SEC Form 4 · accession 0001179110-19-000988
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
Jan 24, 2019
Accepted (ET)
Jan 28, 2019 · 7:07 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 | Jan 24, 2019 | F | 2,526 | $30.19 | D | 79,149 | D | |
| Common StockF2 | Jan 24, 2019 | F | 2,702 | $30.19 | D | 76,447 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Time-based Stock UnitsF3,F4 | — | Jan 24, 2019 | A | 32,068 | A | — | — | Common Stock | 32,068 | 32,068 | D |
Explanation of responses
- F1Shares withheld for payment of taxes upon vesting of time-based stock units granted on January 24, 2017.
- F2Shares withheld for payment of taxes upon vesting of time-based stock units granted on January 24, 2018.
- F3Each time-based stock unit represents a contingent right to receive one share of common stock, a cash amount based on the value of one share of common stock, or a combination of cash and shares of common stock, as determined by the Compensation Committee of the Board of Directors of the Issuer in its sole discretion.
- F4This grant of time-based stock units consists of basic units. Basic units vest in equal annual installments on each of the first, second and third anniversaries of the date of grant if the Reporting Person has remained continuously employed by the Issuer and is in good standing through and on each applicable vesting date.