0001179110-12-003631.txt : 20120227 0001179110-12-003631.hdr.sgml : 20120227 20120227194613 ACCESSION NUMBER: 0001179110-12-003631 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120223 FILED AS OF DATE: 20120227 DATE AS OF CHANGE: 20120227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOEBELS P MATS CENTRAL INDEX KEY: 0001225747 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32722 FILM NUMBER: 12644196 MAIL ADDRESS: STREET 1: C/O ITG INC STREET 2: 380 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 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 4 1 edgar.xml FORM 4 - X0304 4 2012-02-23 0 0000920424 INVESTMENT TECHNOLOGY GROUP INC ITG 0001225747 GOEBELS P MATS C/O ITG INC. 380 MADISON AVENUE NEW YORK NY 10017 0 1 0 0 Managing Dir,Gen Counsel & Sec Common Stock 2012-02-23 4 A 0 18916 A 95145 D Common Stock 2012-02-23 4 A 0 18916 A 114061 D Common Stock 2012-02-23 4 F 0 5840 11.34 D 108221 D Common Stock 2012-02-23 4 D 0 3454 0 D 104767 D Grant of Stock Units in a transaction exempt under Rule 16b-3(d). This grant of Stock Units consists of basic units and matching units. Basic units vest in equal annual installments on each of the first, second and third anniversaries of the date of grant, if the Reporting Person remains continuously employed by the Issuer on each applicable vesting date. Matching units will vest 100% on the third anniversary of the date of grant, if the Reporting Person remains continuously employed by the Issuer through such vesting date. Grant of Stock Units in a transaction exempt under Rule 16b-3(d). This grant of Stock Units consists of basic units and matching units. Basic units vest in equal annual installments on each of the second, third and fourth anniversaries of the date of grant if the Reporting Person remains continuously employed by the Issuer on each applicable vesting date and the 90-day average of the Issuer's common stock price on each of the vesting dates is higher than the 90-day average of the Issuer's common stock price on the date of grant. Matching units will vest 100% on the fourth anniversary of the date of grant if the Reporting Person remains continuously employed by the Issuer through such vesting date and the 90-day average of the Issuer's common stock price on such vesting date is higher than the 90-day average of the Issuer's common stock price on the date of grant. The Amount of Securities Beneficially Owned does not include 7 shares of Common Stock allocated to the Reporting Person under the ESOP Trust. P. Mats Goebels 2012-02-27