SEC Form 4 · accession 0001140361-17-041125
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
Nov 2, 2017
Accepted (ET)
Nov 6, 2017 · 3:07 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,F4,F2 | Nov 2, 2017 | S | 35,411 | $54.81 | D | 92,102 | I | By IBG Holdings LLC |
| Class A common stockF1,F5,F2 | Nov 2, 2017 | S | 1,222 | $55.18 | D | 90,880 | I | By IBG Holdings LLC |
| Class A common stockF1,F6,F2 | Nov 3, 2017 | S | 35,696 | $53.82 | D | 55,184 | I | By IBG Holdings LLC |
| Class A common stockF1,F2 | Nov 3, 2017 | S | 281 | $55.00 | D | 54,903 | I | By IBG Holdings LLC |
| Class A common stockF3 | holding | — | — | — | 311,827 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by IBG Holdings LLC, in which the reporting person has a pecuniary interest through his membership interest in IBG Holdings LLC that went into effect August 2, 2017.
- F2Represents 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.
- F3These 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.12 to $55.11, inclusive. The reporting person undertakes to provide Interactive Brokers Group, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes (4) - (6) to this Form 4.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.12 to $55.32, inclusive.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.55 to $54.46, inclusive.