SEC Form 4 · accession 0001209191-15-052040
Virtu KCG Holdings LLC · KCG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Schuler
Director
Period of report
Jun 8, 2015
Accepted (ET)
Jun 10, 2015 · 6:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001569391
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock, par value $0.01 per shareF2 | Jun 8, 2015 | S | 1,336,476 | $14.00 | D | 3,260,009 | I | See Footnote |
| Class A Common Stock, par value $0.01 per share | Jun 8, 2015 | S | 2,099 | $14.00 | D | 12,079 | D | |
| Restricted Stock Units | holding | — | — | — | 5,975 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares tendered by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("Serenity") and accepted for purchase by KCG Holdings, Inc. ("KCG") in the tender offer (the "Tender Offer") commenced by KCG on May 4, 2015 (the final results of which were announced by KCG on June 9, 2015). See Note 2 for more information.
- F2The reported securities are held by 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.
- F3Represents shares tendered by the reporting person and accepted for purchase by KCG in the Tender Offer.