SEC Form 4 · accession 0001144204-15-001533
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Romersa
10% Owner
Period of report
Jan 7, 2015
Accepted (ET)
Jan 9, 2015 · 1:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001499912
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2 | Jan 7, 2015 | S | 26,308 | $17.09 | D | 401,857 | D | |
| Class A Common StockF3 | Jan 8, 2015 | S | 27,500 | $17.11 | D | 374,357 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Units of FXCM Holdings, LLCF1 | — | holding | — | — | — | — | — | Class A common stock | 4,100,000 | 4,100,000 | D |
Explanation of responses
- F1Pursuant to the terms of an exchange agreement, as of December 7, 2011, units of FXCM Holdings LLC are exchangeable for shares of Class A common stock of FXCM Inc. on a one-for-one basis.
- F2This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.09 to $17.12, inclusive. The reporting person undertakes to provide to FXCM Inc., any security holder of FXCM Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.06 to $17.15, inclusive. The reporting person undertakes to provide to FXCM Inc., any security holder of FXCM Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.