Niv Dror 4
4 · Global Brokerage, Inc. · Filed Nov 29, 2017
Insider Transaction Report
Form 4
Niv Dror
DirectorSee remarks
Transactions
- Conversion
Class A Common Stock
2017-11-27+768,047→ 842,489 total(indirect: By Trust) - Conversion
Units of Global Brokerage Holdings LLC
2017-11-27−768,047→ 0 total→ Class A Common Stock (768,047 underlying)
Footnotes (2)
- [F1]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.
- [F2]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.