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