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| CIK | 1569391 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to KCG Holdings, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| February 9, 2018 |
KCG / KCG Holdings, Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* KCG HOLDINGS INC-CL A (Name of Issuer) Common Stock (Title of Class of Securities) 48244B100 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S |
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| July 31, 2017 |
15-12G 1 a17-1864811512g.htm 15-12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-54991 Virtu KCG Holdings LLC (Exact |
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| July 24, 2017 |
* * * [signature page follows] Exhibit 10.2 July 20, 2017 Steffen Parratt KCG Holdings, Inc. 300 Vesey Street New York, New York, 10282 Re: Separation Agreement Dear Steffen, This letter agreement (this Agreement) sets forth the terms of your departure from KCG Holdings, Inc. (collectively with its subsidiaries and affiliates, the Company), which shall be contingent and effective on the Closing Date, as that term is defined |
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| July 24, 2017 |
* * * [signature page follows] Exhibit 10.4 July 20, 2017 Greg Tusar KCG Holdings, Inc. 300 Vesey Street New York, New York, 10282 Re: Separation Agreement Dear Greg, This letter agreement (this ?Agreement?) sets forth the terms of your departure from KCG Holdings, Inc. (collectively with its subsidiaries and affiliates, the ?Company?), which shall be contingent and effective on the Closing Date, as that term is defined in the |
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| July 24, 2017 |
* * * [signature page follows] Exhibit 10.3 July 20, 2017 Ryan Primmer KCG Holdings, Inc. 300 Vesey Street New York, New York, 10282 Re: Separation Agreement Dear Ryan, This letter agreement (this ?Agreement?) sets forth the terms of your departure from KCG Holdings, Inc. (collectively with its subsidiaries and affiliates, the ?Company?), which shall be contingent and effective on the Closing Date, as that term is defined in th |
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| July 24, 2017 |
* * * [signature page follows] EX-10.1 2 a17-181523ex10d1.htm EX-10.1 Exhibit 10.1 July 20, 2017 Daniel Coleman KCG Holdings, Inc. 300 Vesey Street New York, New York, 10282 Re: Separation Agreement Dear Daniel, This letter agreement (this “Agreement”) sets forth the terms of your departure from KCG Holdings, Inc. (collectively with its subsidiaries and affiliates, the “Company”), which shall be contingent and effective on the |
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| July 24, 2017 |
Exhibit 10.5 DATED 20 JULY 2017 KCG EUROPE LIMITED (1) - and - Philip Allison (2) WITHOUT PREJUDICE & SUBJECT TO CONTRACT SETTLEMENT AGREEMENT TABLE OF CONTENTS SETTLEMENT AGREEMENT 1 1. TERMINATION DATE 3 2. PERIOD UP TO THE TERMINATION DATE 3 3. COMPENSATION PAYMENT 4 4. TAXATION 4 5. EQUITY AWARDS 5 6. EXPENSES 5 7. INDEMNIFICATION 5 8. MONEY OWED TO COMPANY 5 9. REFERENCE 5 10. ASSISTANCE 5 11 |
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| July 24, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2017 Virtu KCG Holdings LLC (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 20, 2017 |
LIMITED LIABILITY COMPANY OPERATING AGREEMENT VIRTU KCG HOLDINGS LLC Exhibit 3.4 EXECUTION VERSION LIMITED LIABILITY COMPANY OPERATING AGREEMENT OF VIRTU KCG HOLDINGS LLC THIS LIMITED LIABILITY COMPANY OPERATING AGREEMENT (this ?Agreement?) of Virtu KCG Holdings LLC, a Delaware limited liability company (the ?Company?), dated as of July 20, 2017, is adopted and entered into by Orchestra Borrower LLC, in its capacity as sole member of the Company (the ?Managing Memb |
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| July 20, 2017 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION KCG HOLDINGS, INC. EX-3.1 2 a17-181522ex3d1.htm EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF KCG HOLDINGS, INC. 1. Name. The name of the corporation is KCG Holdings, Inc. (the “Corporation”). 2. Address; Registered Office and Agent. The address of the Corporation’s registered office is 1209 Orange Street, City of Wilmington, County of New Castle, State of Delaware 19801; and the name of it |
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| July 20, 2017 |
KCG Holdings 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 19, 2017 Virtu KCG Holdings LLC (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission Fi |
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| July 20, 2017 |
AMENDED AND RESTATED BY-LAWS KCG HOLDINGS, INC. (A Delaware Corporation) ARTICLE 1 DEFINITIONS EX-3.2 3 a17-181522ex3d2.htm EX-3.2 Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF KCG HOLDINGS, INC. (A Delaware Corporation) ARTICLE 1 DEFINITIONS As used in these By-laws, unless the context otherwise requires, the term: 1.1 “Assistant Secretary” means an Assistant Secretary of the Corporation. 1.2 “Assistant Treasurer” means an Assistant Treasurer of the Corporation. 1.3 “Board” means the Board o |
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| July 20, 2017 |
EX-3.3 4 a17-181522ex3d3.htm EX-3.3 Exhibit 3.3 STATE OF DELAWARE CERTIFICATE OF CONVERSION FROM A CORPORATION TO A LIMITED LIABILITY COMPANY PURSUANT TO SECTION 18-214 OF THE LIMITED LIABILITY ACT 1.) The jurisdiction where the Corporation first formed is Delaware. 2.) The jurisdiction immediately prior to filing this Certificate is Delaware. 3.) The date the corporation first formed is December |
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| July 20, 2017 |
S-8 POS 1 a17-181521s8pos.htm S-8 POS As filed with the Securities and Exchange Commission on July 20, 2017 Registration No. 333-189746 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S-8 REGISTRATION STATEMENT NO. 333-189746 UNDER THE SECURITIES ACT OF 1933 Virtu KCG Holdings LLC (formerly known as KCG Holdings, Inc.) (Exact Name of R |
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| July 20, 2017 |
EX-99.25 2 ruleprovisionnotice.htm NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 31, 2017, pursuant to the provisions of Rule 12d2-2 (a). [ X ] 17 CFR 240.12d2-2 |
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| July 19, 2017 |
8-K 1 d419010d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 19, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of inc |
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| July 10, 2017 |
DEFA14A 1 a2232628zdefa14a.htm DEFA14A QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o |
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| July 5, 2017 |
8-K 1 d422423d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of inc |
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| July 5, 2017 |
DEFA14A 1 d422423d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of |
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| June 28, 2017 |
DEFR14A 1 a2232436zdefr14a.htm DEFR14A Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ý Filed by a Party other than the Registrant o Check |
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| June 21, 2017 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File N |
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| June 21, 2017 |
KCG ANNOUNCES REDEMPTION OF 6.875% SENIOR SECURED NOTES DUE 2020 EX-99.1 2 d377695dex991.htm EX-99.1 Exhibit 99.1 KCG Holdings, Inc. 300 Vesey Street New York, New York 10282 1 800 544 7508 tel www.kcg.com KCG ANNOUNCES REDEMPTION OF 6.875% SENIOR SECURED NOTES DUE 2020 NEW YORK, New York – June 21, 2017 – KCG Holdings, Inc. (NYSE: KCG) today announced that it will redeem all of its outstanding 6.875% Senior Secured Notes Due 2020 (ISIN No. US48244BAC46) (the “ |
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| June 21, 2017 |
KCG ANNOUNCES REDEMPTION OF 6.875% SENIOR SECURED NOTES DUE 2020 EX-99.1 Exhibit 99.1 KCG Holdings, Inc. 300 Vesey Street New York, New York 10282 1 800 544 7508 tel www.kcg.com KCG ANNOUNCES REDEMPTION OF 6.875% SENIOR SECURED NOTES DUE 2020 NEW YORK, New York June 21, 2017 KCG Holdings, Inc. (NYSE: KCG) today announced that it will redeem all of its outstanding 6.875% Senior Secured Notes Due 2020 (ISIN No. US48244BAC46) (the Notes) on the business day |
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| June 21, 2017 |
DEFA14A 1 d377695d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of |
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| June 9, 2017 |
FIRST AMENDMENT TO CREDIT AGREEMENT EX-10.1 Exhibit 10.1 FIRST AMENDMENT TO CREDIT AGREEMENT This First Amendment to Credit Agreement (the ?Amendment?) is entered into as of June 5, 2017 by and among KCG Americas LLC, a Delaware limited liability company (the ?Borrower?), KCG Holdings, Inc., a Delaware corporation (the ?Parent?), as Guarantor, the several financial institutions party to this Amendment, as Lenders, and BMO Harris Ban |
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| June 9, 2017 |
Financial Statements and Exhibits 8-K 1 d411298d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of inco |
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| June 2, 2017 |
Costs Associated with Exit or Disposal Activities 8-K 1 d382996d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of inco |
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| June 1, 2017 |
DEFM14A 1 a2232256zdefm14a.htm DEFM14A Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check |
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| May 31, 2017 |
KCG Holdings 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported): May 30, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File No |
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| May 31, 2017 |
DEFA14A 1 a17-1274338k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported): May 30, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of inc |
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| May 11, 2017 |
PREM14A 1 a2232117zprem14a.htm PREM14A Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check |
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| May 8, 2017 |
KCG / KCG Holdings, Inc. KCG Q1 2017 10-Q (Quarterly Report) 10-Q 1 kcg0331201710q.htm KCG Q1 2017 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2017 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS |
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| May 8, 2017 |
