SEC Form 4 · accession 0001144204-17-000183
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Sakhai
Officer — Chief Operating Officer · Director
Period of report
Dec 29, 2016
Accepted (ET)
Jan 3, 2017 · 4:19 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 | Dec 29, 2016 | C | 20,000 | — | A | 20,000 | D | |
| Class A Common StockF1,F2 | Dec 29, 2016 | C | 213,342 | — | A | 233,342 | I | See Footnote |
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 LLCF1 | — | Dec 29, 2016 | C | 20,000 | D | — | — | Class A Common Stock | 20,000 | 578,878 | D |
| Units of FXCM Holdings LLCF1,F2 | — | Dec 29, 2016 | C | 213,342 | D | — | — | Class A Common Stock | 213,342 | 365,536 | I |
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.
- F2These units of FXCM Holdings LLC are held by trusts for the benefit of the Reporting Person's family, for which the Reporting Person's sister serves as trustee.
Remarks
Pursuant to Rule 16a-1(a)(4) under the Exchange Act, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein as indirectly beneficially owned, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.