SEC Form 4 · accession 0001144204-15-032312
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Brown
Director
Period of report
May 15, 2015
Accepted (ET)
May 19, 2015 · 4:32 pm EDT
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 StockF1,F2 | May 15, 2015 | C | 86,930 | — | A | 86,930 | I | By Trust |
| Class A Common StockF3,F2 | May 15, 2015 | S | 86,930 | $1.5123 | D | 0 | I | By Trust |
| Class A Common StockF1,F4 | May 15, 2015 | C | 48,975 | — | A | 48,975 | I | By LLC |
| Class A Common StockF3,F4 | May 15, 2015 | S | 48,975 | $1.5023 | D | 0 | I | By LLC |
| Class A Common StockF1 | May 15, 2015 | C | 47,518 | — | A | 147,518 | D | |
| Class A Common StockF3 | May 15, 2015 | S | 47,518 | $1.5023 | D | 100,000 | D | |
| Class A Common StockF1,F2 | May 18, 2015 | C | 8,300 | — | A | 8,300 | I | By Trust |
| Class A Common StockF2 | May 18, 2015 | S | 8,300 | $1.45 | D | 0 | I | By Trust |
| Class A Common StockF1,F4 | May 18, 2015 | C | 8,780 | — | A | 8,780 | I | By LLC |
| Class A Common StockF5,F4 | May 18, 2015 | S | 8,780 | $1.4503 | D | 0 | I | By LLC |
| Class A Common StockF1 | May 18, 2015 | C | 7,467 | — | A | 107,467 | D | |
| Class A Common Stock | May 18, 2015 | S | 7,467 | $1.45 | D | 100,000 | 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 LLCF2,F1 | — | May 15, 2015 | C | 86,930 | D | — | — | Class A Com-mon Stock | 86,930 | 224,792 | I |
| Units of FXCM Holdings LLCF4,F1 | — | May 15, 2015 | C | 48,975 | D | — | — | Class A Com-mon Stock | 48,975 | 74,900 | I |
| Units of FXCM Holdings LLCF1 | — | May 15, 2015 | C | 47,518 | D | — | — | Class A Com-mon Stock | 47,518 | 76,408 | D |
| Units of FXCM Holdings LLCF2,F1 | — | May 18, 2015 | C | 8,300 | D | — | — | Class A Com-mon Stock | 8,300 | 216,492 | I |
| Units of FXCM Holdings LLCF4,F1 | — | May 18, 2015 | C | 8,780 | D | — | — | Class A Com-mon Stock | 8,780 | 66,120 | I |
| Units of FXCM Holdings LLCF1 | — | May 18, 2015 | C | 7,467 | D | — | — | Class A Com-mon Stock | 7,467 | 68,941 | 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.
- F2Held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person's wife serves as trustee. The Reporting Person disclaims beneficial ownership over the securities held by this trust except to the extent of his pecuniary interest therein.
- F3This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.50 to $1.53, 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.
- F4Held by a limited liability company, for which the Reporting Person is manager. The Reporting Person disclaims beneficial ownership over the securities held by this limited liability company except to the extent of his pecuniary interest therein.
- F5This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.45 to $1.455, 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.