2016 Year-End Version (US) KCG HOLDINGS, INC. DEFERRED CASH AWARD AGREEMENT EXHIBIT 10.1 2016 Year-End Version (US) KCG HOLDINGS, INC. DEFERRED CASH AWARD AGREEMENT Name of Grantee: [ ] Amount of Deferred Cash Award: $[ ] Grant Date: [ ] Grant Number: [ ] Vesting Dates: [ ], 2018 (the “First Vesting Date”) [ ], 2019 (the “Second Vesting Date) [ ], 2020 (the “Third Vesting Date”) * * * * * * * * This Award Agreement (this “Agreement”) governs your 2016 deferred cash award |
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| May 8, 2017 |
2016 Year-End Version (UK) KCG HOLDINGS, INC. DEFERRED CASH AWARD AGREEMENT EXHIBIT 10.2 2016 Year-End Version (UK) KCG HOLDINGS, INC. DEFERRED CASH AWARD AGREEMENT Name of Grantee: [ ] Amount of Deferred Cash Award: $[ ] Grant Date: [ ] Grant Number: [ ] Vesting Dates: [ ], 2018 (the “First Vesting Date”) [ ], 2019 (the “Second Vesting Date) [ ], 2020 (the “Third Vesting Date”) * * * * * * * * This Award Agreement (this “Agreement”) governs your 2016 deferred cash award |
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| April 25, 2017 |
Financial Statements and Exhibits, Other Events 8-K 1 d380590d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of in |
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| April 25, 2017 |
KCG ANNOUNCES CANCELLATION OF ITS 2017 ANNUAL MEETING OF STOCKHOLDERS EX-99.1 Exhibit 99.1 KCG ANNOUNCES CANCELLATION OF ITS 2017 ANNUAL MEETING OF STOCKHOLDERS NEW YORK, New York ? April 25, 2017 ? KCG Holdings, Inc. (NYSE: KCG) today announced that its board of directors has cancelled the company?s 2017 Annual Meeting of Stockholders previously scheduled for May 10, 2017 at 1:00 p.m. Eastern Standard time. On April 20, 2017, KCG announced that it had reached a def |
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| April 25, 2017 |
KCG ANNOUNCES CANCELLATION OF ITS 2017 ANNUAL MEETING OF STOCKHOLDERS EX-99.1 Exhibit 99.1 KCG ANNOUNCES CANCELLATION OF ITS 2017 ANNUAL MEETING OF STOCKHOLDERS NEW YORK, New York ? April 25, 2017 ? KCG Holdings, Inc. (NYSE: KCG) today announced that its board of directors has cancelled the company?s 2017 Annual Meeting of Stockholders previously scheduled for May 10, 2017 at 1:00 p.m. Eastern Standard time. On April 20, 2017, KCG announced that it had reached a def |
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| April 25, 2017 |
DEFA14A 1 d380590d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction o |
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| April 21, 2017 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among VIRTU FINANCIAL, INC., ORCHESTRA MERGER SUB, INC. and KCG HOLDINGS, INC. Dated as of April 20, 2017 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Other Capitalized Terms 13 Section 1.3 Other Definitions 15 Section 1.4 Absence of Presumption 15 Section 1.5 Headings 15 ARTICLE II THE |
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| April 21, 2017 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 d377431d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of in |
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| April 21, 2017 |
DEFA14A 1 d377431d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction o |
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| April 21, 2017 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among VIRTU FINANCIAL, INC., ORCHESTRA MERGER SUB, INC. and KCG HOLDINGS, INC. Dated as of April 20, 2017 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.1 Definitions 2 Section 1.2 Other Capitalized Terms 13 Section 1.3 Other Definitions 15 Section 1.4 Absence of Presumption 15 Section 1.5 Headings 15 ARTICLE II THE |
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| April 20, 2017 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14A-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Ru |
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| April 20, 2017 |
EX-99.1 Exhibit 99.1 KCG ACCEPTS PROPOSAL FROM VIRTU FINANCIAL, INC. TO ACQUIRE ALL OUTSTANDING SHARES OF KCGS CLASS A COMMON STOCK FOR $20 PER SHARE - A 46 PERCENT PREMIUM TO UNAFFECTED PRICE KCG announces consolidated earnings of $0.05 per diluted share for the first quarter of 2017 NEW YORK, New York April 20, 2017 KCG Holdings, Inc. (NYSE: KCG) today announced that it has reached a defini |
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| April 20, 2017 |
8-K 1 d359346d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of in |
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| April 20, 2017 |
DEFA14A 1 d359346d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction o |
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| April 20, 2017 |
EX-99.1 Exhibit 99.1 KCG ACCEPTS PROPOSAL FROM VIRTU FINANCIAL, INC. TO ACQUIRE ALL OUTSTANDING SHARES OF KCG?S CLASS A COMMON STOCK FOR $20 PER SHARE - A 46 PERCENT PREMIUM TO UNAFFECTED PRICE KCG announces consolidated earnings of $0.05 per diluted share for the first quarter of 2017 NEW YORK, New York ? April 20, 2017 ? KCG Holdings, Inc. (NYSE: KCG) today announced that it has reached a defini |
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| April 20, 2017 |
EX-99.3 4 d369024dex993.htm EX-99.3 Exhibit 99.3 The undersigned and each other person executing this joint filing agreement (this “Agreement”) agree as follows: The undersigned and each other person executing this Agreement are responsible for the timely filing of such Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning such person containe |
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| April 20, 2017 |
KCG / KCG Holdings, Inc. / Jefferies Group LLC - SC 13D Activist Investment SC 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 KCG HOLDINGS, INC. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 48244B100 (CUSIP Number) Roland T. Kelly Jefferies LLC 11100 Santa Monica Boulevard, 11th Floor Los Angeles, CA 90025 Tel: (310) 914-1373 (Name, Addre |
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| April 20, 2017 |
EX-99.1 Exhibit 99.1 November 30, 2016 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, NJ 07310 Re: Voting and Disposition Agreement Ladies and Gentlemen: This letter agreement is being provided by Jefferies LLC, a Delaware limited liability company (“Jefferies”), and may be relied upon by KCG Holdings, Inc. (“KCG”). Jefferies beneficially owns (within the meaning of Rule 13d-3 under the |
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| April 20, 2017 |
EX-99.2 3 d369024dex992.htm EX-99.2 Exhibit 99.2 Execution Version VOTING AGREEMENT This VOTING AGREEMENT (this “Agreement”), dated as of April 20, 2017, is entered into by and among Virtu Financial, Inc., a Delaware corporation (“Parent”), Orchestra Merger Sub, Inc., a Delaware corporation and an indirect wholly-owned subsidiary of Parent (“Merger Sub” and, together with Parent, the “Acquirer Par |
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| April 10, 2017 |
KCG / KCG Holdings, Inc. / VANGUARD GROUP INC Passive Investment kcgholdingsinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1 )* Name of issuer: KCG Holdings Inc Title of Class of Securities: Common Stock CUSIP Number: 48244B100 Date of Event Which Requires Filing of this Statement: March 31, 2017 Check the appropriate box to desi |
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| March 31, 2017 |
DEFA14A 1 d309089ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (a |
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| March 31, 2017 |
DEF 14A 1 d322410ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Com |
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| February 24, 2017 |
KCG Holdings KCG 2016 10-K (Annual Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exact name of registrant as spe |
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| February 24, 2017 |
Significant Subsidiaries of the Registrant Exhibit 21.1 Significant Subsidiaries of the Registrant The following are significant subsidiaries of KCG Holdings, Inc. as of December 31, 2016 and the states in which they are organized. Indentation indicates the principal parent of each subsidiary. Except as otherwise specified, in each case KCG Holdings, Inc. owns, directly or indirectly, at least 99% of the voting securities of each subsidiar |
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| February 24, 2017 |
Terms Schedule to Employment Agreement Exhibit 10.11 Terms Schedule to Employment Agreement Name Michael Blum Scheduled Term From October 1, 2016 through the 3rd anniversary of that date (the “Initial Term”) and shall then renew automatically for one-year periods (each, an “Extension Term”) until you or the Company gives written notice to the other of nonrenewal at least 90 days before the end of the then applicable Extension Term (the |
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| February 13, 2017 |
KCG / KCG Holdings, Inc. / Jefferies Group LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Schedule 13GInformation to be included in statements filed pursuant to §240.13d1(b), (c), and (d) and amendments thereto filed pursuant to §240.13d2. Under the Securities Exchange Act of 1934 (Amendment No. 2) KCG HOLDINGS, INC. (Name of Issuer) Class A Common Stock, par value $0.01 per |
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| February 10, 2017 |
KCG / KCG Holdings, Inc. / VANGUARD GROUP INC Passive Investment kcgholdingsinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: KCG Holdings Inc Title of Class of Securities: Common Stock CUSIP Number: 48244B100 Date of Event Which Requires Filing of this Statement: December 31, 2016 Check the appropriate box to d |
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| February 9, 2017 |
KCG / KCG Holdings, Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KCG HOLDINGS INC-CL A (Name of Issuer) Common Stock (Title of Class of Securities) 48244B100 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 8, 2017 |
POSASR 1 d346998dposasr.htm POSASR As filed with the Securities and Exchange Commission on February 8, 2017 Registration No. 333-212429 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT NO. 333-212429 UNDER THE SECURITIES ACT OF 1933 KCG HOLDINGS, INC. (Exact Name of Registrant as Specified in Its Charter) Dela |
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| January 26, 2017 |
Exhibit 24 LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS The undersigned hereby constitutes and appoints each of John McCarthy and Robert McQueen, signing jointly or any of them acting singly and in his or her capacity hereunder, with full power of substitution or resubstitution, as the undersigned's true and lawful attorney-in-fact to: 1. |
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| January 24, 2017 |
