SEC Form 4 · accession 0001615774-17-007025
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eduard Yusupov
Officer — Global Head of Dealing · Director
Period of report
Nov 27, 2017
Accepted (ET)
Nov 29, 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 | Nov 27, 2017 | C | 353,335 | — | A | 373,335 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Units of Global Brokerage Holdings LLCF1 | — | Nov 27, 2017 | C | 353,335 | D | — | — | Class A Common Stock | 353,335 | 0 | D |
Explanation of responses
- F1Pursuant to the terms of an exchange agreement, as of December 7, 2011, units of Global Brokerage Holdings LLC are exchangeable for shares of Class A common stock of Global Brokerage, Inc. on a one-for-one basis.