0001179110-14-004532.txt : 20140305
0001179110-14-004532.hdr.sgml : 20140305
20140305171727
ACCESSION NUMBER: 0001179110-14-004532
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140303
FILED AS OF DATE: 20140305
DATE AS OF CHANGE: 20140305
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GFI Group Inc.
CENTRAL INDEX KEY: 0001292426
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200]
IRS NUMBER: 800006224
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 55 WATER STREET
CITY: NEW YORK
STATE: NY
ZIP: 10041
BUSINESS PHONE: 212-968-4100
MAIL ADDRESS:
STREET 1: 55 WATER STREET
CITY: NEW YORK
STATE: NY
ZIP: 10041
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gooch Michael
CENTRAL INDEX KEY: 0001314813
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34897
FILM NUMBER: 14670272
MAIL ADDRESS:
STREET 1: C/O GFI GROUP INC.
STREET 2: 100 WALL STREET
CITY: NEW YORK
STATE: NY
ZIP: 10005
4
1
edgar.xml
FORM 4 -
X0306
4
2014-03-03
0
0001292426
GFI Group Inc.
GFIG
0001314813
Gooch Michael
C/O GFI GROUP INC.
55 WATER STREET
NEW YORK
NY
10041
1
1
1
0
Executive Chairman
Common Stock
5264
I
See footnote
Common Stock
238848
I
See footnote
Common Stock
42104
I
See footnote
Common Stock
193024
D
Common Stock
2014-03-03
4
S
0
35000
4.00
D
46385128
I
See footnote
Common Stock
2014-03-04
4
S
0
35000
4.13
D
46350128
I
See footnote
Common Stock
2014-03-05
4
S
0
17400
4.11
D
46332728
I
See footnote
Restricted Stock Units
Common Stock
84578
84578
D
Restricted Stock Units
Common Stock
103077
103077
D
Restricted Stock Units
Common Stock
104530
104530
D
Represents 5,264 shares of Common Stock owned by Magnetic Management LLC. Magnetic Management LLC is a wholly-owned subsidiary of Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc. Through Jersey Partners, Inc., Mr. Gooch has voting power with respect to these shares but disclaims beneficial ownership.
Represents 238,848 shares of Common Stock owned by N-Two LLC, a subsidiary of Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc.
Represents shares of Common Stock owned by Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc.
Represents 42,104 shares of Common Stock owned by the Gooch Investment Trust. Mr. Gooch has voting power with respect to these shares but disclaims beneficial ownership.
The Restricted Stock Units settle 1 for 1 upon vesting.
Includes 1,320 shares owned by the Reporting Person's children. The Reporting Person disclaims beneficial ownership with respect to these shares.
The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2011.
The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2012.
The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2013.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.95 to $4.07. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.08 to $4.18. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.08 to $4.14. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
Christopher D'Antuono, Attorney-in-fact
2014-03-05