Exhibit 24 LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS The undersigned hereby constitutes and appoints each of John McCarthy and Robert McQueen, signing jointly or any of them acting singly and in his or her capacity hereunder, with full power of substitution or resubstitution, as the undersigned's true and lawful attorney-in-fact to: 1. |
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| January 23, 2017 |
Exhibit 24 LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS The undersigned hereby constitutes and appoints each of John McCarthy and Robert McQueen, signing jointly or any of them acting singly and in his or her capacity hereunder, with full power of substitution or resubstitution, as the undersigned's true and lawful attorney-in-fact to: 1. |
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| January 23, 2017 |
Exhibit 24 LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS The undersigned hereby constitutes and appoints each of John McCarthy and Robert McQueen, signing jointly or any of them acting singly and in his or her capacity hereunder, with full power of substitution or resubstitution, as the undersigned's true and lawful attorney-in-fact to: 1. |
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| January 19, 2017 |
8-K 1 d294750d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 18, 2017 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of |
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| January 19, 2017 |
EX-99.2 3 d294750dex992.htm EX-99.2 Exhibit 99.2 KCG ANNOUNCES CONSOLIDATED EARNINGS OF $2.47 PER DILUTED SHARE FOR THE FOURTH QUARTER OF 2016 During the quarter, KCG repurchased 19.0 million shares and 8.1 million warrants for $281.7 million, primarily as a result of a share exchange with General Atlantic KCG’s book value rose to $20.20 per share, tangible book value increased to $18.71 per share |
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| January 19, 2017 |
KCG ADDS FOUR NEW INDEPENDENT DIRECTORS TO BOARD EX-99.1 Exhibit 99.1 KCG ADDS FOUR NEW INDEPENDENT DIRECTORS TO BOARD NEW YORK ? JANUARY 19, 2017 ? KCG Holdings, Inc. (NYSE: KCG) announced today that its Board of Directors has appointed Peter Fisher, Colin Smith, Heather Tookes and Adrian Weller as Directors, effective immediately. KCG also announced that Rene M. Kern and John C. (Hans) Morris have informed the company that they will not be see |
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| January 19, 2017 |
EX-99.3 4 d294750dex993.htm EX-99.3 KCG Holdings, Inc. (KCG) 4th Quarter 2016 Earnings Presentation January 19, 2017 Exhibit 99.3 Safe Harbor Certain statements contained herein and the documents incorporated by reference containing the words "believes," "intends," "expects," "anticipates," and words of similar meaning, may constitute forward-looking statements as defined in the Private Securities |
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| December 9, 2016 |
KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com December 9, 2016 Mr. Kevin W. Vaughn Accounting Branch Chief United States Securities and Exchange Commission Washington, D.C. 20549 RE: KCG Holdings, Inc. Form 10-K for Fiscal Year Ended December 31, 2015 Filed February 29, 2016 File No. 001-054991 VIA EDGAR Dear Mr. V |
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| November 30, 2016 |
A N E W B E N C H M A R K : S T R A T E G I C K C G I N V E S T O R B R I E F I N G 3 EX-99.1 2 d302562dex991.htm EX-99.1 Exhibit 99.1 A N E W B E N C H M A R K : S T R A T E G I C K C G I N V E S T O R B R I E F I N G 3 Strategic 1 1.1 OVERVIEW KCG is a securities firm that specializes in trading and is positioned to capitalize on major changes occurring in the capital markets: • The shift in trading from analog to digital across asset classes and regions • The market need for alt |
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| November 30, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 d302562d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of |
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| November 30, 2016 |
KCG / KCG Holdings, Inc. / GENERAL ATLANTIC LLC - AMENDMENT NO. 3 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 (Title of Class of Securities) 48244B100 (CUSIP Number) Thomas J. Murphy c/o General Atlantic Service Company, LLC 55 East 52nd Street, 32nd Floor New York, NY 10055 (212) 715-4000 |
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| November 18, 2016 |
KCG ACCOUNCES SHARE EXCHANGE WITH GENERAL ATLANTIC EX-99.1 3 d399030dex991.htm EX-99.1 Exhibit 99.1 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ACCOUNCES SHARE EXCHANGE WITH GENERAL ATLANTIC NEW YORK, NY – November 17, 2016 – KCG Holdings, Inc. (NYSE: KCG) today announced that it has entered into a strategic transaction with General Atlantic, a global growth |
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| November 18, 2016 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION PURCHASE AGREEMENT PURCHASE AGREEMENT, dated as of November 17, 2016 (this ?Agreement?), between KCG Holdings, Inc., a Delaware corporation (?KCG?), and GA-GTCO Interholdco, LLC, a Delaware limited liability company (?GA-GTCO?). RECITALS: WHEREAS, GA-GTCO is the sole owner and holder of (i) 18,709,027 shares of Class A common stock, par value $0.01 per share, |
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| November 18, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 d399030d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of |
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| November 4, 2016 |
KCG Holdings KCG Q3 16 10-Q (Quarterly Report) 10-Q 1 kcg0930201610q.htm KCG Q3 16 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDIN |
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| October 20, 2016 |
KCG ANNOUNCES CONSOLIDATED LOSS OF $0.13 PER SHARE FOR THE THIRD QUARTER OF 2016 EX-99.1 2 d255015dex991.htm EX-99.1 Exhibit 99.1 KCG ANNOUNCES CONSOLIDATED LOSS OF $0.13 PER SHARE FOR THE THIRD QUARTER OF 2016 JERSEY CITY, New Jersey – October 20, 2016 – KCG Holdings, Inc. (NYSE: KCG) today reported a consolidated loss of $11.2 million, or $0.13 per share, for the third quarter of 2016. The third quarter consolidated loss includes an income tax benefit of approximately $6.1 m |
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| October 20, 2016 |
EX-99.2 KCG Holdings, Inc. (KCG) 3rd Quarter 2016 Earnings Presentation October 20, 2016 Exhibit 99.2 Safe Harbor Certain statements contained herein and the documents incorporated by reference containing the words "believes," "intends," "expects," "anticipates," and words of similar meaning, may constitute forward-looking statements as defined in the Private Securities Litigation Reform Act of 19 |
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| October 20, 2016 |
8-K 1 d255015d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of |
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| October 4, 2016 |
Exhibit 24 LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS The undersigned hereby constitutes and appoints each of John McCarthy and Robert McQueen, signing jointly or any of them acting singly and in his or her capacity hereunder, with full power of substitution or resubstitution, as the undersigned's true and lawful attorney-in-fact to: 1. |
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| September 26, 2016 |
8-K 1 d246194d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction o |
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| September 12, 2016 |
EX-99.1 2 d235621dex991.htm EX-99.1 KCG Holdings, Inc. (KCG) Barclays Global Financial Services Conference September 12, 2016 Exhibit 99.1 Safe Harbor Certain statements contained herein and the documents incorporated by reference containing the words “believes,” “intends,” “expects,” “anticipates,” and words of similar meaning, may constitute forward-looking statements as defined in the Private S |
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| September 12, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 d235621d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction o |
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| August 9, 2016 |
KCG / KCG Holdings, Inc. / GENERAL ATLANTIC LLC - AMENDMENT NO. 2 Activist Investment SC 13D/A 1 eh160088713da2-kcg.htm AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 (Title of Class of Securities) 48244B100 (CUSIP Number) Thomas J. Murphy c/o General Atlantic Service Company, LLC 55 East 52 nd St |
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| August 8, 2016 |
KCG Holdings KCG 06.30.2016 10-Q (Quarterly Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exact name of registrant as |
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| July 21, 2016 |
EX-99.2 KCG Holdings, Inc. (KCG) 2nd Quarter 2016 Earnings Presentation July 21, 2016 Exhibit 99.2 Safe Harbor Certain statements contained herein and the documents incorporated by reference containing the words “believes,” “intends,” “expects,” “anticipates,” and words of similar meaning, may constitute forward-looking statements as defined in the Private Securities Litigation Reform Act of 1995. |
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| July 21, 2016 |
EX-99.1 2 d158461dex991.htm EX-99.1 Exhibit 99.1 KCG ANNOUNCES CONSOLIDATED EARNINGS OF $0.38 PER DILUTED SHARE FOR THE SECOND QUARTER OF 2016 KCG reports consolidated revenues of $319.9 million and pre-tax earnings of $54.6 million for the quarter KCG increases book value to $16.79 per share and tangible book value to $15.63 per share JERSEY CITY, New Jersey – July 21, 2016 – KCG Holdings, Inc. ( |
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| July 21, 2016 |
8-K 1 d158461d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 21, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of inc |
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| July 8, 2016 |
KCG Holdings FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commissio |
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| July 7, 2016 |
S-3ASR 1 d210804ds3asr.htm FORM S-3ASR Table of Contents As filed with the Securities and Exchange Commission on July 7, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) Delaware 38-3898306 (State or Other Juris |
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| June 8, 2016 |
KCG Holdings FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 8, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commissio |
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| June 8, 2016 |
