-----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, BGhdQfyI9AOSn40N04xgE//nvxrGTjSBkEX/S+7usq7WpO3eNX4XMcoZIsgIPwUb XJUJdXqnHG+jmcfmEYWnbw== 0001193805-07-002596.txt : 20071011 0001193805-07-002596.hdr.sgml : 20071011 20071011163512 ACCESSION NUMBER: 0001193805-07-002596 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20071004 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20071011 DATE AS OF CHANGE: 20071011 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: 071167546 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 e602703_8k-nyfix.htm Unassociated Document
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):  October 4, 2007
 
NYFIX, INC.
(Exact name of registrant as specified in its charter)
 
Delaware
(State or other jurisdiction of incorporation)
0-21324
(Commission File Number)
06-1344888
(IRS Employer
Identification No.)
 
100 Wall Street, 26th Floor, New York, New York  10005
 
(Address of principal executive offices)
 
Registrant’s telephone number, including area code: 646-525-3000
 
______________________________________________________
(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 October 4, 2007, NYFIX, Inc. (the “Company”) issued a press release reporting the date of its 2007 Annual Meeting of Stockholders.  A copy of the press release is attached hereto as Exhibit 99.1.
 
On October 10, 2007, the Company issued a press release reporting the introduction through its NYFIX Securities Corporation broker-dealer subsidiary of a Commission Management Program.  A copy of the press release is attached hereto as Exhibit 99.2.
 
Item 9.01                      Financial Statements and Exhibits.
 
(d)              Exhibits

99.1 Press release of NYFIX, Inc., dated October 4, 2007, reporting the date of its 2007 Annual Meeting of Stockholders.

99.2  Press release of NYFIX, Inc., dated October 10, 2007, reporting the introduction through its NYFIX Securities Corporation broker-dealer subsidiary of a Commission Management Program.



 
2
 


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/ Scott Bloom  
    Name: Scott Bloom   
    Title: Secretary   
 Dated: October 11, 2007      
 

 
 
3
 

EXHIBIT INDEX


99.1  Press release of NYFIX, Inc., dated October 4, 2007, reporting the date of its 2007 Annual Meeting of Stockholders.

99.2  Press release of NYFIX, Inc., dated October 10, 2007, reporting the introduction through its NYFIX Securities Corporation broker-dealer subsidiary of a Commission Management Program.

 
4

 EX-99.1 2 e602703_ex99-1.htm Untitled Document

FOR IMMEDIATE RELEASE

Contact:

FOR MEDIA   FOR INVESTORS
     
Matt Zachowski   Brian Prenoveau, CFA
Intermarket Communications   Integrated Corporate Relations
(212) 888-6115   (203) 682-8200
matt@intermarket.com    

NYFIX Schedules Annual Meeting of Stockholders

NEW YORK, October 4, 2007: NYFIX, Inc. (Pink Sheets: NYFX) (“NYFIX” or the “Company”), a trusted provider of innovative solutions that optimize trading efficiency, today announced that it will hold its 2007 Annual Meeting of Stockholders on Tuesday, December 11, 2007 at 9:00 a.m. at the Company’s offices at 100 Wall Street - 26th Floor, New York, NY 10005.

About NYFIX, Inc.
A pioneer in electronic trading solutions, NYFIX continues to transform trading through innovation. The NYFIX MarketplaceTM is a global community of trading counterparties utilizing innovative services that optimize the business of trading. NYFIX Millennium provides the Marketplace community with new methods of accessing liquidity. NYFIX also provides value-added informational and analytic services and powerful tools for measuring execution quality. A trusted business partner to buy-side and sell-side alike, NYFIX enables ultra-low touch, low impact market access and end-to-end transaction processing. NYFIX ranked 1st among 179 market participants for NYSE execution quality based on price in a recent study conducted by Celent LLC, a leading research and advisory firm for the securities industry.

Please visit http://www.nyfix.com for more information about NYFIX.

# # #

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Contact:

FOR MEDIA   FOR INVESTORS
     
Matt Zachowski   Brian Prenoveau, CFA
Intermarket Communications   Integrated Corporate Relations
(212) 888-6115   (203) 682-8200
matt@intermarket.com    

NYFIX Introduces Commission Management Program
New Service Allows Buy-side to Separate Research Payments from Trading

NEW YORK, October 10, 2007 - NYFIX Inc. (Pink Sheets: NYFX), a trusted provider of innovative solutions that optimize trading efficiency, today introduced through its NYFIX Securities Corporation broker-dealer subsidiary a Commission Management Program that provides buy-side firms the ability to allocate commissions for trades executed via NYFIX to participating brokers as payment for research or other soft dollar services. The move follows recent FINRA approval of the application by NYFIX’s broker-dealer subsidiaries to offer Client Commission Arrangements (CCAs), sometimes referred to as Client Sharing Agreements (CSAs), to their buy-side customers. The Commission Management Program will be available in connection with all NYFIX agency brokerage services, including Direct Market Access (or DMA), algorithms, and access to NYFIX Millennium® ATS.

Clients who sign up for the program will be able to utilize NYFIX’s neutral and independent trade execution services without having to sacrifice existing relationships with trusted research providers. Later this fall clients will also be able to manage their commission allocations online with a broad range of commission management tools including reporting as well as payments and regulatory guidance, significantly increasing workflow efficiencies.

Via this online service, each client will be provided the ability to fully customize its accounts, allowing for the adjustment of any number of parameters including remittances, reports and budget forecasts, to best fit their individual needs. Online access to accounts will allow for efficiency, faster bill payment, and easier invoice approval, along with the ability to direct CCA payments. Additionally, NYFIX will provide each client with a dedicated account representative to assist as needed.

“Increased demand for transparency related to commission allocation, coupled with rising trade volumes, an abundance of independent research, and the potential unbundling of research and execution costs, all indicate that the time is right for NYFIX to introduce this program,” said Zoe Boza, Senior Vice President of the Commission Management Group, NYFIX, Inc. “Because of our market position as a trusted provider of innovative service offerings, including some of the industry’s most advanced trade automation tools and one of the industry’s largest non-displayed pools of liquidity, NYFIX Millennium, our Commission Management Program provides the buy-side a highly efficient means for managing commission dollars while at the same time achieving best execution.”

Sales Contact - For additional information regarding NYFIX’s Commission Management Program, please contact Brian Pears, Senior Vice President, NYFIX, Inc. on 646-525-3025.

About NYFIX, Inc.
A pioneer in electronic trading solutions, NYFIX continues to transform trading through innovation. The NYFIX MarketplaceTM is a global community of trading counterparties utilizing innovative services that optimize the business of trading. NYFIX Millennium provides the Marketplace community with new methods of accessing liquidity. NYFIX also provides value-added informational and analytic services and powerful tools for measuring execution quality. A trusted business partner to buy-side and sell-side alike, NYFIX enables ultra-low touch, low impact market access and end-to-end transaction processing. NYFIX ranked 1st among 179 market participants for NYSE execution quality based on price in a recent study conducted by Celent LLC, a leading research and advisory firm for the securities industry.

Please visit http://www.nyfix.com for more information about NYFIX.

# # #

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