SEC Form 4 · accession 0001615774-17-007105
Global Brokerage, Inc. · GLBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dror Niv
10% Owner
Period of report
Nov 30, 2017
Accepted (ET)
Dec 4, 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 StockF2,F3 | Nov 30, 2017 | S | 18,750 | $0.555 | D | 848,739 | I | By Trusts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Such sales were made by (i) trusts for the benefit of the Reporting Person's family, for which the Reporting Person's family member(s) serve as trustee.
- F2This price is an average price. These shares were sold in multiple transactions at prices ranging from $0.55 to $0.5601, 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.
- F3A portion of these securities are (i) held by a trusts, for the benefit of the Reporting Person's family, for which the Reporting Person's family members serve as investment advisers and trustees, and (ii) held by trusts, over which the Reporting Person exercises investment control. The Reporting Person disclaims beneficial ownership over the securities held by these trusts except to the extent of his pecuniary interest therein.