-----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, SrSj56maVEbk5wElgbTmek72j10sCx5FK01HTTFPwk6PzvlU3uop3SsH9lD58pzs zc+O+brBSUaBpDtvCD+VIQ== 0001181431-09-026402.txt : 20090522 0001181431-09-026402.hdr.sgml : 20090522 20090521165812 ACCESSION NUMBER: 0001181431-09-026402 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090515 ITEM INFORMATION: Other Events FILED AS OF DATE: 20090521 DATE AS OF CHANGE: 20090521 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: 001-02292 FILM NUMBER: 09846012 BUSINESS ADDRESS: STREET 1: 100 WALL STREET STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 212-809-3542 MAIL ADDRESS: STREET 1: 100 WALL STREET STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 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 rrd243324.htm Prepared By R.R. Donnelley Financial -- 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):  05/15/2009
 
NYFIX, Inc.
(Exact name of registrant as specified in its charter)
 
Commission File Number:  001-02292
 
Delaware
  
06-1344888
(State or other jurisdiction of
  
(IRS Employer
incorporation)
  
Identification No.)
 
100 Wall Street
New York, NY 10005
(Address of principal executive offices, including zip code)
 
(646) 525-3000
(Registrant’s telephone number, including area code)
 
(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:
[  ]   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[  ]   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[  ]   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[  ]   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 

 
Item 8.01.    Other Events
 
The information provided on Exhibit 99.1 to this current report with respect to Mr. Carl Warden, a beneficial owner of more than 5 percent of the company's common stock, should have been included in the section entitled "Security Ownership of Certain Beneficial Owners and Management" in NYFIX, Inc.'s Proxy Statement dated April 28, 2009, as filed with the Securities and Exchange Commission and distributed to shareholders.
 

 

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 hereunto duly authorized.
 
      
 
NYFIX, Inc.
 
 
Date: May 21, 2009
     
By:
 
/s/    Annemarie Tierney
               
Annemarie Tierney
               
General Counsel and Corporate Secretary
 
 

 

Exhibit Index
 
Exhibit No.
  
Description
EX-99.1
  
Security Ownership of Certain Beneficial Owners
EX-99.1 2 rrd243324_28493.htm SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS DC6841.pdf -- Converted by SEC Publisher 4.2, created by BCL Technologies Inc., for SEC Filing

Exhibit 99.1

     The following information with respect to Mr. Carl Warden, a beneficial owner of more than 5% of NYFIX, Inc.’s common stock, should have been included in the section entitled "Security Ownership of Certain Beneficial Owners and Management" in NYFIX, Inc.’s Proxy Statement dated April 28, 2009, as filed with the Securities and Exchange Commission and distributed to stockholders:

SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT

Name and Address of               Common Stock    Series B Preferred Stock 
Beneficial Owner    Amount and    Percent    Amount and Nature    Percent 
    Nature of    of Class    of Beneficial    of 
    Beneficial    (1)    Ownership    Class 
    Ownership            (1) 
Beneficial Owners of                 
More Than 5% of                 
Common Stock                 
Carl Warden    3,302,482 (1)    8.55%    0    - 
c/o                 
Frank E. Lawatsch, Jr.                 
7 Times Square                 
New York, NY 10036                 

(1)      Based upon the Form 13D filed by Mr. Warden on July 31, 2007, includes (i) 100,000 shares of Common Stock held by The Carl and Vicki Warden Family Foundation (the "Foundation"), of which Mr. Warden is the trustee, (ii) 457,871 shares of Common Stock held in a multi-generational trust (the "Trust") and (iii) 766,092 shares of Common Stock for which Mr. Warden has a power of attorney (the "Power of Attorney Shares") which enables him to dispose of such shares. Includes 2,536,390 shares as to which Mr. Warden has sole voting power. Includes 3,302,482 shares as to which Mr. Warden has sole dispositive power. Mr. Warden disclaims beneficial ownership of the shares held by the Foundation and the Trust, as well as the Power of Attorney Shares. Does not include an aggregate of 1,613,810 shares of Common Stock held by certain adult members of Mr.
 
  Warden’s family and their children.
 
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