SEC Form 4 · accession 0001144204-15-055683
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicola Santoro Jr.
Other
Period of report
Sep 18, 2015
Accepted (ET)
Sep 21, 2015 · 8:30 am 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 | Sep 18, 2015 | J | 3,000 | $0.00 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F2 | $13.55 | Sep 18, 2015 | J | 40,000 | D | — | Mar 8, 2020 | Class A Common Stock | 40,000 | 0 | D |
| Stock Options (right to buy)F2 | $17.99 | Sep 18, 2015 | J | 100,000 | D | — | Aug 9, 2020 | Class A Common Stock | 100,000 | 0 | D |
Explanation of responses
- F1Represents previously issued restricted stock units, which were to vest in equal installments on each of the first four anniversaries of the grant date, but will now remain unvested and shall terminate pursuant to their terms due to the Reporting Person's cessation of employment with the Issuer.
- F2Represents previously issued options to purchase shares of Class A common stock, which were to vest in equal annual installments over a four-year period beginning on the grant date of the options and, to the extent vested, generally remain exercisable until the seventh anniversary of the grant date, but will now terminate pursuant to their terms due to the Reporting Person's cessation of employment with the Issuer.