KNIGHT CAPITAL GROUP, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 48 rows, 48 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-02-28: Reporting owner BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Family Investment Partnership VI L.P. | Blackstone Capital Partners VI L.P. | Blackstone Management Associates VI L.L.C.; Form 4; Security Series A-1 Cumulative Perpetual Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2013-02-28: Reporting owner BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Family Investment Partnership VI L.P. | Blackstone Capital Partners VI L.P. | Blackstone Management Associates VI L.L.C.; Form 4; Security Series A-1 Cumulative Perpetual Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2013-02-28: Reporting owner BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Family Investment Partnership VI L.P. | Blackstone Capital Partners VI L.P. | Blackstone Management Associates VI L.L.C.; Form 4; Security Series A-1 Cumulative Perpetual Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2013-02-28: Reporting owner Blackstone Group Management L.L.C. | Blackstone Group L.P. | SCHWARZMAN STEPHEN A | Blackstone Holdings III GP L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C.; Form 4; Security Series A-1 Cumulative Perpetual Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-02-28 | BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Family Investment Partnership VI L.P. | Blackstone Capital Partners VI L.P. | Blackstone Management Associates VI L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −84,754 0 owned after | no price filed | 2013-05-28 | |
| 2013-02-28 | BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Family Investment Partnership VI L.P. | Blackstone Capital Partners VI L.P. | Blackstone Management Associates VI L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −43 0 owned after | no price filed | 2013-05-28 | |
| 2013-02-28 | BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Family Investment Partnership VI L.P. | Blackstone Capital Partners VI L.P. | Blackstone Management Associates VI L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −516 0 owned after | no price filed | 2013-05-28 | |
| 2013-02-28 | Blackstone Group Management L.L.C. | Blackstone Group L.P. | SCHWARZMAN STEPHEN A | Blackstone Holdings III GP L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −84,754 0 owned after | no price filed | 2013-05-28 | |
| 2013-02-28 | Blackstone Group Management L.L.C. | Blackstone Group L.P. | SCHWARZMAN STEPHEN A | Blackstone Holdings III GP L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −43 0 owned after | no price filed | 2013-05-28 | |
| 2013-02-28 | Blackstone Group Management L.L.C. | Blackstone Group L.P. | SCHWARZMAN STEPHEN A | Blackstone Holdings III GP L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −516 0 owned after | no price filed | 2013-05-28 | |
| 2013-02-28 | GETCO Holding Company, LLC | GETCO Strategic Investments, LLC 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · Held by Subsidiary | C Conversion of derivative security | −85,313 0 owned after | $0.00 | 2013-03-01 | |
| 2012-09-14 | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Management Associates VI L.L.C. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | −67,888 0 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Management Associates VI L.L.C. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | −35 0 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Management Associates VI L.L.C. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | −414 0 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Management Associates VI L.L.C. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | +67,888 84,754 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Management Associates VI L.L.C. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | +35 43 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Management Associates VI L.L.C. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | +414 516 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. | SCHWARZMAN STEPHEN A | Blackstone Group L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | −67,888 0 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. | SCHWARZMAN STEPHEN A | Blackstone Group L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | −35 0 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. | SCHWARZMAN STEPHEN A | Blackstone Group L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | −414 0 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. | SCHWARZMAN STEPHEN A | Blackstone Group L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | +67,888 84,754 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. | SCHWARZMAN STEPHEN A | Blackstone Group L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | +35 43 owned after | no price filed | 2012-09-18 | |
| 2012-09-14 | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. | SCHWARZMAN STEPHEN A | Blackstone Group L.P. | Blackstone Holdings III L.P. | Blackstone Holdings III GP Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | C Conversion of derivative security | +414 516 owned after | no price filed | 2012-09-18 | |
| 2012-09-11 | GETCO Holding Company, LLC | GETCO Strategic Investments, LLC 10% Owner | 10% Owner | 4 | Series A-2 Convertible Preferred Stock Derivative · Indirect · Held by Subsidiary | C Conversion of derivative security | −67,900 0 owned after | $0.00 | 2012-09-13 | |
| 2012-09-11 | GETCO Holding Company, LLC | GETCO Strategic Investments, LLC 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · Held by Subsidiary | C Conversion of derivative security | +67,900 85,313 owned after | $0.00 | 2012-09-13 | |
| 2012-08-29 | JEFFERIES GROUP INC /DE/ | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −77,599 0 owned after | no price filed | 2012-08-30 | |
| 2012-08-29 | JEFFERIES GROUP INC /DE/ | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −19,400 0 owned after | no price filed | 2012-08-30 | |
| 2012-08-29 | JEFFERIES GROUP INC /DE/ | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +77,599 97,500 owned after | no price filed | 2012-08-30 | |
| 2012-08-29 | JEFFERIES GROUP INC /DE/ | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | +19,400 24,375 owned after | no price filed | 2012-08-30 | |
