-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RT+fH+/75+/lc9ZjHqIM2BU/5rf4eVzARJNI7qUlZJxf5cXgtgSRGygYtB0avsVE 8zpyUvo7tvtqPOMlNs0ulA== 0000950123-97-007641.txt : 19970912 0000950123-97-007641.hdr.sgml : 19970912 ACCESSION NUMBER: 0000950123-97-007641 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970903 FILED AS OF DATE: 19970905 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INVESTMENT TECHNOLOGY GROUP INC CENTRAL INDEX KEY: 0000920424 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 133757717 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-23644 FILM NUMBER: 97676037 BUSINESS ADDRESS: STREET 1: 380 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125884000 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: 12TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90025 COMPANY DATA: COMPANY CONFORMED NAME: CUSHING DAVID C CENTRAL INDEX KEY: 0001044811 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 380 MADISON AVE STREET 2: 4TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2124446256 MAIL ADDRESS: STREET 1: 4 JONAS STONE CIRCLE CITY: LEXINGTON STATE: MA ZIP: 02173 3 1 FORM 3: CUSHING 1 --------------------------- OMB APPROVAL --------------------------- - -------- OMB Number: 3235-0104 FORM 3 Expires: September 30, 1998 - -------- Estimated average burden hours per response .... 0.5 --------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting Person 2. Date of Event Requiring 4. Issuer Name and Ticker or 6. If Amendment, Date Cushing David Charles Statement Trading Symbol of Original - ---------------------------------------- (Month/Day/Year) ITGI (Month/Day/Year) (Last) (First) (Middle) 3/1/97 ------------------------------------ 4 Jonas Stone Circle ---------------------------- 5. Relationship of Reporting 7. Individual or - ---------------------------------------- 3. IRS or Social Security Person to Issuer Joint/Group Filing (Street) Number of Reporting (Check all applicable) (check Applicable Person (Voluntary) ----- Director ----- 10% Owner Line) Lexington MA 02173 X Officer ----- Other (specify Form filed by - -------------------------------------- ---------------------------- (give title below) below) X One Reporting (City) (State) (Zip) Executive Vice President Person --------------------------- Form filed by --- More than one Reporting Person - ----------------------------------------------------------------------------------------------------------------------------------- TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect (Instr. 4) Beneficially Owned Direct (D) or Beneficial (Instr. 4) Indirect (I) Ownership (Instr. 5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Responses) SEC 1473 (8/92)
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FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) Exercisable and Securities Underlying sion or ship Beneficial Ownership Expiration Date Derivative Security Exercise Form of (Instr. 5) (Month/Day/ (Instr. 4) Price of Deriv- Year) Deri- ative vative Security: Security Direct ------------------------------------------------- (D) or Date Expira- Amount or Indirect (I) Exercis- tion Title Number (Instr. 5) able Date of Shares - ------------------------------------------------------------------------------------------------------------------------------------ Common (right to buy) 5/1/97 4/30/99 Common Stock 9,336 13.00 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common (right to buy) 11/22/98 11/21/00 Common Stock 2,434 9.13 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common (right to buy) 11/22/98 11/21/00 Common Stock 2,436 11.06 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common (right to buy) 1/6/98 7/5/02 Common Stock 3,334 19.49 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common (right to buy) 1/6/99 7/5/02 Common Stock 3,333 19.49 (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common (right to buy) 1/6/00 7/5/02 Common Stock 3,333 19.49 (D) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: /s/ DAVID CHARLES CUSHING 9/03/1997 **Intentional misstatements or omissions of facts constitute Federal Criminal ------------------------------- ------------- Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date Note. File three copies of this Form, one of which must be manually signed. Page 2 If space provided is insufficient, See Instruction 6 for procedure. SEC 1473 (8/92)
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