0001209191-14-007641.txt : 20140205 0001209191-14-007641.hdr.sgml : 20140205 20140205172618 ACCESSION NUMBER: 0001209191-14-007641 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140203 FILED AS OF DATE: 20140205 DATE AS OF CHANGE: 20140205 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KCG Holdings, Inc. CENTRAL INDEX KEY: 0001569391 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 545 WASHINGTON BOULEVARD CITY: JERSEY CITY STATE: NJ ZIP: 07310 BUSINESS PHONE: 201-222-9400 MAIL ADDRESS: STREET 1: 545 WASHINGTON BOULEVARD CITY: JERSEY CITY STATE: NJ ZIP: 07310 FORMER COMPANY: FORMER CONFORMED NAME: Knight Holdco, Inc. DATE OF NAME CHANGE: 20130211 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schuler Mary Jo CENTRAL INDEX KEY: 0001580395 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54991 FILM NUMBER: 14577104 MAIL ADDRESS: STREET 1: C/O SERENITY INVESTMENTS, LLC STREET 2: 830 NORTH BLVD. CITY: OAK PARK STATE: IL ZIP: 60301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Serenity Investments, LLC CENTRAL INDEX KEY: 0001580396 STATE OF INCORPORATION: AK FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54991 FILM NUMBER: 14577105 BUSINESS ADDRESS: STREET 1: 830 NORTH BLVD. CITY: OAK PARK STATE: IL ZIP: 60301 BUSINESS PHONE: 708-725-7014 MAIL ADDRESS: STREET 1: 830 NORTH BLVD. CITY: OAK PARK STATE: IL ZIP: 60301 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-02-03 0 0001569391 KCG Holdings, Inc. KCG 0001580396 Serenity Investments, LLC 830 NORTH BLVD. OAK PARK IL 60301 0 0 1 0 0001580395 Schuler Mary Jo C/O SERENITY INVESTMENTS, LLC 830 NORTH BLVD. OAK PARK IL 60301 0 0 1 0 Class A Common Stock, par value $0.01 per share 2014-02-03 4 S 0 425000 11.0443 D 10161251 D Represents the sale of 375,000 shares of Class A Common Stock to Daniel Coleman, KCG's Chief Executive Officer, and the sale of 50,000 shares of Class A Common Stock to Charles Haldeman, the Non-Executive Chairman of KCG's Board of Directors, each in a private transaction for a price of $11.0443 per share (the volume weighted average price for February 3, 2014). Total amount with respect to Mary Jo Schuler reflects a reduction of 1,457,266 shares of Class A Common Stock as a result of a pro rata distribution effected by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("Serenity"), on December 31, 2013 in a transaction exempt from reporting. These shares of Class A Common Stock are held directly by Serenity, and indirectly by Mary Jo Schuler. Mary Jo Schuler and her husband, Stephen G. Schuler, separately hold equity interests in Serenity that together represent a controlling interest in Serenity. Mary Jo Schuler disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein. /s/ Stephen G. Schuler, by power of attorney for Serenity Investments, LLC 2014-02-05 /s/ Stephen G. Schuler, by power of attorney for Mary Jo Schuler 2014-02-05