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EX-99.1 - EX-99.1 - GFI Group Inc. | a15-7400_1ex99d1.htm |
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): March 19, 2015
GFI GROUP INC.
(Exact name of registrant as specified in its charter)
Delaware |
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001-34897 |
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80-0006224 |
(State or other jurisdiction |
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(Commission |
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(I.R.S. Employer |
of incorporation) |
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File Number) |
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Identification No.) |
55 Water Street |
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10041 |
(Address of principal executive offices) |
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(Zip Code) |
Registrants telephone number, including area code: (212) 968-4100
Not Applicable
Former name or former address, if changed since last report
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:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On March 19, 2015, GFI Group Inc. (the Company) notified the New York Stock Exchange (the NYSE) that its Board of Directors had unanimously voted to voluntarily delist the Companys common stock, par value $0.01 per share (the Common Stock), from the NYSE and to terminate the registration of the Common Stock under the Securities Exchange Act of 1934, as amended. In connection therewith, the Company intends to file a Form 25 with the Securities and Exchange Commission (the SEC) on or about March 29, 2015, and the Company anticipates that the delisting will become effective ten (10) days later.
On or after the effective date of the delisting, the Company intends to file a Form 15 with the SEC to effect the deregistration of the Common Stock. The Company is eligible to deregister by filing Form 15 because it has fewer than 300 holders of record of its Common Stock. Upon the filing of the Form 15, the Companys obligations to file certain reports with the SEC, including reports on Forms 10-K, 10-Q and 8-K, will immediately be suspended. However, the Company intends to make voluntary SEC filings with respect to its 8.375% Senior Notes due July 2018 in compliance with its obligations under the related indenture. The Company expects the deregistration of the Common Stock to become effective ninety (90) days after filing the Form 15 with the SEC.
The Company issued a press release with respect to this matter, a copy of which is attached hereto as Exhibit No. 99.1 and is incorporated by reference herein.
Cautionary Statement Regarding Forward-Looking Statements
Certain matters discussed in this Current Report on Form 8-K and the exhibits incorporated herein contain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These forward-looking statements include, but are not limited to (i) plans, objectives, expectations and intentions; (ii) other statements contained in this communication that are not historical facts; and (iii) other statements identified by words such as anticipate, believe, estimate, may, might, intend, expect and similar expressions. Actual results, performance or achievements could differ materially from those contemplated, expressed or implied by the forward-looking statements contained herein. These forward-looking statements are based largely on the expectations of the Company and are subject to a number of risks and uncertainties. These include, but are not limited to, risks and uncertainties associated with: economic, political and market factors affecting trading volumes; securities prices or demand for the Companys brokerage services; competition from current and new competitors; the Companys ability to attract and retain key personnel, including highly-qualified brokerage personnel; the Companys ability to identify and develop new products and markets; changes in laws and regulations governing the Companys business and operations or permissible activities; the Companys ability to manage its international operations; financial difficulties experienced by the Companys customers or key participants in the markets in which the Company focuses its brokerage services; the Companys ability to keep up with technological changes; uncertainties relating to litigation; and the Companys ability to assess and integrate acquisition prospects. Further information about factors that could affect the financial and other results of the Company is included in its filings with the SEC. The Company undertakes no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.
These forward-looking statements speak only as of the date hereof. Except for the ongoing obligations of the Company to disclose material information under the federal securities laws, the Company
undertakes no obligation to revise or update publicly any forward-looking statement, except as required by law. Other factors that may impact the forward-looking statements are described in the Companys annual report on Form 10-K for the fiscal year ended December 31, 2014. For additional information on the Company, please visit the Companys website at http://www.gfigroup.com.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit |
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Description of Exhibit |
99.1 |
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Press Release issued by GFI Group Inc., dated March 19, 2015. |
SIGNATURES
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 hereunto duly authorized.
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GFI GROUP INC. | |
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Dated: March 20, 2015 |
By: |
/s/ Christopher DAntuono |
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Name: Christopher DAntuono |
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Title: General Counsel |