0001144204-15-031784.txt : 20150515 0001144204-15-031784.hdr.sgml : 20150515 20150515174707 ACCESSION NUMBER: 0001144204-15-031784 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150513 FILED AS OF DATE: 20150515 DATE AS OF CHANGE: 20150515 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FXCM Inc. CENTRAL INDEX KEY: 0001499912 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 273268672 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 55 WATER ST. STREET 2: FL 50 CITY: NEW YORK STATE: NY ZIP: 10041 BUSINESS PHONE: 6464322241 MAIL ADDRESS: STREET 1: 55 WATER ST. STREET 2: FL 50 CITY: NEW YORK STATE: NY ZIP: 10041 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brown James CENTRAL INDEX KEY: 0001505302 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34986 FILM NUMBER: 15871232 MAIL ADDRESS: STREET 1: C/O LONG RIDGE EQUITY PARTNERS STREET 2: 200 MADISON AVENUE, SUITE 1900 CITY: NEW YORK STATE: NY ZIP: 10016 4 1 v410953_4.xml OWNERSHIP DOCUMENT X0306 4 2015-05-13 0 0001499912 FXCM Inc. FXCM 0001505302 Brown James C/O LONG RIDGE EQUITY PARTNERS 200 MADISON AVENUE, SUITE 1900 NEW YORK NY 10016 1 0 0 0 Class A Common Stock 2015-05-13 4 C 0 17600 A 17600 I By Trust Class A Common Stock 2015-05-13 4 S 0 17600 1.8057 D 0 I By Trust Class A Common Stock 2015-05-13 4 C 0 14600 A 14600 I By LLC Class A Common Stock 2015-05-13 4 S 0 14600 1.8047 D 0 I By LLC Class A Common Stock 2015-05-13 4 C 0 14400 A 114400 D Class A Common Stock 2015-05-13 4 S 0 14400 1.8047 D 100000 D Class A Common Stock 2015-05-14 4 C 0 148499 A 148499 I By Trust Class A Common Stock 2015-05-14 4 S 0 148499 1.6037 D 0 I By Trust Class A Common Stock 2015-05-14 4 C 0 81390 A 81390 I By LLC Class A Common Stock 2015-05-14 4 S 0 81390 1.6078 D 0 I By LLC Class A Common Stock 2015-05-14 4 C 0 81539 A 181539 D Class A Common Stock 2015-05-14 4 S 0 81539 1.6101 D 100000 D Units of FXCM Holdings LLC 2015-05-13 4 C 0 17600 0 D Class A Com-mon Stock 17600 460221 I By Trust Units of FXCM Holdings LLC 2015-05-13 4 C 0 14600 0 D Class A Com-mon Stock 14600 205265 I By LLC Units of FXCM Holdings LLC 2015-05-13 4 C 0 14400 0 D Class A Com-mon Stock 14400 205465 D Units of FXCM Holdings LLC 2015-05-14 4 C 0 148499 0 D Class A Com-mon Stock 148499 311722 I By Trust Units of FXCM Holdings LLC 2015-05-14 4 C 0 81390 0 D Class A Com-mon Stock 81390 123875 I By LLC Units of FXCM Holdings LLC 2015-05-14 4 C 0 81539 0 D Class A Com-mon Stock 81539 123926 D Pursuant to the terms of an exchange agreement, as of December 7, 2011, units of FXCM Holdings LLC are exchangeable for shares of Class A common stock of FXCM Inc. on a one-for-one basis. Held by a trust for the benefit of the Reporting Person's family, for which the Reporting Person's wife serves as trustee. The Reporting Person disclaims beneficial ownership over the securities held by this trust except to the extent of his pecuniary interest therein. This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.815, inclusive. The Reporting Person undertakes to provide to FXCM Inc., any security holder of FXCM Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Held by a limited liability company, for which the Reporting Person is manager. The Reporting Person disclaims beneficial ownership over the securities held by this limited liability company except to the extent of his pecuniary interest therein. This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.81, inclusive. The Reporting Person undertakes to provide to FXCM Inc., any security holder of FXCM Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.60 to $1.65, inclusive. The reporting person undertakes to provide to FXCM Inc., any security holder of FXCM Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. This reported amount accounts for a correction of 270 additional units to match transfer agent records. /s/David S. Sassoon, as designated signatory 2015-05-15