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 4, 2011 (October 31, 2011)

KNIGHT CAPITAL GROUP, INC.

 

(Exact name of registrant as specified in its charter)

 

DELAWARE   001-14223   22-3689303

(State or other

jurisdiction of

incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification No.)

545 Washington Boulevard, Jersey City, NJ 07310

 

(Address of principal executive offices) (Zip Code)

(201) 222-9400

(Registrant’s telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

Knight Capital Group, Inc.

Current Report on Form 8-K

Section 5 Corporate Governance and Management

 

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

(b) Effective October 31, 2011 (the “Separation Date”), Gregory C. Voetsch terminated his position with, and ceased serving as Executive Vice President, Head of Global Equities of, Knight Capital Group, Inc. (collectively with its affiliates, the “Company” or “Knight”).

Effective November 1, 2011, the Company announced changes to its organizational structure and management as a result of its new financial reporting segments which were effective for the Company’s third quarter earnings announced on October 19, 2011. In the third quarter, Knight changed reporting segments from Equities, FICC and Corporate to Market Making, Institutional Sales and Trading, Electronic Execution Services, and Corporate and Other. The Company issued a press release announcing the management changes, which is attached as Exhibit 99.1.

 

Item 9.01 Financial Statements and Exhibits

 

(a) Financial Statements of Businesses Acquired
   Not Applicable

 

(b) Pro Forma Financial Information
Not Applicable

 

(c) Shell Company Transactions
Not Applicable

 

(d) Exhibits

Exhibit 99.1 – Press Release of Knight Capital Group, Inc. issued on November 1, 2011.

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned’s duly authorized signatory.

Dated: November 4, 2011

    KNIGHT CAPITAL GROUP, INC.
    By:   /s/ Andrew M. Greenstein
    Name:   Andrew M. Greenstein
    Title:   Managing Director, Deputy General Counsel and Assistant Secretary

 

EXHIBIT INDEX

 

Exhibit No.

   

Description

99.1    Press Release of Knight Capital Group, Inc. issued on November 1, 2011.