0001179110-16-025835.txt : 20160601 0001179110-16-025835.hdr.sgml : 20160601 20160601204037 ACCESSION NUMBER: 0001179110-16-025835 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160527 FILED AS OF DATE: 20160601 DATE AS OF CHANGE: 20160601 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: 952848406 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE LIBERTY PLAZA STREET 2: 165 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: (212) 588-4000 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA STREET 2: 165 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10006 FORMER COMPANY: FORMER CONFORMED NAME: INVESTMENT TECHNOLOGY GROUP INC DATE OF NAME CHANGE: 19940316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marrale Michael CENTRAL INDEX KEY: 0001599787 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32722 FILM NUMBER: 161690739 MAIL ADDRESS: STREET 1: ITG INC. STREET 2: ONE LIBERTY PLAZA, 165 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10006 4 1 edgar.xml FORM 4 - X0306 4 2016-05-27 1 0000920424 INVESTMENT TECHNOLOGY GROUP, INC. ITG 0001599787 Marrale Michael ONE LIBERTY PLAZA 165 BROADWAY NEW YORK NY 10006 0 1 0 0 Managing Director Common Stock 2016-05-27 4 A 0 1585 0 A 105989.34 D Common Stock 2016-05-27 4 D 0 82150 18.70 D 23839.34 D Deemed acquisition of ROE performance-based stock units in connection with the Reporting Person's separation from the Company due to the Company's sale of its subsidiary, ITG Investment Research, LLC, to a subsidiary of Leucadia National Corporation (the "Purchaser") that closed on May 27, 2016 (the "Transaction"). These unvested stock units, consisting of 80,565 time-based and market-based stock units and 1,585 ROE performance-based stock units, were forfeited by the Reporting Person in connection with his separation from the Company due to the Transaction. Pursuant to the terms of an Agreement dated May 9, 2016 between the Company and the Reporting Person, the Reporting Person received, among other things, a lump sum cash payment to compensate him for certain of his unvested stock units that he forfeited upon his separation from employment and his commencement of employment with the Purchaser upon closing of the Transaction. The disposition of these stock units occurred pursuant to an exempt transaction under Rule 16b-3(e). Angelique DeSanto, by Power of Attorney filed with Form 3 dated February 14, 2014 2016-06-01