SEC Form 4 · accession 0001144204-15-072600
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 21, 2015
Accepted (ET)
Dec 23, 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,F3 | Dec 21, 2015 | S$0 | 68 | — | D | 13,962 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1All of such shares were sold automatically upon certain of the Reporting Person's previously unvested restricted stock units subsequently becoming vested and were sold solely for the purpose of covering certain tax obligations that arose upon such vesting.
- F2This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.43 to $12.447, 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.
- F3Certain shares held by the Reporting Person 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.