SEC Form 4 · accession 0001144204-15-033530
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Brown
Director
Period of report
May 22, 2015
Accepted (ET)
May 26, 2015 · 5:59 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 22, 2015 | C | 32,550 | — | A | 32,550 | I | By Trust |
| Class A Common StockF2 | May 22, 2015 | S | 32,550 | $1.30 | D | 0 | I | By Trust |
| Class A Common StockF1,F3 | May 22, 2015 | C | 65,720 | — | A | 65,720 | I | By LLC |
| Class A Common StockF3 | May 22, 2015 | S | 65,720 | $1.31 | D | 0 | I | By LLC |
| Class A Common StockF1 | May 22, 2015 | C | 51,149 | — | A | 151,149 | D | |
| Class A Common Stock | May 22, 2015 | S | 51,149 | $1.30 | 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 LLCF4,F2,F1 | — | May 22, 2015 | C | 32,550 | D | — | — | Class A Com-mon Stock | 32,550 | 182,942 | I |
| Units of FXCM Holdings LLCF4,F3,F1 | — | May 22, 2015 | C | 65,720 | D | — | — | Class A Com-mon Stock | 65,720 | 0 | I |
| Units of FXCM Holdings LLCF4,F1 | — | May 22, 2015 | C | 51,149 | D | — | — | Class A Com-mon Stock | 51,149 | 17,292 | 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.
- F3Held 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.
- F4Accounts for a mathematical error in the Reporting Person's May 21, 2015 Form 4, which inadvertently counted securities previously reported as having been disposed of on May 18, 2015.