EX-99.1 KCG Holdings, Inc. (KCG) Sandler O?Neill Global Exchange and Brokerage Conference June 8, 2016 EXHIBIT 99.1 Safe Harbor Certain statements contained herein and the documents incorporated by reference containing the words ?believes,? ?intends,? ?expects,? ?anticipates,? and words of similar meaning, may constitute forward-looking statements as defined in the Private Securities Litigation Re |
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| May 12, 2016 |
KCG Holdings FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commissio |
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| May 9, 2016 |
KCG Holdings KCG Q1 2016 10-Q (Quarterly Report) 10-Q 1 kcg0331201610q.htm KCG Q1 2016 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS |
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| April 29, 2016 |
EX-99.3 4 d188467dex993.htm EX-99.3 Exhibit 99.3 PURCHASE AGREEMENT PURCHASE AGREEMENT, dated as of April 26, 2016 (this “Agreement”), between KCG Holdings, Inc., as purchaser (“Purchaser”), and the Daniel V. Tierney 2011 Trust, as seller (“Seller”). RECITALS: WHEREAS, Seller is the sole owner and holder of 2,720,699 warrants to purchase Class A Common Stock, par value $0.01 per share, of Purchase |
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| April 29, 2016 |
KCG / KCG Holdings, Inc. / Tierney Daniel - AMENDMENT NO. 13 TO SCHEDULE 13D Activist Investment SC 13D/A 1 d188467dsc13da.htm AMENDMENT NO. 13 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 13)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jacks |
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| April 29, 2016 |
EX-99.2 3 d188467dex992.htm EX-99.2 Exhibit 99.2 PURCHASE AGREEMENT PURCHASE AGREEMENT, dated as of April 26, 2016 (this “Agreement”), between KCG Holdings, Inc., a Delaware corporation, as purchaser (“Purchaser”), and Milestone Investments, Limited Partnership, an Alaskan limited partnership, as seller (“Seller”). RECITALS: WHEREAS, Seller is the sole owner and holder of 1,923,358 shares of Class |
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| April 29, 2016 |
EX-99.1 Exhibit 99.1 PURCHASE AGREEMENT PURCHASE AGREEMENT, dated as of April 26, 2016 (this “Agreement”), between KCG Holdings, Inc., a Delaware corporation, as purchaser (“Purchaser”), and Daniel V. Tierney, as seller (“Seller”). RECITALS: WHEREAS, Seller is the sole owner and holder of 12,079 shares of Class A Common Stock, par value $0.01 per share (“Common Stock”) of Purchaser; and WHEREAS, S |
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| April 22, 2016 |
EX-10.1 2 d170355dex101.htm EX-10.1 EXHIBIT 10.1 EXECUTION VERSION April 21, 2016 Daniel Coleman, at the address in the Schedule Re: Amended and Restated Employment Agreement Dear Daniel: You and KCG Holdings, Inc., a Delaware corporation (the “Company”), together with its affiliates (the “Group”) previously entered into an Employment Agreement, dated as of July 1, 2013 (the “Existing Agreement”). |
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| April 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File |
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| April 21, 2016 |
EX-99.1 EXHIBIT 99.1 KCG ANNOUNCES CONSOLIDATED EARNINGS OF $0.41 PER DILUTED SHARE FOR THE FIRST QUARTER OF 2016 KCG reports consolidated revenues of $345.4 million and pre-tax earnings of $60.0 million for the quarter KCG increases book value to $16.42 per share and tangible book value to $15.30 per share KCGs Board of Directors authorizes expanded share repurchase program of up to $200 million |
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| April 21, 2016 |
EX-99.2 KCG Holdings, Inc. (KCG) 1st Quarter 2016 Earnings Presentation April 21, 2016 Exhibit 99.2 Safe Harbor Certain statements contained herein and the documents incorporated by reference containing the words ?believes,? ?intends,? ?expects,? ?anticipates,? and words of similar meaning, may constitute forward-looking statements as defined in the Private Securities Litigation Reform Act of 1995 |
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| April 21, 2016 |
8-K 1 d73899d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of inc |
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| April 1, 2016 |
DEFA14A 1 d162974ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant ¨ ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (a |
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| April 1, 2016 |
DEF 14A 1 d129066ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant ¨ ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the C |
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| April 1, 2016 |
KCG Holdings FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2016 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commiss |
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| March 11, 2016 |
SC 13D/A 1 d157217dsc13da.htm AMENDMENT NO. 12 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 12)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jacks |
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| March 10, 2016 |
EX-99.1 KCG Holdings, Inc. (KCG) Bernstein Financials Summit March 10, 2016 Exhibit 99.1 Safe Harbor Certain statements contained herein and the documents incorporated by reference containing the words “believes,” “intends,” “expects,” “anticipates,” and words of similar meaning, may constitute forward-looking statements as defined in the Private Securities Litigation Reform Act of 1995. These “fo |
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| March 10, 2016 |
KCG Holdings FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commiss |
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| March 4, 2016 |
SC 13G/A 1 commerzbank-kcg13ga.htm SCHEDULE 13G AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, $0.01 par value (Title of Class of Securities) 48244B100 (CUSIP Number) March 1, 2016 (Date of Event Which Requires Filing of this Stateme |
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| March 3, 2016 |
KCG / KCG Holdings, Inc. / COMMERZBANK AKTIENGESELLSCHAFT /FI - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, $0.01 par value (Title of Class of Securities) 48244B100 (CUSIP Number) February 29, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 29, 2016 |
KCG Holdings KCG 2015 10-K (Annual Report) 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2015 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exact name of registrant as specifi |
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| February 29, 2016 |
Significant Subsidiaries of the Registrant EX-21.1 2 kcgexhibit211q415.htm EXHIBIT 21.1 Exhibit 21.1 Significant Subsidiaries of the Registrant The following are significant subsidiaries of KCG Holdings, Inc. as of December 31, 2015 and the states in which they are organized. Indentation indicates the principal parent of each subsidiary. Except as otherwise specified, in each case KCG Holdings, Inc. owns, directly or indirectly, at least 9 |
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| February 5, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission Fil |
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| January 29, 2016 |
EX-99.2 3 d116667dex992.htm EX-99.2 KCG Holdings, Inc. (KCG) 4th Quarter 2015 Earnings Presentation January 29, 2016 Exhibit 99.2 Safe Harbor Certain statements contained herein may constitute “forward-looking statements” within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words such a |
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| January 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2016 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission Fil |
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| January 29, 2016 |
EX-99.1 2 d116667dex991.htm EX-99.1 Exhibit 99.1 KCG ANNOUNCES CONSOLIDATED LOSS OF $0.05 PER DILUTED SHARE FOR THE FOURTH QUARTER OF 2015 KCG reports consolidated revenues of $262.7 million and pre-tax loss of $7.1 million for the quarter KCG increases tangible book value to $14.89 per share and book value to $16.00 per share JERSEY CITY, New Jersey – January 29, 2016 – KCG Holdings, Inc. (NYSE: |
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| January 22, 2016 |
KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com January 22, 2016 Mr. Kevin W. Vaughn Accounting Branch Chief United States Securities and Exchange Commission Washington, D.C. 20549 RE: KCG Holdings, Inc. Form 10-K for Fiscal Year Ended December 31, 2014 Filed March 2, 2015 Form 10-Q for Fiscal Quarter Ended September |
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| December 22, 2015 |
CORRESP 1 filename1.htm December 22, 2015 Mr. Kevin W. Vaughn Accounting Branch Chief United States Securities and Exchange Commission Washington, D.C. 20549 RE: KCG Holdings, Inc. Form 10-K for Fiscal Year Ended December 31, 2014 Filed March 2, 2015 Form 10-Q for Fiscal Quarter Ended September 30, 2015 Filed November 6, 2015 File No. 001-054991 VIA EDGAR Dear Mr. Vaughn, On behalf of KCG Holdings |
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| December 7, 2015 |
Exhibit 24 LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS The undersigned hereby constitutes and appoints each of John McCarthy and Robert McQueen, signing jointly or any of them acting singly and in his or her capacity hereunder, with full power of substitution or resubstitution, as the undersigned's true and lawful attorney-in-fact to: 1. |
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| December 7, 2015 |
Exhibit 24 LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS The undersigned hereby constitutes and appoints each of John McCarthy and Robert McQueen, signing jointly or any of them acting singly and in his or her capacity hereunder, with full power of substitution or resubstitution, as the undersigned's true and lawful attorney-in-fact to: 1. |
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| December 4, 2015 |
KCG APPOINTS DEBRA J. CHRAPATY AND ALEX RAMPELL TO BOARD OF DIRECTORS EX-99.1 3 d90305dex991.htm EX-99.1 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG APPOINTS DEBRA J. CHRAPATY AND ALEX RAMPELL TO BOARD OF DIRECTORS JERSEY CITY, N.J. December 4, 2015 - KCG Holdings, Inc. (NYSE: KCG) announced today that its Board of Directors has appointed Debra J. Chrapaty and Alastair “Alex” R |
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| December 4, 2015 |
