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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 | |
Galik Milan ONE PICKWICK PLAZA GREENWICH, CT 06830 |
X | President |
/s/ Raymond Bussiere as authorized signatory for Milan Galik | 05/15/2017 | |
**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) | An investment advisor hired by the reporting person inadvertently purchased / sold shares of IBKR as part of a broad based investment strategy. |
(2) | These shares of Class A Common Stock are owned directly by the reporting person and represent the aggregate number of shares of restricted stock from awards granted under the 2007 Stock Incentive Plan since its inception, less vested shares that were withheld for tax purposes, or sold previously. The reported amount also includes the shares inadvertently purchased by an investment advisor hired by the reporting person as part of a broad based investment strategy. |
(3) | The reported amount also includes the shares sold by an investment advisor hired by the reporting person as part of a broad based investment strategy, as well as shares granted on December 31, 2016 under the 2007 Stock Incentive Plan, previously reported on Form 4 filed with the Securities Exchange Commission on January 4, 2017. |
Remarks: This Form 4 is filed to report shares inadvertently purchased on November 1, 2016, November 2, 2016 and sold on April 25, 2017. Subsequently filed Form 4s through January 4, 2017 are hereby amended to reflect the number of shares beneficially owned at the end of the period reported on such form (which are shown in column 5) by the shares shown to be purchased in this report on November 1, 2016 and November 2, 2016. |