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