SEC Form 4 · accession 0001144204-17-015865
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
Feb 7, 2017
Accepted (ET)
Mar 21, 2017 · 4:30 pm 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 StockF2 | Feb 7, 2017 | S | 3,000 | $3.055 | D | 230,342 | I | See Footnote |
| Class A Common StockF2 | Feb 7, 2017 | S | 2,400 | $3.13 | D | 227,942 | I | See Footnote |
| Class A Common StockF2 | Feb 7, 2017 | S | 2,000 | $3.10 | D | 225,942 | I | See Footnote |
| Class A Common StockF2 | Feb 7, 2017 | S | 1,600 | $3.05 | D | 224,342 | I | See Footnote |
| Class A Common StockF2 | Feb 7, 2017 | S | 1,000 | $3.105 | D | 223,342 | I | See Footnote |
| Class A Common StockF2 | Mar 15, 2017 | S | 6,775 | $1.75 | D | 216,567 | I | See Footnote |
| Class A Common StockF2 | Mar 15, 2017 | S | 3,800 | $1.705 | D | 212,767 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Such sales were made by the Reporting Person's brother-in-law and not by the Reporting Person themselves.
- F2A portion of these securities are (i) held by trusts for the benefit of the Reporting Person's family, for which the Reporting Person's family member(s) serve as trustee, and (ii) by members of the Reporting Person's family.
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.