-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BgdpLSc6hRjSxA8IP5PXANxJ8W+vpfqKUIlwyIhfUez6gPQ9BtlLHCZG/QRIgu8C RJfX+2gthHeIm4aGik56+w== 0000921895-05-001726.txt : 20051024 0000921895-05-001726.hdr.sgml : 20051024 20051024100827 ACCESSION NUMBER: 0000921895-05-001726 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20051024 DATE AS OF CHANGE: 20051024 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NYFIX INC CENTRAL INDEX KEY: 0000099047 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 061344888 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47509 FILM NUMBER: 051151006 BUSINESS ADDRESS: STREET 1: 333 LUDLOW STREET CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2034258000 FORMER COMPANY: FORMER CONFORMED NAME: TRINITECH SYSTEMS INC DATE OF NAME CHANGE: 19940404 FORMER COMPANY: FORMER CONFORMED NAME: TRANS AIRE ELECTRONICS INC DATE OF NAME CHANGE: 19910916 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WARDEN CARL E CENTRAL INDEX KEY: 0001027822 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: BUSINESS PHONE: 2034258000 MAIL ADDRESS: STREET 1: C/O NYFIX INC STREET 2: 333 LUDLOW ST CITY: STAMFORD STATE: CT ZIP: 06902 SC 13D/A 1 sc13da206261002_10202005.htm sec document 

                       SECURITIES AND EXCHANGE COMMISSION
                             Washington, D.C. 20549

                                  SCHEDULE 13D
                                 (Rule 13d-101)

             INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
                  TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED
                            PURSUANT TO RULE 13d-2(a)

                               (AMENDMENT NO. 2 )*

                                   NYFIX, INC.
          ------------------------------------------------------------
                                (Name of Issuer)

                         COMMON STOCK, PAR VALUE $0.001
          ------------------------------------------------------------
                         (Title of Class of Securities)

                                   0000099047
                     ---------------------------------------
                                 (CUSIP Number)

                                    COPY TO:
                               Benjamin S. Reichel
                 Olshan Grundman Frome Rosenzweig & Wolosky LLP
                               65 East 55th Street
                            New York, New York 10022
                                 (212) 451-2300
 -------------------------------------------------------------------------------
           (Name, Address and Telephone Number of Person Authorized to
                      Receive Notices and Communications)

                                October 20, 2005
          -------------------------------------------------------------
             (Date of Event which Requires Filing of this Statement)

     If the filing  person has  previously  filed a statement on Schedule 13G to
report the  acquisition  that is the subject of this Schedule 13D, and is filing
this  schedule  because  of Rule  13d-1(e),  13d-1(f)  or  13d-1(g),  check  the
following box |_|.

     NOTE.  Schedules  filed in paper format shall include a signed original and
five copies of the schedule,  including  all exhibits.  SEE Rule 13d-7 for other
parties to whom copies are to be sent.

                         (Continued on following pages)

                               (Page 1 of 4 Pages)

- ------------------------
*The  remainder of this cover page shall be filled out for a reporting  person's
initial filing on this form with respect to the subject class of securities, and
for  any  subsequent   amendment   containing   information  which  would  alter
disclosures provided in a prior cover page.

     The  information  required on the remainder of this cover page shall not be
deemed to be "filed"  for the purpose of Section 18 of the  Securities  Exchange
Act of 1934 or otherwise  subject to the  liabilities of that section of the Act
but  shall be  subject  to all other  provisions  of the Act  (however,  SEE the
NOTES).





- ------------------------                                 -----------------------
CUSIP NO. 0000099047               13D                               Page 2 of 4
- ------------------------                                 -----------------------

================================================================================
     1         NAME OF REPORTING PERSONS
               I.R.S. IDENTIFICATION  NOS. OF ABOVE PERSONS (ENTITIES ONLY)

               Carl E. Warden
- --------------------------------------------------------------------------------
     2         CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*         (a) / /
                                                                         (b) / /
- --------------------------------------------------------------------------------
     3         SEC USE ONLY

- --------------------------------------------------------------------------------
     4         SOURCE OF FUNDS*
               PF
- --------------------------------------------------------------------------------
     5         CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
               PURSUANT TO ITEM 2(d) OR 2(e)                                 / /
- --------------------------------------------------------------------------------
     6         CITIZENSHIP OR PLACE OF ORGANIZATION

               UNITED STATES OF AMERICA
- --------------------------------------------------------------------------------
  NUMBER OF        7      SOLE VOTING POWER
   SHARES
 BENEFICIALLY                  2,365,686
  OWNED BY
    EACH
  REPORTING
 PERSON WITH   -----------------------------------------------------------------
                   8      SHARED VOTING POWER

                               0
               -----------------------------------------------------------------
                   9      SOLE DISPOSITIVE POWER

                               2,365,686
               -----------------------------------------------------------------
                  10      SHARED DISPOSITIVE POWER

                               0
- --------------------------------------------------------------------------------
     11        AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
               PERSON

               2,365,686(1)
- --------------------------------------------------------------------------------
     12        CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
               SHARES*                                                       / /
- --------------------------------------------------------------------------------
     13        PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

               7.3%
- --------------------------------------------------------------------------------
     14        TYPE OF REPORTING PERSON*

               IN
================================================================================

                      *SEE INSTRUCTIONS BEFORE FILLING OUT!

