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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JOYCE THOMAS M KNIGHT CAPITAL GROUP, INC. 545 WASHINGTON BOULEVARD JERSEY CITY, NJ 07310 |
Chairman & CEO |
/s/ Thomas M. Joyce | 01/03/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents shares withheld by the Company to satisfy tax withholding obligations of reporting person upon the vesting on December 31, 2012 of 125,000 restricted stock units previously awarded on December 31, 2008. |
(2) | Total includes net 67,228 shares of Class A Common Stock issued to reporting person upon the vesting described in Footnote (1). |
(3) | Represents(i) reversal of erroneously reported distribution of 129,081 shares from the Joyce Family 2010 GRAT (the "2010 GRAT") to reporting person, effective January 30, 2012, and (ii) distribution of 249,743 shares from the 2010 GRAT to reporting person, effective August 29, 2012, at which time the 2010 GRAT was terminated. None of the transactions required reporting at the time of each event. |
(4) | Represents the distribution of 98,917 shares from the Joyce Family 2009 GRAT II to reporting person, effective February 13, 2012, at which time the Joyce Family 2009 GRAT II was terminated. The transaction did not require reporting at the time of event. |
(5) | Effective February 17, 2012, 250,000 shares held directly by reporting person were contributed to a 2012 grantor retained annuity trust (Joyce Family 2012 GRAT), which did not require reporting at the time of event. |