10-Q/A 1 v124179_10qa.htm


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 

FORM 10-Q/A

þ
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the quarterly period ended March 31, 2008
 
or
 
o
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the transition period from    to    
 
Commission file number: 001-02292

NYFIX, INC.
(Exact name of registrant as specified in its charter)

Delaware
(State or other jurisdiction of
incorporation or organization)
06-1344888
(I.R.S. Employer
Identification Number)
 
100 Wall Street
New York, New York
(Address of principal executive offices)
 
10005
(Zip code)
(646) 525-3000
(Registrant’s telephone number, including area code)
 

 
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.  Yes x No o
 

 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer”, “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
 
Large accelerated Filer ¨
Accelerated filer ý
Non-accelerated filer ¨
Smaller reporting company ¨
 
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
 
Yes o No x
 
There were 37,460,286 shares of our common stock outstanding on May 6, 2008.
 




EXPLANATORY NOTE

NYFIX, Inc. (“the Company”) is filing this Amendment No. 1 to its Quarterly Report on Form 10-Q for the quarter ended March 31, 2008, which was originally filed with the Securities and Exchange Commission on May 12, 2008 (the “Quarterly Report”), to amend and restate in its entirety Part 2, Item 6 and to file a revised Exhibit 10.1, in order to disclose certain information for which confidential treatment had been initially requested. This Amendment No. 1 continues to speak as of the date of the original filing of the Quarterly Report, and the Company has not updated the disclosures contained therein to reflect any events that occurred at a later date. The changes in this exhibit were made in response to comments the Company received from the Securities and Exchange Commission to the Company’s Confidential Treatment Request.


Signatures 

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 thereunto duly authorized.
 
 
 NYFIX, INC.
   
August 20, 2008
/s/ P. Howard Edelstein  
 
P. Howard Edelstein  
 
President and Chief Executive Officer   
 
 
August 20, 2008
/s/ Steven R. Vigliotti  
 
Steven R. Vigliotti   
 
Chief Financial Officer 
 
 
 
 

 
 
Item 6. Exhibits
 

Exhibit
No. 
Description of Exhibit
   
*  10.1 †
Agreement for the Sale and Purchase of the entire issued share capital of FIXCITY, LTD dated April 4, 2008
   
10.2 (1) NYFIX, Inc. 2008 Annual Incentive Plan
   
* 31.3 Certification of Chief Executive Officer pursuant to Rules 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
   
* 31.4 Certification of Chief Financial Officer pursuant to Rules 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
 

 
*
Filed herewith

Confidential treatment requested as to certain portions, which portions are omitted and filed separately with the Securities and Exchange Commission.

(1)
Previously filed on May 12, 2008.