0001615774-17-007029.txt : 20171129 0001615774-17-007029.hdr.sgml : 20171129 20171129161727 ACCESSION NUMBER: 0001615774-17-007029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171127 FILED AS OF DATE: 20171129 DATE AS OF CHANGE: 20171129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Niv Dror CENTRAL INDEX KEY: 0001504927 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34986 FILM NUMBER: 171228529 MAIL ADDRESS: STREET 1: C/O FXCM INC. STREET 2: 32 OLD SLIP CITY: NEW YORK STATE: NY ZIP: 10005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Global Brokerage, 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 FORMER COMPANY: FORMER CONFORMED NAME: FXCM Inc. DATE OF NAME CHANGE: 20100825 4 1 s108302_form4.xml OWNERSHIP DOCUMENT X0306 4 2017-11-27 0 0001499912 Global Brokerage, Inc. GLBR 0001504927 Niv Dror C/O GLOBAL BROKERAGE, INC. 55 WATER ST. NEW YORK NY 10041 0 0 1 0 Class A Common Stock 2017-11-27 4 C 0 768047 A 842489 I By Trusts Units of Global Brokerage Holdings LLC 2017-11-27 4 C 0 768047 D Class A Common Stock 768047 0 D Pursuant to the terms of an exchange agreement, as of December 7, 2011, units of Global Brokerage Holdings LLC are exchangeable for shares of Class A common stock of Global Brokerage, Inc. on a one-for-one basis. A portion of these securities are (i) held by a trust, for the benefit of Mr. Niv's family, for which Mr. Niv's wife serves as investment adviser, and (ii) held by trusts, over which the Reporting Person exercises investment control. Mr. Niv disclaims beneficial ownership over the securities held by these trusts except to the extent of his pecuniary interest therein. /s/ David S. Sassoon, as designated signatory 2017-11-29