4//SEC Filing
GFI Group Inc. 4
Accession 0001179110-13-017427
CIK 0001292426operating
Filed
Dec 3, 7:00 PM ET
Accepted
Dec 4, 5:25 PM ET
Size
17.7 KB
Accession
0001179110-13-017427
Insider Transaction Report
Form 4
GFI Group Inc.GFIG
Gooch Michael
DirectorChairman and CEO10% Owner
Transactions
- Sale
Common Stock
2013-12-04$3.67/sh−30,000$110,100→ 46,620,128 total(indirect: See footnote) - Sale
Common Stock
2013-12-03$3.67/sh−35,000$128,450→ 46,650,128 total(indirect: See footnote) - Sale
Common Stock
2013-12-02$3.69/sh−35,000$129,150→ 46,685,128 total(indirect: See footnote)
Holdings
- 84,578
Restricted Stock Units
→ Common Stock (84,578 underlying) - 5,264(indirect: See footnote)
Common Stock
- 103,077
Restricted Stock Units
→ Common Stock (103,077 underlying) - 238,848(indirect: See footnote)
Common Stock
- 42,104(indirect: See footnote)
Common Stock
- 193,024
Common Stock
- 104,420
Restricted Stock Units
→ Common Stock (104,420 underlying)
Footnotes (13)
- [F1]Represents 5,264 shares of Common Stock owned by Magnetic Management LLC. Magnetic Management LLC is a wholly-owned subsidiary of Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc. Through Jersey Partners, Inc., Mr. Gooch has voting power with respect to these shares but disclaims beneficial ownership.
- [F10]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- [F11]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.63 to $3.72. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
- [F12]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.59 to $3.71. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
- [F13]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $3.59 to $3.74. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price.
- [F2]Represents 238,848 shares of Common Stock owned by N-Two LLC, a subsidiary of Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc.
- [F3]Represents shares of Common Stock owned by Jersey Partners, Inc. Mr. Gooch is the President and controlling shareholder of Jersey Partners, Inc.
- [F4]Represents 42,104 shares of Common Stock owned by the Gooch Investment Trust. Mr. Gooch has voting power with respect to these shares but disclaims beneficial ownership.
- [F5]The Restricted Stock Units settle 1 for 1 upon vesting.
- [F6]Includes 1,320 shares owned by the Reporting Person's children. The Reporting Person disclaims beneficial ownership with respect to these shares.
- [F7]The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2011.
- [F8]The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2012.
- [F9]The Restricted Stock Units vest 33% on the first anniversary, 33% on the second anniversary and 34% on the third anniversary of the date of grant and have no expiration date. The date of grant was March 31, 2013.
Documents
Issuer
GFI Group Inc.
CIK 0001292426
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001292426
Filing Metadata
- Form type
- 4
- Filed
- Dec 3, 7:00 PM ET
- Accepted
- Dec 4, 5:25 PM ET
- Size
- 17.7 KB