-----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, HbxathyVVgNAktbq+kWyn+RkyqYdAPXGnNptX6DRTJLicUst0ptDCM1I3/cBPTPa I+1hWtNDuvP+N5oY9DdLhQ== 0001123292-07-000927.txt : 20071120 0001123292-07-000927.hdr.sgml : 20071120 20071120182906 ACCESSION NUMBER: 0001123292-07-000927 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071109 FILED AS OF DATE: 20071120 DATE AS OF CHANGE: 20071120 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 380 MADISON AVE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125884000 MAIL ADDRESS: STREET 1: 380 MADISON AVE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D. E. SHAW & CO, L.L.C. CENTRAL INDEX KEY: 0001277502 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32722 FILM NUMBER: 071260959 BUSINESS ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2124780000 MAIL ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 FORMER NAME: FORMER CONFORMED NAME: D E SHAW & CO LLC DATE OF NAME CHANGE: 20040127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D. E. SHAW & CO, L.P. CENTRAL INDEX KEY: 0001009268 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32722 FILM NUMBER: 071260960 BUSINESS ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2124780000 MAIL ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 FORMER NAME: FORMER CONFORMED NAME: SHAW D E & CO L P /NY/ DATE OF NAME CHANGE: 19990421 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D. E. Shaw Synoptic Portfolios 2, L.L.C. CENTRAL INDEX KEY: 0001419081 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32722 FILM NUMBER: 071260961 BUSINESS ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-478-0000 MAIL ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: D. E. SHAW LAMINAR PORTFOLIOS, L.L.C. CENTRAL INDEX KEY: 0001263972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32722 FILM NUMBER: 071260962 BUSINESS ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2124780000 MAIL ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 FORMER NAME: FORMER CONFORMED NAME: D.E. SHAW LAMINAR PORTFOLIOS, L.L.C. DATE OF NAME CHANGE: 20060928 FORMER NAME: FORMER CONFORMED NAME: DE SHAW LAMINAR PORTFOLIOS LLC DATE OF NAME CHANGE: 20030916 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHAW DAVID E CENTRAL INDEX KEY: 0001023870 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32722 FILM NUMBER: 071260958 BUSINESS ADDRESS: STREET 1: 120 WEST 45TH STREET CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2124780000 MAIL ADDRESS: STREET 1: 39TH FLOOR, TOWER 45 STREET 2: 120 WEST FORTY-FIFTH STREET CITY: NEW YORK STATE: NY ZIP: 10036 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-11-09 1 0000920424 INVESTMENT TECHNOLOGY GROUP INC ITG 0001263972 D. E. SHAW LAMINAR PORTFOLIOS, L.L.C. 39TH FLOOR, TOWER 45 120 WEST FORTY-FIFTH STREET NEW YORK NY 10036 0 0 1 1 See footnotes 1 and 2 0001419081 D. E. Shaw Synoptic Portfolios 2, L.L.C. 39TH FLOOR, TOWER 45 120 WEST FORTY-FIFTH STREET NEW YORK NY 10036 0 0 1 1 See footnotes 1 and 2 0001009268 D. E. SHAW & CO, L.P. 39TH FLOOR, TOWER 45 120 WEST FORTY-FIFTH STREET NEW YORK NY 10036 0 0 1 1 See footnotes 1 and 2 0001277502 D. E. SHAW & CO, L.L.C. 39TH FLOOR, TOWER 45 120 WEST FORTY-FIFTH STREET NEW YORK NY 10036 0 0 1 1 See footnotes 1 and 2 0001023870 SHAW DAVID E 39TH FLOOR, TOWER 45 120 WEST FORTY-FIFTH STREET NEW YORK NY 10036 0 0 1 1 See footnotes 1 and 2 Common Stock 2007-11-13 4 P 0 300 40.66 A 4396392 D Common Stock 2007-11-13 4 P 