Current Report Filing (8-k)
October 20 2016 - 7:16AM
Edgar (US Regulatory)
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): October 20, 2016
KCG HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
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DELAWARE
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000-54991
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38-3898306
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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545 Washington Boulevard, Jersey City, NJ 07310
(Address of principal executive offices) (Zip Code)
(201) 222-9400
(Registrants 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):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 2.02
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Results of Operation and Financial Condition
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See Item 9.01
Item 7.01
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Regulation FD Disclosure
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The following information is furnished under Item 2.02, Results of
Operations and Financial Condition, Item 7.01, Regulation FD Disclosure, and Item 9.01 Financial Statements and Exhibits. This information, including Exhibits 99.1 and 99.2, shall not be deemed
filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the Exchange Act), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except
as shall be expressly set forth by specific reference in such a filing.
On October 20, 2016, KCG Holdings, Inc. (the Company or
KCG) issued a press release announcing its earnings for the third quarter of 2016. The press release did not include certain financial statements, related footnotes and certain other financial information relating to the Company that
will be filed with the Securities and Exchange Commission as part of the Companys Quarterly Report on Form 10-Q. A copy of the press release is attached hereto as Exhibit 99.1. Executives from KCG will review the earnings via teleconference
and live audio webcast at 9:00 a.m. Eastern time on October 20, 2016. A copy of a visual presentation that will be a part of that review is attached as Exhibit 99.2. Exhibits 99.1 and 99.2 are incorporated by reference into this Current Report
on Form 8-K.
Item 9.01
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Financial Statements and Exhibits
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(a)
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Financial Statements of Businesses Acquired
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Not Applicable
(b)
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Pro Forma Financial Information
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Not Applicable
(c)
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Shell Company Transactions
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Not Applicable
Exhibit 99.1 Press Release of KCG Holdings, Inc., issued on October 20,
2016.
Exhibit 99.2 KCG Holdings, Inc. Earnings Presentation, dated October 20, 2016.
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
undersigneds duly authorized signatory.
Dated: October 20, 2016
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KCG HOLDINGS, INC.
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By:
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/s/ John McCarthy
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Name:
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John McCarthy
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Title:
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General Counsel
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EXHIBIT INDEX
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Exhibit
No.
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Description
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99.1
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Press Release of KCG Holdings, Inc., issued on October 20, 2016.
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99.2
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KCG Holdings, Inc. Earnings Presentation, dated October 20, 2016.
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