AMENDED AND RESTATED BY-LAWS KCG HOLDINGS, INC. (hereinafter called the “Corporation”) ARTICLE I EX-3.1 2 d90305dex31.htm EX-3.1 As Amended and Restated as of December 3, 2015 AMENDED AND RESTATED BY-LAWS OF KCG HOLDINGS, INC. (hereinafter called the “Corporation”) ARTICLE I OFFICES Section 1. Registered Office. The registered office of the Corporation shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 2. Other Offices. The Corporation may also have offices a |
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| December 4, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 3, 2015 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission Fil |
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| December 2, 2015 |
SC 13D/A 1 d45571dsc13da.htm AMENDMENT NO. 13 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 13)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Stephen G. Schuler Serenity Investments, LLC 830 |
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| November 17, 2015 |
KCG Holdings AMENDMENT NO. 11 TO SCHEDULE 13D (Activist Acquisition of More Than 5% of Shares) SC 13D/A 1 d77859dsc13da.htm AMENDMENT NO. 11 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 11)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jackso |
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| November 13, 2015 |
EX-99.2 2 d63425dex992.htm EX-99.2 Exhibit 99.2 PURCHASE AGREEMENT PURCHASE AGREEMENT, dated as of November 11, 2015 (this “Agreement”), between KCG Holdings, Inc., as purchaser (“Purchaser”), and the Daniel V. Tierney 2011 Trust, as seller (“Seller”). RECITALS: WHEREAS, Seller is the sole owner and holder of 1,992,250 warrants to purchase Class A Common Stock, par value $0.01 per share, of Purcha |
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| November 13, 2015 |
KCG / KCG Holdings, Inc. / Daniel V. Tierney 2011 Trust - SC 13D/A Activist Investment SC 13D/A 1 d63425dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 10)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jackson Boulevard, Suite 1204 |
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| November 6, 2015 |
SC 13D/A 1 d89000dsc13da.htm AMENDMENT NO. 12 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 12)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Stephen G. Schuler Serenity Investments, LLC 830 |
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| November 6, 2015 |
EX-99.3 Exhibit 99.3 PURCHASE AGREEMENT PURCHASE AGREEMENT, dated as of November 4, 2015 (this “Agreement”), between KCG Holdings, Inc., a Delaware corporation, as purchaser (“Purchaser”), and Serenity Investments, LLC, a limited liability company organized under the laws of the State of Alaska, as seller (“Seller”). RECITALS: WHEREAS, Seller is the sole owner and holder of 1,897,593 shares of Cla |
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| November 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exact name of registrant as spe |
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| November 6, 2015 |
EXHIBIT 10.1 LEASE between BOP ONE NORTH END LLC, as Landlord, and KCG HOLDINGS, INC., as Tenant, Dated as of July 31, 2015 Premises: The Entire 9th, 10th and 11th Floors and a Portion of the 12th Floor Brookfield Place 300 Vesey Street (a/k/a One North End Avenue) New York, New York 10282 TABLE OF CONTENTS ARTICLE 1 TERMS AND DEFINITIONS1 ARTICLE 2 PREMISES; TERM9 ARTICLE 3 RENT14 ARTICLE 4 OPERA |
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| November 2, 2015 |
SC 13D/A 1 d77747dsc13da.htm AMENDMENT NO. 11 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 11)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Stephen G. Schuler Serenity Investments, LLC 830 |
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| October 30, 2015 |
EX-99.1 2 d38400dex991.htm EX-99.1 Exhibit 99.1 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ANNOUNCES CONSOLIDATED EARNINGS OF $0.24 PER DILUTED SHARE FOR THE THIRD QUARTER OF 2015 KCG reports consolidated revenues of $377.0 million and pre-tax earnings of $35.4 million for the quarter JERSEY CITY, New Jersey |
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| October 30, 2015 |
8-K 1 d38400d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of i |
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| October 30, 2015 |
EX-99.2 3 d38400dex992.htm EX-99.2 KCG Holdings, Inc. (NYSE: KCG) 3rd Quarter 2015 Earnings Presentation October 30, 2015 Exhibit 99.2 Safe Harbor Certain statements contained herein may constitute “forward-looking statements” within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words s |
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| September 17, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 d13045d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of |
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| September 17, 2015 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.1 2 d13045dex991.htm EX-99.1 KCG Holdings, Inc. (NYSE: KCG) Barclays Global Financial Services Conference September 17, 2015 Exhibit 99.1 Safe Harbor Certain statements contained herein may constitute “forward-looking statements” within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified b |
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| August 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exact name of registrant as specifie |
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| August 10, 2015 |
KCG HOLDINGS, INC. AMENDED AND RESTATED EQUITY INCENTIVE PLAN ARTICLE 1 PURPOSE AND EFFECTIVENESS EX-10.1 2 kcgexhibit101q215.htm EXHIBIT 10.1 EXHIBIT 10.1 KCG HOLDINGS, INC. AMENDED AND RESTATED EQUITY INCENTIVE PLAN ARTICLE 1 PURPOSE AND EFFECTIVENESS 1.1 Purpose. The purpose of the KCG Holdings, Inc. Amended and Restated Equity Incentive Plan (the “Plan”) is to (1) attract, retain and motivate officers, employees and directors of the Company (as defined below), (2) compensate officers, empl |
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| August 6, 2015 |
8-K 1 d75056d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of inco |
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| July 31, 2015 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.2 3 d18413dex992.htm EX-99.2 KCG Holdings, Inc. (NYSE: KCG) 2nd Quarter 2015 Earnings Presentation July 31, 2015 Exhibit 99.2 Safe Harbor Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words such |
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| July 31, 2015 |
EX-99.1 2 d18413dex991.htm EX-99.1 Exhibit 99.1 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ANNOUNCES SECOND QUARTER 2015 RESULTS KCG reports GAAP net loss of $19.2 million; Pre-tax loss from continuing operations of $57.1 million includes charges of $60.2 million from items unrelated to core operations Durin |
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| July 31, 2015 |
8-K 1 d18413d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of inco |
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| June 12, 2015 |
8-K 1 d942733d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of inco |
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| June 11, 2015 |
EX-99.2 2 d941608dex992.htm EX-99.2 Exhibit 99.2 Sales Plan Sales Plan, adopted June 10, 2015 (the “Sales Plan”), between the Daniel V. Tierney 2011 Trust (“Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment. RECIT |
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| June 11, 2015 |
KCG / KCG Holdings, Inc. / GENERAL ATLANTIC LLC - AMENDMENT NO. 1 Activist Investment SC 13D/A 1 eh150083213da1-kcg.htm AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 (Title of Class of Securities) 48244B100 (CUSIP Number) Thomas J. Murphy c/o General Atlantic Service Company, LLC 55 East 52 nd St |
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| June 11, 2015 |
EX-99.3 2 d941604dex993.htm EX-99.3 Exhibit 99.3 RULE 10b5-1 PLAN This Rule 10b5-1 Plan is entered into as of June 9, 2015 (the “Plan”), by and between Serenity Investments LLC (“Seller”) and William Blair & Company, L.L.C. (the “Broker-Dealer”). WHEREAS, the Seller desires to establish the Plan to sell shares of common stock, par value $.01 per share (the “Stock”), of KCG Holdings, Inc. (the “Iss |
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| June 11, 2015 |
SC 13D/A 1 d941604dsc13da.htm AMENDMENT NO. 10 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 10)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Stephen G. Schuler Serenity Investments, LLC 83 |
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| June 11, 2015 |
EX-99.4 3 d941604dex994.htm EX-99.4 Exhibit 99.4 RULE 10b5-1 PLAN This Rule 10b5-1 Plan is entered into as of June 9, 2015 (the “Plan”), by and between SCHULER FAMILY GST TRUST DTD 06/06/03 (“Seller”) and William Blair & Company, L.L.C. (the “Broker-Dealer”). WHEREAS, the Seller desires to establish the Plan to sell shares of common stock, par value $.01 per share (the “Stock”), of KCG Holdings, I |
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| June 11, 2015 |
SC 13D/A 1 d941608dsc13da.htm AMENDMENT NO. 9 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 9)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jackson |
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| June 9, 2015 |
EX-99.1 3 d939353dex991.htm EX-99.1 Exhibit 99.1 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ANNOUNCES FINAL RESULTS OF ITS “MODIFIED DUTCH AUCTION” TENDER OFFER KCG repurchases 23.6 million shares of Class A Common Stock at $14.00 per share JERSEY CITY, New Jersey – June 9, 2015 – KCG Holdings, Inc. (NYSE: K |
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| June 9, 2015 |
8-K 1 d939353d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of inco |
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| June 9, 2015 |
SC TO-I/A 1 d939523dsctoia.htm SC TO-I/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to Schedule TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 KCG Holdings, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A Common Stock, par value $0.01 per share (Title of Class of Securities |
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| June 9, 2015 |
EX-99.A5G 2 d939523dex99a5g.htm EX-(A)(5)(G) Exhibit (a)(5)(G) KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ANNOUNCES FINAL RESULTS OF ITS “MODIFIED DUTCH AUCTION” TENDER OFFER KCG repurchases 23.6 million shares of Class A Common Stock at $14.00 per share JERSEY CITY, New Jersey – June 9, 2015 – KCG Holdings, |
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| June 9, 2015 |
