SEC Form 4 · accession 0001140361-17-000475
Interactive Brokers Group, Inc. · IBKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas AJ Frank
Officer — Chief Information Officer
Period of report
Dec 31, 2016
Accepted (ET)
Jan 4, 2017 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001381197
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | Dec 31, 2016 | A | 22,644 | $0.00 | A | 329,445 | D | |
| Class A Common StockF3 | holding | — | — | — | 1,000,000 | I | By IBG Holdings LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This represents a grant of restricted stock that will vest 10% on 5/9/2017 and 15% on each of the first six anniversaries of 5/9/2017.
- F2These shares of Class A Common Stock are owned directly by the reporting person and represent the aggregate number of shares of restricted stock from awards granted under the 2007 Stock Incentive Plan since its inception, less vested shares that were withheld for tax purposes, or sold previously.
- F3Represents number of securities owned by IBG Holdings LLC in which the Reporting Person has a pecuniary interest through his membership interest in IBG Holdings LLC. The shares were acquired in a share for share exchange between IBG Holdings LLC and the issuer, in which each share of Class A Common Stock of the issuer was acquired by IBG Holdings LLC in exchange for one membership interest in IBG LLC.