0001181431-13-062608.txt : 20131212 0001181431-13-062608.hdr.sgml : 20131212 20131212180726 ACCESSION NUMBER: 0001181431-13-062608 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131210 FILED AS OF DATE: 20131212 DATE AS OF CHANGE: 20131212 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: 131274542 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: 131274543 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 rrd397310.xml FORM 4 X0306 4 2013-12-10 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 2013-12-10 4 S 0 75000 11.74 D 12451451 D Class A Common Stock, par value $0.01 per share 2013-12-11 4 S 0 407934 11.45 D 12043517 D Transactions executed in accordance with a Rule 10b5-1 trading plan established on November 1, 2013. Represents the sale of 75,000 shares in multiple transactions at prices ranging from $11.63 to $11.95 per share, resulting in a weighted average sale price per share of $11.74. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price. These shares of Class A Common Stock are held directly by Serenity Investments, LLC, a limited liability company organized under the laws of the state of Alaska ("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. Represents the sale of 407,934 shares in multiple transactions at prices ranging from $11.45 to $11.83 per share, resulting in a weighted average sale price per share of $11.45. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price. /s/ Stephen G. Schuler, by power of attorney for Serenity Investments, LLC 2013-12-12 /s/ Stephen G. Schuler, by power of attorney for Mary Jo Schuler 2013-12-12