SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
McCarthy John A

(Last) (First) (Middle)
KCG HOLDINGS, INC.,
300 VESEY STREET

(Street)
NEW YORK NY 10282

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
KCG Holdings, Inc. [ KCG ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
General Counsel
3. Date of Earliest Transaction (Month/Day/Year)
05/02/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock, par value $0.01 per share 05/02/2017 X 40,829 A (1) 61,829 D
Class A Common Stock, par value $0.01 per share 05/02/2017 S(1) 26,951 D $19.94 34,878 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Class A Warrants (right to buy) $11.7 05/02/2017 X 13,610 07/01/2013 07/01/2017 Class A Common Stock 13,610 $0.00 0 D
Class A Warrants (right to buy) $13.16 05/02/2017 X 13,610 07/01/2013 07/01/2018 Class A Common Stock 13,610 $0.00 0 D
Class A Warrants (right to buy) $14.63 05/02/2017 X 13,609 07/01/2013 07/01/2019 Class A Common Stock 13,609 $0.00 0 D
Explanation of Responses:
1. On May 2, 2017, the reporting person exercised (i) a warrant to purchase 13,610 shares of KCG common stock for $11.70 a share, (ii) a warrant to purchase 13,610 shares of KCG common stock for $13.16 a share and (iii) a warrant to purchase 13,609 shares of KCG common stock for $14.63 a share. The reporting person paid the exercise price of each on a cashless basis, resulting in KCG's withholding of 26,951 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 13,878 shares. KCG also paid $41.48 to the reporting person in lieu of a fractional share.
Remarks:
/s/ Robert McQueen as attorney-in-fact for John McCarthy 05/04/2017
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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