EX-10.1 2 d939353dex101.htm EX-10.1 EXHIBIT 10.1 CREDIT AGREEMENT DATED AS OF JUNE 5, 2015 AMONG KCG AMERICAS LLC, THE GUARANTORS FROM TIME TO TIME PARTY HERETO, THE LENDERS FROM TIME TO TIME PARTY HERETO, BMO HARRIS BANK N.A., as Administrative Agent, AND BANK OF AMERICA, N.A. as Syndication Agent BMO CAPITAL MARKETS AND MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, AS JOINT LEAD ARRANGERS |
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| June 3, 2015 |
KCG Holdings AMENDMENT NO. 8 TO SCHEDULE 13D (Activist Acquisition of More Than 5% of Shares) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 8)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jackson Boulevard, Suite 1204 Chicago, Illinois (312) 360-1377 with a |
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| June 3, 2015 |
EX-99.A5E 2 d935498dex99a5e.htm EX-(A)(5)(E) Exhibit (a)(5)(E) KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ANNOUNCES PRELIMINARY RESULTS OF ITS “MODIFIED DUTCH AUCTION” TENDER OFFER KCG expects to repurchase approximately 23.6 million shares of Class A Common Stock at $14.00 per share for a total cost of $330 |
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| June 3, 2015 |
SC 13D/A 1 d936382dsc13da.htm AMENDMENT NO. 9 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 9)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Stephen G. Schuler Serenity Investments, LLC 830 |
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| June 3, 2015 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.1 2 d936668dex991.htm EX-99.1 KCG Holdings, Inc. (NYSE: KCG) Sandler O’Neill Global Exchange and Brokerage Conference June 3, 2015 Exhibit 99.1 Safe Harbor Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identi |
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| June 3, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File Nu |
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| June 3, 2015 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.A5F 3 d935498dex99a5f.htm EX-(A)(5)(F) KCG Holdings, Inc. (NYSE: KCG) Sandler O’Neill Global Exchange and Brokerage Conference June 3, 2015 Exhibit (A)(5)(F) Safe Harbor Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are ty |
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| June 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to Schedule TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) Of the Securities Exchange Act of 1934 KCG Holdings, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number of Class of Se |
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| May 28, 2015 |
SC 13D/A 1 d934905dsc13da.htm AMENDMENT NO. 7 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jackson |
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| May 20, 2015 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.1 2 d928552dex991.htm EX-99.1 KCG Holdings, Inc. (NYSE: KCG) Barclays Americas Select Franchise Conference, London May 20, 2015 Exhibit 99.1 Safe Harbor Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identifie |
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| May 20, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File Nu |
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| May 13, 2015 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File Nu |
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| May 12, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to Schedule TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) Of the Securities Exchange Act of 1934 KCG Holdings, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number of Class of Se |
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| May 12, 2015 |
KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com May 12, 2015 Ms. Christina Chalk Senior Special Counsel United States Securities and Exchange Commission Washington, D.C. 20549 Re: KCG Holdings, Inc. Tender Offer Statement on Schedule TO-I Filed May 4, 2015 File No. 5-87533 VIA EDGAR Dear Ms. Chalk: On behalf of KCG H |
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| May 12, 2015 |
KCG PROVIDES PRO FORMA INFORMATION WITH RESPECT TO ITS TENDER OFFER EX-99.A5D 2 d924138dex99a5d.htm EX-(A)(5)(D) Exhibit (a)(5)(d) KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG PROVIDES PRO FORMA INFORMATION WITH RESPECT TO ITS TENDER OFFER JERSEY CITY, New Jersey – May 12, 2015 – KCG Holdings, Inc. (NYSE: KCG) is providing the following additional information with respect to i |
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| May 11, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2015 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exact name of registrant as specifi |
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| May 7, 2015 |
SC 13D/A 1 d922894dsc13da.htm AMENDMENT NO. 8 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 8)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Stephen G. Schuler Serenity Investments, LLC 830 |
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| May 5, 2015 |
SC 13D/A 1 d920282dsc13da.htm AMENDMENT NO. 6 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jackson |
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| May 4, 2015 |
EX-99.A1B 3 d917676dex99a1b.htm EX-(A)(1)(B) Exhibit (a)(1)(B) LETTER OF TRANSMITTAL To Tender Shares of Class A Common Stock of KCG HOLDINGS, INC. AT A PURCHASE PRICE NOT GREATER THAN $14.00 PER SHARE NOR LESS THAN $13.50 PER SHARE Pursuant to the Offer to Purchase dated May 4, 2015 THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON JUNE 2, 2015, UNLESS THE OFFER IS |
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| May 4, 2015 |
EX-99.A1C 4 d917676dex99a1c.htm EX-(A)(1)(C) Exhibit (a)(1)(C) NOTICE OF GUARANTEED DELIVERY To Tender Shares of Common Stock of KCG Holdings, Inc. Pursuant to its Offer to Purchase Dated May 4, 2015 For Cash up to $330,000,000 of Shares of its Class A Common Stock At a Purchase Price Not Greater Than $14.00 Per Share Nor Less Than $13.50 Per Share THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5: |
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| May 4, 2015 |
EX-99.1 2 d919700dex991.htm EX-99.1 Exhibit 99.1 01-May-2015 KCG Holdings, Inc. (KCG) Q1 2015 Earnings Call KCG Holdings, Inc. (KCG) Q1 2015 Earnings Call 01-May-2015 INTRODUCTION Operator: Good morning and welcome to KCG’s First Quarter Earnings Conference Call. As a reminder, today’s call is being recorded and will be available by playback. On the line are Chief Executive Officer, Daniel Coleman |
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| May 4, 2015 |
EX-99.A1E 6 d917676dex99a1e.htm EX-(A)(1)(E) Exhibit (a)(1)(E) KCG HOLDINGS, INC. OFFER TO PURCHASE FOR CASH OF UP TO $330,000,000 OF SHARES OF ITS CLASS A COMMON STOCK AT A PURCHASE PRICE NOT GREATER THAN $14.00 PER SHARE NOR LESS THAN $13.50 PER SHARE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON JUNE 2, 2015, UNLESS THE OFFER IS EXTENDED (SUCH DATE AND TIME, A |
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| May 4, 2015 |
SC TO-C 1 d919700dsctoc.htm SCHEDULE TO-C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) Of the Securities Exchange Act of 1934 KCG Holdings, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSI |
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| May 4, 2015 |
SC TO-I 1 d917676dsctoi.htm SC TO-I UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) Of the Securities Exchange Act of 1934 KCG Holdings, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Numb |
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| May 4, 2015 |
EX-99.A1A 2 d917676dex99a1a.htm EX-(A)(1)(A) Table of Contents Exhibit (a)(1)(A) OFFER TO PURCHASE FOR CASH BY KCG HOLDINGS, INC. OF UP TO $330,000,000 OF SHARES OF ITS CLASS A COMMON STOCK AT A PURCHASE PRICE NOT GREATER THAN $14.00 PER SHARE NOR LESS THAN $13.50 PER SHARE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON JUNE 2, 2015, UNLESS THE OFFER IS EXTENDED ( |
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| May 4, 2015 |
EX-99.A1F 7 d917676dex99a1f.htm EX-(A)(1)(F) Exhibit (a)(1)(F) This announcement is neither an offer to purchase nor a solicitation of an offer to sell Shares (as defined below). The Offer (as defined below) is made solely by the Offer to Purchase dated May 4, 2015 and the related Letter of Transmittal, as they may be amended or supplemented from time to time. The Offer is not being made to, nor w |
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| May 4, 2015 |
EX-99.A1D 5 d917676dex99a1d.htm EX-(A)(1)(D) Exhibit (a)(1)(D) KCG HOLDINGS, INC. OFFER TO PURCHASE FOR CASH OF UP TO $330,000,000 OF SHARES OF ITS CLASS A COMMON STOCK AT A PURCHASE PRICE NOT GREATER THAN $14.00 PER SHARE NOR LESS THAN $13.50 PER SHARE THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON JUNE 2, 2015, UNLESS THE OFFER IS EXTENDED (SUCH DATE AND TIME, A |
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| May 1, 2015 |
8-K 1 d918786d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incor |
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| May 1, 2015 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.2 3 d918786dex992.htm EX-99.2 KCG Holdings, Inc. (NYSE: KCG) 1st Quarter 2015 Earnings Presentation May 1, 2015 Exhibit 99.2 Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words such as "believe, |
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| May 1, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) Of the Securities Exchange Act of 1934 KCG Holdings, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number of Class of Securities) John McCa |
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| May 1, 2015 |
EX-99.1 2 d918786dex991.htm EX-99.1 Exhibit 99.1 KCG ANNOUNCES CONSOLIDATED EARNINGS OF $2.19 PER DILUTED SHARE FOR THE FIRST QUARTER OF 2015 From first quarter 2015 results and the sale of KCG Hotspot, KCG’s tangible book value rises to $13.86 per share, book value increases to $15.10 per share, and stockholders’ equity rises to $1.78 billion KCG announces plans to launch a modified Dutch auction |
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| May 1, 2015 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.2 3 d919694dex992.htm EX-99.2 KCG Holdings, Inc. (NYSE: KCG) 1st Quarter 2015 Earnings Presentation May 1, 2015 Exhibit 99.2 Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words such as "believe, |
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| May 1, 2015 |
EX-99.1 2 d919694dex991.htm EX-99.1 Exhibit 99.1 KCG ANNOUNCES CONSOLIDATED EARNINGS OF $2.19 PER DILUTED SHARE FOR THE FIRST QUARTER OF 2015 From first quarter 2015 results and the sale of KCG Hotspot, KCG’s tangible book value rises to $13.86 per share, book value increases to $15.10 per share, and stockholders’ equity rises to $1.78 billion KCG announces plans to launch a modified Dutch auction |