(1)  Includes  (i)  100,000  shares of common  stock  held by The Carl and Vicki
Warden Family Foundation (the "Foundation"), of which Mr. Warden is the trustee,
(ii) 551,626 shares held in a  multi-generational  trust (the "Trust") and (iii)
274,500  shares for which Mr.  Warden  has a power of  attorney  (the  "Power of
Attorney  Shares")  which  enables him to vote and dispose of such  shares.  Mr.
Warden disclaims  beneficial  ownership of the shares held by the Foundation and
the Trust as well as the Power of Attorney Shares. Does not include an aggregate
of 1,613,310  shares of Common Stock held by certain adult family members of Mr.
Warden and their children.





- ------------------------                                 -----------------------
CUSIP NO. 0000099047               13D                               Page 3 of 4
- ------------------------                                 -----------------------


                            STATEMENT ON SCHEDULE 13D

     The following  constitutes  Amendment No. 2 ("Amendment No. 2") to Schedule
13D, as amended to date, filed by the undersigned  (the "Schedule 13D").  Except
as  specifically  amended by this  Amendment  No. 2, the Schedule 13D remains in
full force and effect.

     Items 5(a) and (b) are amended in their entirety to read as follows:

ITEM 5.  INTEREST IN SECURITIES OF THE ISSUER.

     (a)-(b) The  aggregate  number of shares of Common Stock and  percentage of
the outstanding  Common Stock of the Issuer  beneficially owned by Mr. Warden is
as follows:


        Aggregate Number of                Number of Shares: Sole             Number of Shares: Shared            Approximate
              Shares                      Power to Vote or Dispose            Power to Vote or Dispose            Percentage*
- --------------------------------------------------------------------------------------------------------------------------------
          2,365,686(1)                          2,365,686(1)                            0                             7.3%
- --------------------------------------------------------------------------------------------------------------------------------

            * Based on 32,442,431 shares of Common Stock,  outstanding as of May
31, 2005, as disclosed in the Issuer's  Quarterly  Report on Form 10-Q,  for the
quarter ended March 31, 2005.

            (1) Includes (i) 100,000 shares of common stock held by The Carl and
Vicki Warden Family  Foundation (the  "Foundation"),  of which Mr. Warden is the
trustee,  (ii) 551,626 shares held in a  multi-generational  trust (the "Trust")
and (iii)  274,500  shares  for which Mr.  Warden has a power of  attorney  (the
"Power of  Attorney  Shares")  which  enables  him to vote and  dispose  of such
shares.  Mr.  Warden  disclaims  beneficial  ownership of the shares held by the
Foundation  and the  Trust as well as the  Power of  Attorney  Shares.  Does not
include an aggregate of 1,613,310  shares of Common Stock held by certain  adult
family members of Mr. Warden and their children.

            Item 5(c) is hereby amended to include the following:

            (c) The following table sets forth recent  transactions  effected by
Mr. Warden including all  transactions in the past 60 days immediately  prior to
the filing of this Amendment No. 2. All purchases were made in the open market.

- --------------------------------------------------------------------------------
    Purchase Date                  Number of shares          Purchase Price
- --------------------------------------------------------------------------------
      08/15/2005                        5,000.00                 $6.38
      08/16/2005                       10,000.00                 $6.34
      08/17/2005                       11,800.00                 $6.04
      08/18/2005                        5,800.00                 $5.99
      08/19/2005                       19,874.00                 $6.19
      08/23/2005                        6,000.00                 $6.24
      08/25/2005                       18,026.00                 $6.23
      08/26/2005                        5,938.00                 $6.27
      08/29/2005                        4,562.00                 $6.17
      09/16/2005                       35,500.00                 $5.77
      09/22/2005                       13,000.00                 $5.63
      10/06/2005                        1,539.00                 $5.44
      10/07/2005                        1,011.00                 $5.42
      10/10/2005                       12,886.00                 $5.39
      10/11/2005                       11,102.00                 $5.23
      10/12/2005                        1,750.00                 $5.12




- ------------------------                                 -----------------------
CUSIP NO. 0000099047               13D                               Page 4 of 4
- ------------------------                                 -----------------------

- --------------------------------------------------------------------------------
    Purchase Date                  Number of shares          Purchase Price
- --------------------------------------------------------------------------------

      10/20/2005                       61,196.00                 $4.27

- --------------------------------------------------------------------------------



                                    SIGNATURE

     After  reasonable  inquiry and to the best of my  knowledge  and belief,  I
certify that the information  set forth in this statement is true,  complete and
correct.

Dated:  October 21, 2005



 /s/ Carl E. Warden
- --------------------------------
Carl E. Warden
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