SEC Form 4 · accession 0000899243-16-018765
Virtu KCG Holdings LLC · KCG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Schuler
Director
Period of report
Apr 26, 2016
Accepted (ET)
Apr 28, 2016 · 4:13 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001569391
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A WarrantsF3,F1,F2 | — | Apr 26, 2016 | D | 997,973 | A | Jul 1, 2013 | — | Class A Common Stock | 997,973 | 0 | I |
| Class B WarrantsF3,F1,F4 | — | Apr 26, 2016 | D | 985,529 | A | Jul 1, 2013 | — | Class A Common Stock | 985,529 | 0 | I |
| Class C WarrantsF3,F1,F5 | — | Apr 26, 2016 | D | 985,529 | A | Jul 1, 2013 | — | Class A Common Stock | 985,529 | 0 | I |
Explanation of responses
- F1The exercise price of each of the Class A, Class B and Class C Warrants was adjusted on June 9, 2015, in accordance with the terms of the warrant agreement governing the warrants, in connection with the Issuer's "modified Dutch auction" tender offer.
- F2The Class A Warrants had an exercise price of $11.70 per warrant and expired on July 1, 2017.
- F3The reported securities were held by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("Serenity"). The reporting person and his wife separately hold equity interests in Serenity that together represent a controlling interest in Serenity. The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.
- F4The Class B Warrants had an exercise price of $13.16 per warrant and expired on July 1, 2018.
- F5The Class C Warrants had an exercise price of $14.63 per warrant and expired on July 1, 2019.