SEC Form 4 · accession 0001144204-17-000192

Global Brokerage, Inc. · GLBR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director · 10% Owner

Period of report

Dec 29, 2016

Accepted (ET)

Jan 3, 2017 · 4:26 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 Stock^F1	Dec 29, 2016	C	20,000	—	A	40,000	D
Class A Common Stock^F1,F2	Dec 29, 2016	C	37,221	—	A	77,221	I	See Footnote
Class A Common Stock^F1,F3	Dec 29, 2016	C	37,221	—	A	114,442	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Units of FXCM Holdings LLC^F1	—	Dec 29, 2016	C	20,000	D	—	—	Class A Common Stock	20,000	842,489	D
Units of FXCM Holdings LLC^F1,F2	—	Dec 29, 2016	C	37,221	D	—	—	Class A Common Stock	37,221	805,268	I
Units of FXCM Holdings LLC^F1,F3	—	Dec 29, 2016	C	37,221	D	—	—	Class A Common Stock	37,221	768,047	I

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.
F2Units of FXCM Holdings LLC are held by a trust, for the benefit of Mr. Niv's family, for which Mr. Niv's wife serves as investment adviser. Mr. Niv disclaims beneficial ownership over the securities held by this trust except to the extent of his pecuniary interest therein.
F3Units of FXCM Holdings LLC held by trusts, over which the Reporting Person exercises investment control. Mr. Niv disclaims beneficial ownership over the securities held by these trusts except to the extent of his pecuniary interest therein.