SEC Form 4 · accession 0001179110-16-020096
INVESTMENT TECHNOLOGY GROUP, INC. · ITG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Etienne Phaneuf
Officer — Man. Director, CEO of Canada
Period of report
Feb 22, 2016
Accepted (ET)
Feb 24, 2016 · 7:23 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, 2016 | M | 13,574 | — | A | 91,381 | D | |
| Common Stock | Feb 22, 2016 | D | 13,574 | $17.24 | D | 77,807 | 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, 2016 | M | 13,574 | D | — | — | Common Stock | 13,574 | 0 | D |
Explanation of responses
- F1One-for-one.
- F2With respect to the entire class of Stock Units: 10,442 vested on 2/22/2014, 10,442 vested on 2/22/2015, and 13,574 vested on 2/22/2016.
- F3Cash settlement of Stock Units occured on the vesting dates as set forth in Footnote 2.
- F4Cash settlement of stock units without payment of consideration by participant.