| 2012-08-29 | JEFFERIES GROUP INC /DE/ | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −97,500 0 owned after | no price filed | 2012-08-30 | |
| 2012-08-29 | JEFFERIES GROUP INC /DE/ | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −24,375 0 owned after | no price filed | 2012-08-30 | |
| 2012-08-27 | JEFFERIES & COMPANY, INC. | JEFFERIES GROUP INC /DE/ | Jefferies High Yield Holdings, LLC | Jefferies High Yield Trading, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,500 77,599 owned after | $1,500.00 | 2012-08-29 | |
| 2012-08-27 | JEFFERIES & COMPANY, INC. | JEFFERIES GROUP INC /DE/ | Jefferies High Yield Holdings, LLC | Jefferies High Yield Trading, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-2 Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −625 19,400 owned after | $1,500.00 | 2012-08-29 | |
| 2012-08-21 holding as of filing | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Management Associates VI L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | Holding | 8 owned after | no price filed | 2012-08-21 | |
| 2012-08-21 holding as of filing | Blackstone Group L.P. | Blackstone Holdings III L.P. | SCHWARZMAN STEPHEN A | Blackstone Holdings III GP Management L.L.C. | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | Holding | 8 owned after | no price filed | 2012-08-21 | |
| 2012-08-17 | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Management Associates VI L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | S Open market or private sale of non-derivative or derivative security | −432 16,866 owned after | $1,500.00 | 2012-08-21 | |
| 2012-08-17 | Blackstone Family Investment Partnership VI L.P. | BMA VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | Blackstone Capital Partners VI L.P. | BCP VI Side-By-Side GP L.L.C. | Blackstone Management Associates VI L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | S Open market or private sale of non-derivative or derivative security | −3 102 owned after | $1,500.00 | 2012-08-21 | |
| 2012-08-17 | Blackstone Group L.P. | Blackstone Holdings III L.P. | SCHWARZMAN STEPHEN A | Blackstone Holdings III GP Management L.L.C. | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | S Open market or private sale of non-derivative or derivative security | −432 16,866 owned after | $1,500.00 | 2012-08-21 | |
| 2012-08-17 | Blackstone Group L.P. | Blackstone Holdings III L.P. | SCHWARZMAN STEPHEN A | Blackstone Holdings III GP Management L.L.C. | Blackstone Holdings III GP L.P. | Blackstone Group Management L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | S Open market or private sale of non-derivative or derivative security | −3 102 owned after | $1,500.00 | 2012-08-21 | |
| 2012-08-16 | GETCO Strategic Investments, LLC | GETCO Holding Company, LLC 10% Owner | 10% Owner | 4 | Series A-2 Convertible Preferred Stock Derivative · Indirect · Held by Subsidiary | S Open market or private sale of non-derivative or derivative security | −2,187 67,900 owned after | $1,500.00 | 2012-08-20 | |
| 2012-08-16 holding as of filing | Blackstone Holdings III GP Management L.L.C. | Blackstone Holdings III GP L.P. | SCHWARZMAN STEPHEN A | Blackstone Group Management L.L.C. | Blackstone Group L.P. | Blackstone Holdings III L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | Holding | no price filed | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Blackstone Holdings III GP Management L.L.C. | Blackstone Holdings III GP L.P. | SCHWARZMAN STEPHEN A | Blackstone Group Management L.L.C. | Blackstone Group L.P. | Blackstone Holdings III L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | Holding | no price filed | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Blackstone Holdings III GP Management L.L.C. | Blackstone Holdings III GP L.P. | SCHWARZMAN STEPHEN A | Blackstone Group Management L.L.C. | Blackstone Group L.P. | Blackstone Holdings III L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | Holding | no price filed | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Blackstone Management Associates VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | BMA VI L.L.C. | Blackstone Capital Partners VI L.P. | Blackstone Family Investment Partnership VI L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | Holding | no price filed | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Blackstone Management Associates VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | BMA VI L.L.C. | Blackstone Capital Partners VI L.P. | Blackstone Family Investment Partnership VI L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | Holding | no price filed | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Blackstone Management Associates VI L.L.C. | Blackstone Family Investment Partnership VI ESC L.P. | BCP VI Side-By-Side GP L.L.C. | BMA VI L.L.C. | Blackstone Capital Partners VI L.P. | Blackstone Family Investment Partnership VI L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Cumulative Perpetual Convertible Preferred Stock Derivative · Indirect · (See Footnotes) | Holding | no price filed | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC | JEFFERIES GROUP INC /DE/ 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Direct | Holding | $1.50 exercise price | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC | JEFFERIES GROUP INC /DE/ 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Direct | Holding | $1.50 exercise price | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC | JEFFERIES GROUP INC /DE/ 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-16 | ||
| 2012-08-16 holding as of filing | Jefferies High Yield Trading, LLC | JEFFERIES & COMPANY, INC. | Jefferies High Yield Holdings, LLC | JEFFERIES GROUP INC /DE/ 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A-2 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2012-08-16 | ||
| 2012-08-10 holding as of filing | GETCO Holding Co. | GETCO Strategic Investments, LLC 10% Owner | 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · Held by Subsidiary | Holding | no price filed | 2012-08-10 | ||
| 2012-08-10 holding as of filing | GETCO Holding Co. | GETCO Strategic Investments, LLC 10% Owner | 10% Owner | 3 | Series A-2 Convertible Preferred Stock Derivative · Indirect · Held by Subsidiary | Holding | no price filed | 2012-08-10 |