SEC Form 4 · accession 0001615774-17-006835
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
Nov 16, 2017
Accepted (ET)
Nov 17, 2017 · 4:15 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 | Nov 16, 2017 | S | 13,537 | $1.2604 | D | 0 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.2492 to $1.30, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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.
- F2Certain shares sold by the Reporting Person were held by a pension plan of which Reporting Person is the sole beneficiary. The Reporting Person disclaimed beneficial ownership over the securities held by this pension plan except to the extent of his pecuniary interest therein.