-----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, QRe7+mnpdmYzBIhjchyEyvIC2mH0z2lC4HzD3Iwi5+KOiWfHNUgzkTDZWG/mNULv xFj/Qo29fDHDc3zXWbmVAA== 0001047469-99-011744.txt : 19990329 0001047469-99-011744.hdr.sgml : 19990329 ACCESSION NUMBER: 0001047469-99-011744 CONFORMED SUBMISSION TYPE: 10-K/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990326 FILER: 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: 10-K/A SEC ACT: SEC FILE NUMBER: 000-23644 FILM NUMBER: 99574841 BUSINESS ADDRESS: STREET 1: 380 MADISON AVE STREET 2: 2ND FLOOR 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 10-K/A 1 FORM 10-K/A - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------------------ FORM 10-K/A ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 1998 COMMISSION FILE NUMBER 0--23644
------------------------ INVESTMENT TECHNOLOGY GROUP, INC. (Exact name of registrant as specified in its charter) DELAWARE 13-3757717 (State of incorporation) (IRS Employer Identification No.) 380 MADISON AVENUE, NEW YORK, NEW YORK (212) 588-4000 (Address of principal executive offices) (Registrant's telephone number, including area code) 10017 (Zip Code)
Securities registered pursuant to Section 12(b) of the Act: None Securities registered pursuant to Section 12(g) of the Act: ------------------------ COMMON STOCK, $0.01 PAR VALUE NASDAQ NATIONAL MARKET (Title of class) (Name of exchange on which registered) Aggregate market value of the voting stock held Number of shares outstanding of the Registrant's by non-affiliates of the Registrant at March Class of common stock at March 15, 1999: 15, 1999: $168,832,991 18,630,817
------------------------ Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes /X/ No / / Indicate by check mark if disclosure of delinquent filers pursuant to item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this form 10-K or any amendment to this form 10-K [ ] DOCUMENTS INCORPORATED BY REFERENCE: Proxy Statement relating to the 1999 Annual Meeting of Stockholders (incorporated, in part, in Form 10-K Part III). - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- EXPLANATORY NOTE This Annual Report on Form 10-K/A for the fiscal year ended December 31, 1998 (the "Report") is being filed solely to file an amended Exhibit 27 (Financial Data Schedule). This Form 10-K/A constitutes Amendment No. 1 to the Report. SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. INVESTMENT TECHNOLOGY GROUP, INC. By: /s/ RAYMOND L. KILLIAN, JR. ----------------------------------------- Raymond L. Killian, Jr. Chairman of the Board, Chief Executive Officer and President
Dated: March 26, 1999 Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons and on behalf of the Registrant in the capacities and on the dates indicated.
SIGNATURE TITLE DATE - ------------------------------ -------------------------- ------------------- /s/ RAYMOND L. KILLIAN, JR. Chairman of the Board, - ------------------------------ Chief Executive Officer March 26, 1999 Raymond L. Killian, Jr. President and Director Senior Vice President and /s/ JOHN R. MACDONALD Chief Financial Officer - ------------------------------ (Principal Financial March 26, 1999 John R. MacDonald Officer) /s/ ANGELO BULONE Vice President and - ------------------------------ Controller (Principal March 26, 1999 Angelo Bulone Accounting Officer) /s/ FRANK E. BAXTER - ------------------------------ Director March 26, 1999 Frank E. Baxter /s/ NEAL S. GARONZIK - ------------------------------ Director March 26, 1999 Neal S. Garonzik /s/ WILLIAM I JACOBS - ------------------------------ Director March 26, 1999 William I Jacobs /s/ ROBERT L. KING - ------------------------------ Director March 26, 1999 Robert L. King /s/ MARK A. WOLFSON - ------------------------------ Director March 26, 1999 Mark A. Wolfson
55 EX-27 2 EXHIBIT 27
BD THIS SCHEDULE CONTAINS SUMMARY FINANCIAL INFORMATION EXTRACTED FROM THE CONSOLIDATED STATEMENT OF FINANCIAL CONDITION AND THE CONSOLIDATED STATEMENT OF OPERATIONS AS OF DECEMBER 31, 1998 AND FOR THE YEAR THEN ENDED AND THE NOTES THERETO AND IS QUALIFIED IN ITS ENTIRETY BY REFERENCE TO SUCH FINANCIAL STATEMENTS. 1,000 12-MOS DEC-31-1998 JAN-01-1998 DEC-31-1998 77,324 24,849 0 0 40,615 19,662 180,512 0 30,105 0 0 288 0 0 0 194 143,515 180,512 0 3,635 208,570 0 0 20 51,462 80,935 80,935 0 0 43,394 2.36 2.25
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