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