0 200 40.70 A 4396392 D Common Stock 2007-11-13 4 P 0 100 40.80 A 4396392 D Common Stock 2007-11-13 4 P 0 900 40.81 A 4396392 D Common Stock 2007-11-13 4 P 0 200 40.84 A 4396392 D Common Stock 2007-11-13 4 P 0 600 40.87 A 4396392 D Common Stock 2007-11-13 4 P 0 300 40.89 A 4396392 D Common Stock 2007-11-13 4 P 0 400 40.90 A 4396392 D Common Stock 2007-11-13 4 P 0 400 40.91 A 4396392 D Common Stock 2007-11-13 4 P 0 800 40.92 A 4396392 D Common Stock 2007-11-13 4 P 0 900 40.93 A 4396392 D Common Stock 2007-11-13 4 P 0 600 40.94 A 4396392 D Common Stock 2007-11-13 4 P 0 300 40.95 A 4396392 D Common Stock 2007-11-13 4 P 0 1500 40.96 A 4396392 D Common Stock 2007-11-13 4 P 0 200 40.99 A 4396392 D Common Stock 2007-11-13 4 P 0 300 41.02 A 4396392 D Common Stock 2007-11-13 4 P 0 300 41.04 A 4396392 D Common Stock 2007-11-13 4 P 0 200 41.06 A 4396392 D Common Stock 2007-11-13 4 P 0 200 41.08 A 4396392 D Common Stock 2007-11-13 4 P 0 200 41.09 A 4396392 D Common Stock 2007-11-13 4 P 0 200 41.11 A 4396392 D Common Stock 2007-11-13 4 P 0 200 41.15 A 4396392 D Common Stock 2007-11-13 4 P 0 200 41.16 A 4396392 D Common Stock 2007-11-13 4 P 0 600 41.19 A 4396392 D Common Stock 2007-11-13 4 P 0 600 41.28 A 4396392 D Common Stock 2007-11-13 4 P 0 400 41.32 A 4396392 D Common Stock 2007-11-13 4 P 0 600 41.34 A 4396392 D Common Stock 2007-11-13 4 P 0 500 41.36 A 4396392 D Common Stock 2007-11-13 4 P 0 800 41.37 A 4396392 D Common Stock 2007-11-13 4 P 0 200 41.38 A 4396392 D The securities of the Issuer to which this form relates are held directly by D. E. Shaw Laminar Portfolios, L.L.C. ("Laminar") and D. E. Shaw Synoptic Portfolios 2, L.L.C. ("Synoptic"). D. E. Shaw & Co., L.P. ("DESCO LP"), as investment adviser to Laminar and Synoptic; D. E. Shaw & Co., L.L.C. ("DESCO LLC"), as managing member of Laminar and Synoptic; and David E. Shaw (as president and sole shareholder of D. E. Shaw & Co., Inc., which is the general partner of DESCO LP, and as president and sole shareholder of D. E. Shaw & Co. II, Inc., which is the managing member of DESCO LLC), may be deemed to be the beneficial owners of more than 10% of the Common Stock of the Issuer for purposes of Rule 16a-1(a) of the Securities Exchange Act of 1934. (Continued from Footnote 1) In accordance with General Instruction 4(b)(iv), the entire number of shares of Common Stock that may be deemed to be beneficially owned by Laminar, Synoptic, DESCO LP, DESCO LLC, or David E. Shaw are reported herein. Each of Laminar, Synoptic, DESCO LP, DESCO LLC, and David E. Shaw disclaims beneficial ownership of the securities listed in this Form 4, except to extent of any pecuniary interest therein. Due to system limitations for reporting transactions via EDGAR on Form 4, this Form 4 is the third of six Form 4s filed for the reporting persons covering transactions reported for the period of November 9, 2007 through November 15, 2007. D. E. Shaw Laminar Portfolios, L.L.C. By: D. E. Shaw & Co., L.L.C., as managing member By: /s/ Rochelle Elias, Chief Compliance Officer 2007-11-20 D. E. Shaw Synoptic Portfolios 2, L.L.C. By: D. E. Shaw & Co., L.L.C., as managing member By: /s/ Rochelle Elias, Chief Compliance Officer 2007-11-20 D. E. Shaw & Co., L.P. By: /s/ Rochelle Elias, Chief Compliance Officer 2007-11-20 D. E. Shaw & Co., L.L.C. By: /s/ Rochelle Elias, Chief Compliance Officer 2007-11-20 David E. Shaw By: /s/ Rochelle Elias, Attorney-in-Fact 2007-11-20 -----END PRIVACY-ENHANCED MESSAGE-----