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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 | 01/05/2010 | |
**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 Mr. Joyce upon the scheduled vesting on December 31, 2009 of 125,000 restricted stock units awarded on December 31, 2008 (following satisfaction of the condition that the Company record positive pre-tax income in 2009). |
(2) | Aggregate amount represents the unvested portion of two previously granted restricted stock unit awards. Out of such total, 375,000 restricted stock units awarded on December 31, 2008 are scheduled to vest in three remaining equal installments on December 31, 2010, 2011 and 2012, respectively. The remaining 256,063 restricted stock units awarded on January 31, 2009 shall vest in three equal installments on January 31, 2010, 2011 and 2012, respectively. |
(3) | Effective December 10, 2009, 200,00 shares held directly by Mr. Joyce were contributed to a 2009 grantor retained annuity trust (Joyce Family 2009 GRAT II), which did not require reporting at time of event. |
(4) | Total includes net 64,476 shares of Class A Common Stock issued to Mr. Joyce upon the vesting described in Footnote (1) above. |