0000913760-13-000050.txt : 20130307 0000913760-13-000050.hdr.sgml : 20130307 20130307164846 ACCESSION NUMBER: 0000913760-13-000050 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130307 FILED AS OF DATE: 20130307 DATE AS OF CHANGE: 20130307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Philip Andrew CENTRAL INDEX KEY: 0001569789 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23554 FILM NUMBER: 13673984 MAIL ADDRESS: STREET 1: 708 THIRD AVENUE STREET 2: SUITE 1500 CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INTL FCSTONE INC. CENTRAL INDEX KEY: 0000913760 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 592921318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 708 THIRD AVENUE STREET 2: SUITE 1500 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-485-3500 MAIL ADDRESS: STREET 1: 708 THIRD AVENUE STREET 2: SUITE 1500 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: INTERNATIONAL ASSETS HOLDING CORP DATE OF NAME CHANGE: 19931020 3 1 wf-form3_136269291186999.xml FORM 3 X0206 3 2013-03-07 0 0000913760 INTL FCSTONE INC. INTL 0001569789 Smith Philip Andrew 708 THIRD AVENUE SUITE 1500 NEW YORK NY 10017 0 0 0 1 CEO - subsidiary entity Common 92939 D Stock Options 6.62 2011-12-05 2014-12-05 Common Stock 60000.0 D Stock Options 15.56 2010-12-11 2013-12-11 Common Stock 11445.0 D Stock Options 25.91 2016-12-16 2021-12-16 Common Stock 80000.0 D On 12/05/2011 the Optionee became entitled to exercise 20,000 shares of the Option. On 12/05/2012 the Optionee became entitled to exercise 20,000 shares of the Option. Commencing on 12/05/2013 the Optionee shall be entitled to exercise 20,000 shares of the Option. The option grant was approved by the Company's Board of Directors on December 12, 2011, subject to shareholder approval of an Amendment to the Stock Option Plan under which the options were granted. The Company's shareholders approved the Amendment on February 23, 2012. The Amendment increased the number of shares that could be granted under the plan. The options vest in equal tranches on each of the fifth, sixth, seventh, eighth and ninth anniversaires of the grant date. The strike price of the grant was set by the Company's Board of Directors at 110% of the closing price on December 16, 2012. Philip Andrew Smith 2013-03-07