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| April 2, 2015 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 2, 2015 |
EX-10.1 Exhibit 10.1 EXECUTION COPY March 30, 2015 Mr. George Sohos at the address in the Schedule Re: Separation Agreement Dear George, This letter agreement (this Agreement) sets forth the terms of your departure from KCG Holdings, Inc., a Delaware corporation (the Company and, together with its affiliates, KCG). 1. Separation Date. Effective March 2, 2015 (your Effective Date), you resi |
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| April 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2015 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File |
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| March 16, 2015 |
$500,000,000 KCG Holdings, Inc. 6.875% Senior Secured Notes due 2020 PURCHASE AGREEMENT EX-1.1 2 d890726dex11.htm EX-1.1 Exhibit 1.1 EXECUTION VERSION $500,000,000 KCG Holdings, Inc. 6.875% Senior Secured Notes due 2020 PURCHASE AGREEMENT March 10, 2015 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: KCG Holdings, Inc., a Delaware corporation (the “Company”), and each of the Guarantors (as hereinafter defined) hereby agree with you as follows: 1. Issua |
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| March 16, 2015 |
KCG COMPLETES SALE OF KCG HOTSPOT Exhibit 99.2 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG COMPLETES SALE OF KCG HOTSPOT JERSEY CITY, New Jersey ? March 13, 2015 ? KCG Holdings, Inc. (NYSE: KCG) today announced the completion of the sale of spot FX trading venue KCG Hotspot to BATS Global Markets. At the close, based on the $365 million purch |
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| March 16, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File |
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| March 16, 2015 |
Exhibit 10.1 EXECUTION COPY SECURITY AGREEMENT By KCG HOLDINGS, INC. as Issuer and THE GUARANTORS PARTY HERETO and THE BANK OF NEW YORK MELLON, as Collateral Agent and as Trustee Dated as of March 13, 2015 TABLE OF CONTENTS Page(s) ARTICLE I DEFINITIONS AND INTERPRETATION 2 SECTION 1.1 Definitions 2 SECTION 1.2 Interpretation 10 SECTION 1.3 Resolution of Drafting Ambiguities 10 SECTION 1.4 Perfect |
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| March 16, 2015 |
EX-4.1 3 d890726dex41.htm EX-4.1 Exhibit 4.1 EXECUTION VERSION KCG HOLDINGS, INC. AND EACH OF THE GUARANTORS PARTY HERETO 6.875% SENIOR SECURED NOTES DUE 2020 INDENTURE Dated as of March 13, 2015 The Bank of New York Mellon Trustee and Collateral Agent TABLE OF CONTENTS Page ARTICLE 1DEFINITIONS AND INCORPORATION BY REFERENCE Section 1.01 Definitions. 1 Section 1.02 Other Definitions. 31 Section 1 |
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| March 16, 2015 |
KCG ANNOUNCES PRICING OF PRIVATE OFFERING OF $500 MILLION OF 6.875% SENIOR SECURED NOTES DUE 2020 Exhibit 99.1 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ANNOUNCES PRICING OF PRIVATE OFFERING OF $500 MILLION OF 6.875% SENIOR SECURED NOTES DUE 2020 JERSEY CITY, New Jersey ? March 11, 2015 ? KCG Holdings, Inc. (NYSE: KCG) today announced that on March 10, 2015, it priced a private offering of $500 million |
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| March 2, 2015 |
Significant Subsidiaries of the Registrant Exhibit 21.1 Significant Subsidiaries of the Registrant The following are significant subsidiaries of KCG Holdings, Inc. as of December 31, 2014 and the states in which they are organized. Indentation indicates the principal parent of each subsidiary. Except as otherwise specified, in each case KCG Holdings, Inc. owns, directly or indirectly, at least 99% of the voting securities of each subsidiar |
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| March 2, 2015 |
Exhibit 10.12 Contract of Employment This Agreement between you, Philip Allison (“You”) and KCG Europe Limited, City Place House, 55 Basinghall Street, London EC2V 5DU (the “Company”) as at 19 March 2014 comprises your contract of employment with the Company and a statement of the main terms and conditions of your employment which are required by section 1 of the Employment Rights Act 1996. 1. You |
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| March 2, 2015 |
KCG ANNOUNCES EXPECTED CAPITAL MARKETS DEBT TRANSACTION EX-99.1 Exhibit 99.1 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ANNOUNCES EXPECTED CAPITAL MARKETS DEBT TRANSACTION JERSEY CITY, New Jersey – February 27, 2015 – KCG Holdings, Inc. (NYSE: KCG) today announced that it expects to launch a capital markets debt transaction in the next week, subject to market con |
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| March 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K 10-K 1 kcg2014123110-k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exact na |
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| March 2, 2015 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Comm |
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| February 3, 2015 |
EX-99.1 2 d864674dex991.htm EXHIBIT 99.1 Exhibit 99.1 Sales Plan Sales Plan, adopted February 2, 2015 (the “Sales Plan”), between the Daniel V. Tierney 2011 Trust (“Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investmen |
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| February 3, 2015 |
KCG Holdings Form SC 13D/A (Activist Acquisition of More Than 5% of Shares) SC 13D/A 1 d864674dsc13da.htm AMENDMENT NO. 5 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Emma Cuadrado Wicklow Capital, Inc. 53 W. Jackson |
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| February 3, 2015 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 2, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commi |
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| February 3, 2015 |
EX-99.1 2 d864698dex991.htm EXHIBIT 99.1 Exhibit 99.1 RULE 10b5-1 PLAN This Rule 10b5-1 Plan is entered into as of February 2, 2015 (the “Plan”), by and between Serenity Investments LLC (“Seller”) and William Blair & Company, L.L.C. (the “Broker-Dealer”). WHEREAS, the Seller desires to establish the Plan to sell shares of common stock, par value $.01 per share (the “Stock”), of KCG Holdings, Inc. |
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| February 3, 2015 |
SC 13D/A 1 d864698dsc13da.htm AMENDMENT NO. 7 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Stephen G. Schuler Serenity Investments, LLC 830 |
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| February 3, 2015 |
EX-99.2 3 d864698dex992.htm EXHIBIT 99.2 Exhibit 99.2 RULE 10b5-1 PLAN This Rule 10b5-1 Plan is entered into as of February 2, 2015 (the “Plan”), by and between THE SCHULER FAMILY GST TRUST DTD 06/06/03 (“Seller”) and William Blair & Company, L.L.C. (the “Broker-Dealer”). WHEREAS, the Seller desires to establish the Plan to sell shares of common stock, par value $.01 per share (the “Stock”), of KC |
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| January 30, 2015 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.2 3 d862691dex992.htm EX-99.2 KCG Holdings, Inc. (NYSE: KCG) 4 Quarter 2014 Earnings Presentation January 30, 2015 th Exhibit 99.2 Safe Harbor Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words |
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| January 30, 2015 |
EX-99.1 Exhibit 99.1 KCG ANNOUNCES CONSOLIDATED EARNINGS OF $0.23 PER DILUTED SHARE FOR THE FOURTH QUARTER OF 2014 Pre-tax income from continuing operations of $26.5 million includes a net charge of $4.0 million from items that are unrelated to core operations JERSEY CITY, New Jersey – January 30, 2015 – KCG Holdings, Inc. (NYSE: KCG) today reported consolidated earnings of $26.1 million, or $0.23 |
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| January 30, 2015 |
8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File Number) |
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| January 29, 2015 |
EX-2.1 Exhibit 2.1 EXECUTION VERSION SECURITIES PURCHASE AGREEMENT between KNIGHT CAPITAL GROUP, INC. and BATS GLOBAL MARKETS, INC. Dated January 27, 2015 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 1.1. Specific Definitions 1 1.2. Interpretation 17 ARTICLE 2 TERMS OF PURCHASE AND SALE 19 2.1. Shares to Be Purchased 19 2.2. Purchase Price 19 2.3. Estimated Purchase Price 19 ARTICLE 3 CLOSING 19 |
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| January 29, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commi |
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| January 28, 2015 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2015 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commi |
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| January 28, 2015 |
EX-99.1 2 d860643dex991.htm EX-99.1 Exhibit 99.1 KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com KCG ANNOUNCES SALE OF KCG HOTSPOT TO BATS GLOBAL MARKETS Transaction is expected to increase KCG’s tangible book value by approximately $2.00 per share JERSEY CITY, New Jersey – January 28, 2015 – KCG Holdings, Inc. (NYSE |
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| January 15, 2015 |
KCG / KCG Holdings, Inc. CORRESP - - Correspondence KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com January 15, 2015 Mr. Christian Windsor Special Counsel United States Securities and Exchange Commission Washington, D.C. 20549 RE: KCG Holdings, Inc. Form 10-K for Fiscal Year Ended December 31, 2013 Filed March 3, 2014 Amendment No. 1 to Form 10-K for Fi |
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| January 6, 2015 |
EX-10.2 3 d846154dex102.htm EX-10.2 Exhibit 10.2 Terms Schedule to Employment Agreement Name Steffen Parratt Scheduled Term From January 1, 2015 through the 3rd anniversary of that date (the “Initial Term”) and shall then renew automatically for one-year periods (each, an “Extension Term”) until you or the Company gives written notice to the other of nonrenewal at least 90 days before the end of t |
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| January 6, 2015 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 6, 2015 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commis |
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| January 6, 2015 |
EX-10.1 2 d846154dex101.htm EX-10.1 Exhibit 10.1 January 2, 2015 Steffen Parratt [at the address on file with the Company] Re: Employment Agreement Dear Steffen: This letter agreement (“Agreement”) sets forth the terms of your employment with KCG Holdings, Inc., a Delaware corporation (the “Company”) and its affiliates (together, the “Group”). 1. Terms Schedule Some of the terms of your employment |
