SEC Form 4 · accession 0001179110-15-003358
INVESTMENT TECHNOLOGY GROUP, INC. · ITG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas Thadaney
Officer — Man. Director, CEO of Canada
Period of report
Feb 22, 2015
Accepted (ET)
Feb 24, 2015 · 6:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000920424
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 22, 2015 | M | 5,805 | — | A | 62,840 | D | |
| Common Stock | Feb 22, 2015 | D | 5,805 | $21.99 | D | 57,035 | D | |
| Common StockF1 | Feb 22, 2015 | M | 5,806 | — | A | 62,841 | D | |
| Common Stock | Feb 22, 2015 | D | 5,806 | $21.99 | D | 57,035 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Unit (right to buy)F4,F1,F2,F3 | — | Feb 22, 2015 | M | 5,805 | D | — | — | Common Stock | 5,805 | 0 | D |
| Stock Unit (right to buy)F4,F1,F5,F6 | — | Feb 22, 2015 | M | 5,806 | D | — | — | Common Stock | 5,806 | 0 | D |
Explanation of responses
- F1One-for-one.
- F2With respect to the entire class of Stock Units: 5,806 vested on 2/22/2014, 5,805 vested on 2/22/2015, 7,547 vest on 2/22/2016.
- F3Cash settlement of Stock Units occurs on the vesting dates as set forth in Footnote 2.
- F4Cash settlement of stock units without payment of consideration by participant.
- F5With respect to the entire class of Stock Units: 5,806 vested on 2/22/2015, 5,805 may vest on 2/22/2016, and 7,547 may vest on 2/22/2017, in each case if the Reporting Person remains continuously employed by the Issuer through the applicable vesting date and the 90-day average of the Issuer's common stock price on such vesting date is higher than the 90-day average of the Issuer's common stock price on the date of grant.
- F6Cash settlement of Stock Units occurs on the vesting dates as set forth in Footnote 5.