY: 0001580561 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54991 FILM NUMBER: 151193860 MAIL ADDRESS: STREET 1: KCG HOLDINGS, INC. STREET 2: 545 WASHINGTON BLVD. CITY: JERSEY CITY STATE: NJ ZIP: 07310 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-10-30 0 0001569391 KCG Holdings, Inc. KCG 0001580561 Schuler Stephen KCG HOLDINGS, INC. 545 WASHINGTON BOULEVARD JERSEY CITY NJ 07310 1 0 0 0 Class A Common Stock, par value $0.01 per share 2015-10-30 4 S 0 281879 D 2231620 I See Footnote Class A Common Stock, par value $0.01 per share 2015-11-02 4 S 0 274120 D 1957500 I See Footnote Restricted Stock Units 5975 D Class A Common Stock, par value $0.01 per share 12079 D Transactions executed in accordance with a Rule 10b5-1 trading plan established by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("Serenity"), on June 9, 2015. Represents the sale of 281,879 shares in multiple transactions at prices ranging from $12.50 to $12.89 per share, resulting in a weighted average sale price per share of $12.60. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price. The reported securities are held by Serenity. The reporting person and his wife separately hold equity interests in Serenity that together represent a controlling interest in Serenity. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Represents the sale of 274,120 shares in multiple transactions at prices ranging from $12.50 to $12.76 per share, resulting in a weighted average sale price per share of $12.53. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price. /s/ Robert McQueen as attorney-in-fact for Stephen Schuler 2015-11-03