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| December 17, 2014 |
KCG / KCG Holdings, Inc. CORRESP - - Correspondence KCG Holdings, Inc. 545 Washington Boulevard Jersey City, New Jersey 07310 1 201 222 9400 tel 1 800 544 7508 toll free www.kcg.com December 17, 2014 Mr. Christian Windsor Special Counsel United States Securities and Exchange Commission Washington, D.C. 20549 RE: KCG Holdings, Inc. Form 10-K for Fiscal Year Ended December 31, 2013 Filed March 3, 2014 Amendment No. 1 to Fork 10-K for F |
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| November 12, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 6, 2014 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commi |
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| November 12, 2014 |
* * * Mr. Steven Bisgay Page 5 EX-10.1 2 d820487dex101.htm EX-10.1 Exhibit 10.1 EXECUTION COPY November 6, 2014 Mr. Steven Bisgay at the address in the Schedule Re: Advisory Services and Separation Agreement Dear Steve, This letter agreement (this “Agreement”) sets forth the terms of your departure from KCG Holdings, Inc., a Delaware corporation (the “Company” and, together with its affiliates, “KCG”) and the additional advisor |
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| November 10, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exact name of registrant as spe |
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| October 30, 2014 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.2 3 d811294dex992.htm EX-99.2 KCG Holdings, Inc. (NYSE: KCG) 3 Quarter 2014 Earnings Presentation October 30, 2014 Exhibit 99.2 rd Safe Harbor Certain statements contained herein may constitute “forward-looking statements” within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words |
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| October 30, 2014 |
Form 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2014 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File Num |
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| October 30, 2014 |
EX-99.1 KCG ANNOUNCES THIRD QUARTER 2014 RESULTS KCG reported a GAAP net loss of $9.6 million; pre-tax loss from continuing operations of $15.2 million includes a net benefit of $4.3 million unrelated to core operations KCG repurchased 3.6 million shares for approximately $42.1 million during the quarter JERSEY CITY, New Jersey – October 30, 2014 – KCG Holdings, Inc. (NYSE: KCG) today reported a G |
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| October 17, 2014 |
KCG / KCG Holdings, Inc. S-8 POS - - POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 Post-Effective Amendment No. 1 to Form S-8 As filed with the Securities and Exchange Commission on October 17, 2014 Registration No. 333-189746 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 to Form S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 38 |
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| September 23, 2014 |
Costs Associated with Exit or Disposal Activities Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 23, 2014 KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Com |
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| September 15, 2014 |
EX-10.1 Exhibit 10.1 Confidential September 15, 2014 Mr. Sean Galvin At the Address on File with KCG Re: Interim Chief Financial Officer Dear Sean: On behalf of the Board of Directors, we appreciate your agreement to serve as Interim Chief Financial Officer of KCG Holdings, Inc. while the Company undertakes its process for identifying and selecting a permanent Chief Financial Officer. This letter |
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| September 15, 2014 |
8-K 1 d789905d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2014 (September 12, 2014) KCG Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 000-54991 38-3898306 (State or othe |
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| September 10, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 d786650d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2014 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction o |
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| September 10, 2014 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.1 2 d786650dex991.htm EX-99.1 KCG Holdings, Inc. (NYSE: KCG) Barclays Global Financial Services Conference September 10, 2014 Exhibit 99.1 Safe Harbor Certain statements contained herein may constitute “forward-looking statements” within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified |
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| August 11, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 kcg2014063010-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exac |
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| August 1, 2014 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.2 3 d769138dex992.htm EX-99.2 KCG Holdings, Inc. (NYSE: KCG) 2 Quarter 2014 Earnings Presentation August 1, 2014 nd Exhibit 99.2 Safe Harbor Certain statements contained herein may constitute “forward-looking statements” within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words s |
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| August 1, 2014 |
EX-99.1 Exhibit 99.1 KCG ANNOUNCES CONSOLIDATED EARNINGS OF $0.08 PER DILUTED SHARE FOR THE SECOND QUARTER OF 2014 Consolidated revenues of $314.1 million and pre-tax earnings from continuing operations of $14.5 million during the quarter Pre-tax earnings includes expenses of $7.0 million unrelated to core operations, comprising reduction in workforce, writedown of capitalized debt costs and lease |
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| August 1, 2014 |
8-K 1 d769138d8k.htm FORM 8-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2014 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) ( |
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| July 18, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* KCG Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 48244B 100 (CUSIP Number) Stephen G. Schuler Serenity Investments, LLC 830 North Boulevard Oak Park, Illinois (708) 386-0441 with a copy |
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| June 4, 2014 |
KCG Holdings, Inc. (NYSE: KCG) EX-99.1 2 d737454dex991.htm EX-99.1 KCG Holdings, Inc. (NYSE: KCG) Sandler O’Neill Global Exchange & Brokerage Conference June 4, 2014 Exhibit 99.1 Safe Harbor Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identifi |
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| June 4, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 d737454d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 4, 2014 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorpora |
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| June 2, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2014 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File Nu |
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| June 2, 2014 |
FIRST AMENDMENT TO REGISTRATION RIGHTS AGREEMENT EX-4.1 2 d734964dex41.htm EX-4.1 Exhibit 4.1 FIRST AMENDMENT TO REGISTRATION RIGHTS AGREEMENT AMENDMENT TO REGISTRATION RIGHTS AGREEMENT (this “Amendment”), dated as of May 30, 2014, by KCG Holdings, Inc. (the “Company”). Capitalized terms used herein without definition shall have the meanings ascribed to them in the Registration Rights Agreement. W I T N E S S E T H WHEREAS, the Company, certain |
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| May 15, 2014 |
Submission of Matters to a Vote of Security Holders SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2014 (May 14, 2014) KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of incorporation) (Commission File N |
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| May 14, 2014 |
8-K 1 d727220d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2014 KCG HOLDINGS, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-54991 38-3898306 (State or other jurisdiction of inco |
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| May 12, 2014 |
No. 11093 MASTER AGREEMENT TO LEASE EQUIPMENT THIS MASTER AGREEMENT TO LEASE EQUIPMENT (this ?Agreement?) is entered into as of March 10, 2014, by and between CISCO SYSTEMS CAPITAL CORPORATION (?Lessor?), having its principal place of business at 170 West Tasman Drive, Mailstop SJC-13, 3rd Floor, San Jose, California 95134 and KCG AMERICAS, LLC, a Delaware limited liability company (?Lessee?), hav |
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| May 12, 2014 |
KCG HOLDINGS, INC. AMENDED AND RESTATED EQUITY INCENTIVE PLAN ARTICLE 1 PURPOSE AND EFFECTIVENESS As of March 25, 2014 KCG HOLDINGS, INC. AMENDED AND RESTATED EQUITY INCENTIVE PLAN ARTICLE 1 PURPOSE AND EFFECTIVENESS 1.1 Purpose. The purpose of the KCG Holdings, Inc. Amended and Restated Equity Incentive Plan (the ?Plan?) is to promote the success of KCG Holdings, Inc. (the ?Company?) by providing a method whereby employees, officers and directors of the Company and its Affiliates may be encou |
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| May 12, 2014 |
GUARANTY THIS GUARANTY (this ?Guaranty?) is executed as of March 13, 2014, by KCG HOLDINGS, INC. |
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| May 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 kcg2014033110-q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2014 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 000-54991 Commission File Number KCG HOLDINGS, INC. (Exa |
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| May 12, 2014 |
EX-10.3 4 kcgexhibit103q114.htm EXHIBIT 10.3 AMENDMENT No. 1 TO MASTER LEASE AGREEMENT No. 11093 BETWEEN KCG AMERICAS, LLC AND CISCO SYSTEMS CAPITAL CORPORATION This Amendment (the “Amendment”) to the Master Lease Agreement No. 11093 (the “Master Lease”) by and between Cisco Systems Capital Corporation (“Lessor”), a Nevada corporation having its principal place of business at 170 West Tasman Drive |
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| May 12, 2014 |
AIRCRAFT TIMESHARING AGREEMENT EX-10.1 2 kcgexhibit101q114.htm EXHIBIT 10.1 AIRCRAFT TIMESHARING AGREEMENT THIS AIRCRAFT TIME SHARE AGREEMENT is made and entered as of April 17, 2014, between Redmont Holdings LLC (“Lessor”), whose address is 3536 Redmont Road, Birmingham, AL 35213 and KCG Holdings, Inc. (“Lessee”), with offices at 545 Washington Boulevard, Jersey City, NJ 07310. PRELIMINARY STATEMENT. Lessor agrees to provide h |
