SEC Form 4 · accession 0001144204-15-070970
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Lande
Officer — Chief Financial Officer
Period of report
Dec 14, 2015
Accepted (ET)
Dec 15, 2015 · 4:16 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 StockF1,F2 | Dec 14, 2015 | P | 10,000 | $5.85 | A | 14,030 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Such shares, which are the subject of this report, are held by a pension plan of which Reporting Person is the sole beneficiary. The Reporting Person disclaims beneficial ownership over the securities held by this pension plan except to the extent of his pecuniary interest therein.
- F2Consists of 2,430 shares of Class A common stock individually owned, 750 shares of Class A common stock held in an estate of which the Reporting Person is the sole beneficiary, 10,000 shares of Class A common stock held by a pension plan of which Reporting Person is the sole beneficiary, and 850 Class A restricted stock units which vest annually.