0001193125-14-200275.txt : 20140515 0001193125-14-200275.hdr.sgml : 20140515 20140515092729 ACCESSION NUMBER: 0001193125-14-200275 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140514 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20140515 DATE AS OF CHANGE: 20140515 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-54991 FILM NUMBER: 14844183 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 8-K 1 d728485d8k.htm FORM 8-K Form 8-K

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 15, 2014 (May 14, 2014)

 

 

KCG HOLDINGS, INC.

(Exact name of registrant as specified in its charter)

 

 

 

DELAWARE   000-54991   38-3898306

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification No.)

545 Washington Boulevard, Jersey City, NJ 07310

(Address of principal executive offices) (Zip Code)

(201) 222-9400

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

KCG Holdings, Inc.

Current Report on Form 8-K

Item 5.07 Submission of Matters to a Vote of Security Holders

On May 14, 2014, KCG Holdings, Inc. (the “Company”) held its annual meeting of stockholders. The following matters set forth in the Company’s Proxy Statement on Schedule 14A, filed with the Securities and Exchange Commission on April 3, 2014 (the “Proxy Statement”), were voted on at the Company’s annual meeting of stockholders and the results of such voting is indicated below. The effect of abstentions and broker non-votes is described in the Proxy Statement.

1. The nine nominees listed below were elected as directors of the Company to serve until the Company’s next annual meeting and until such directors’ successors are duly elected and qualified. The nominees received the respective votes set forth opposite their names below:

 

Nominee

    FOR      %      AGAINST      %      ABSTAIN      %      BROKER
NON-VOTE		  

Daniel Coleman

      71,658,502         97.91         1,126,054         1.54         401,522         0.55         20,671,609   

Charles E. Haldeman, Jr.

      72,543,287         99.13         236,941         0.32         405,850         0.55         20,671,609   

Rene Kern

      71,562,373         97.79         1,218,179         1.66         405,526         0.55         20,671,609   

James T. Milde

      72,074,741         98.49         705,353         0.96         405,984         0.55         20,671,609   

John C. (Hans) Morris

      71,971,799         98.35         808,283         1.10         405,996         0.55         20,671,609   

Daniel F. Schmitt

      72,550,019         99.13         229,602         0.31         406,457         0.56         20,671,609   

Stephen Schuler

      72,196,660         98.65         585,373         0.80         406,045         0.55         20,671,609   

Laurie M. Shahon

      72,540,815         99.12         239,663         0.33         405,600         0.55         20,671,609   

Daniel Tierney

      72,194,757         98.64         589,543         0.81         401,778         0.55         20,671,609   

There was no solicitation in opposition to the nominees proposed to be elected by the holders of the Class A Common Stock in the Proxy Statement.

2. Advisory (non-binding) vote on executive officer compensation. Voting results on this proposal were as follows:

FOR: 64,384,231 (87.97%) AGAINST: 8,393,684 (11.47%) ABSTAIN: 408,163 (0.56%) BROKER NON-VOTE: 20,671,609

3. Re-Approval of the KCG Holdings, Inc. Amended and Restated Executive Incentive Plan. Voting results on this proposal were as follows:

FOR: 71,756,595 (98.04%) AGAINST: 964,605 (1.32%) ABSTAIN: 464,878 (0.64%) BROKER NON-VOTE: 20,671,609

4. Ratification of appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for 2014. Voting results on this proposal were as follows:

FOR: 93,216,837 (99.31%) AGAINST: 549,248 (0.59%) ABSTAIN: 91,602 (0.10%)

Further information regarding these matters is contained in the Proxy Statement.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned’s duly authorized signatory.

Dated: May 15, 2014

 

KCG HOLDINGS, INC.
By:  

/s/ John McCarthy

Name:   John McCarthy
Title:   General Counsel and Corporate Secretary