-----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, G6VCq2e+grueSCf26lhPM1wzJjDdutMb6Z/wFT220vNQB9NeBd5t0OxOh83oqNG1 2UTYEgm5GZix3mbMfKOseQ== 0000950120-06-000296.txt : 20060602 0000950120-06-000296.hdr.sgml : 20060602 20060602163855 ACCESSION NUMBER: 0000950120-06-000296 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060601 ITEM INFORMATION: Other Events FILED AS OF DATE: 20060602 DATE AS OF CHANGE: 20060602 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NYFIX INC CENTRAL INDEX KEY: 0000099047 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 061344888 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-21324 FILM NUMBER: 06883731 BUSINESS ADDRESS: STREET 1: 333 LUDLOW STREET CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2034258000 FORMER COMPANY: FORMER CONFORMED NAME: TRINITECH SYSTEMS INC DATE OF NAME CHANGE: 19940404 FORMER COMPANY: FORMER CONFORMED NAME: TRANS AIRE ELECTRONICS INC DATE OF NAME CHANGE: 19910916 8-K 1 form8k.htm NYFIX, INC. FORM 8-K NYFIX, INC. FORM 8-K
 
UNITED STATES 
SECURITIES AND EXCHANGE COMMISSION 
WASHINGTON, D.C. 20549 
____________________
 
FORM 8-K 
 
CURRENT REPORT 
PURSUANT TO SECTION 13 OR 15(d) OF THE 
SECURITIES EXCHANGE ACT OF 1934 
 
 
Date of Report (Date of earliest event reported):
 
 
  June 1, 2006
 
NYFIX, INC.
(Exact name of registrant as specified in its charter)
 
 
Delaware
 
0-21324
 
06-1344888
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)
 
 
 
 
333 Ludlow Street, Stamford, Connecticut 06902
(Address of principal executive offices)
 
 
 
Registrant’s telephone number, including area code:
 
 
  203-425-8000
 
 
 
(Former name or former address, if changed since last report.)
 
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
 
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
 
 

Item 8.01. Other Events.

On or about June 1, 2006, a purported shareholder derivative action entitled Ritchie v. Castillo, et al. was filed in the Superior Court for the State of Connecticut (the “Complaint”). The Complaint names the Nyfix, Inc. (the “Company”) as a nominal defendant and its Chairman Peter Kilbinger Hansen, its Chief Executive Officer Robert Gasser, its Chief Information Officer Lars Kragh, its former CFO Richard A. Castillo, and its Directors George O. Deehan, Lon Gorman, William C. Jennings, William J. Lynch, Richard Y. Roberts and Thomas C. Wajnert as defendants. The Complaint asserts a claim for breach of fiduciary duty against all the individual defendants and a claim for unjust enrichment against Messrs. Hansen, Castillo, Kragh and Gasser based on claimed backdating of stock option grants to the latter individuals between 2000 and 2003. The Company and the other defendants intend to defend the lawsuit vigorously.
 
 
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SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 
NYFIX, INC.
 
 
 
By:
/s/ Brian Bellardo
   
Name:  Brian Bellardo
   
Title:    Secretary

Dated: June 2, 2006

 
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