SEC Form 5 · accession 0001144204-15-008850
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dror Niv
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 1:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001499912
Table I — non-derivative securities
No Table I lines on this filing.
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 LLCF2,F1 | — | Jan 2, 2014 | G | 372,214 | D | — | — | Class A Common Stock | 372,214 | 0 | I |
| Units of FXCM Holdings LLCF2,F1 | — | Jan 2, 2014 | G | 372,214 | D | — | — | Class A Common Stock | 372,214 | 0 | I |
| Units of FXCM Holdings LLCF3,F1 | — | Jan 2, 2014 | G | 372,214 | A | — | — | Class A Common Stock | 372,214 | 372,214 | I |
| Units of FXCM Holdings LLCF4,F1 | — | Jan 2, 2014 | G | 372,214 | A | — | — | Class A Common Stock | 372,214 | 622,214 | I |
| Units of FXCM Holdings LLCF2,F1 | — | holding | — | — | — | — | — | Class A Common Stock | 7,880,472 | 7,880,472 | 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.
- F2Reflects the receipt of annuity payments from grantor retained annuity trusts to the Reporting Person.
- F3Units of FXCM Holdings LLC are held by a trust, for the benefit of Mr. Niv's family, for which Mr. Niv's wife serves as investment adviser. Mr. Niv disclaims beneficial ownership over the securities held by this trust except to the extent of his pecuniary interest therein.
- F4Units of FXCM Holdings LLC held by trusts, over which the Reporting Person exercises investment control. Mr. Niv disclaims beneficial ownership over the securities held by these trusts except to the extent of his pecuniary interest therein.