Knight Capital Group LLC 

NY

  SEC # 1060749

        

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834  SEC Filings   from  5/1/98  to  11/18/16  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘4’ — Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — for 11/17/16 — Filed as:  Owner / Insider — Re:  Bats Global Markets, Inc.
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Forms , Documents & Exhibits  in  385 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
11/18/16	OLD		4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD	13
4/18/16	OLD		3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD	3
8/8/13	OLD		13F-HR		Ownership:		Quarterly Holdings and Combination Reports by Money Managers — Form 13F  OLD  — Assets Under Management	20
7/16/13	OLD		15-12B		Registration:		Certification of a Termination of Registration of a Class of Securities — Form 15  OLD	1
7/8/13	OLD		8-K		Update:		Current Reports — Form 8-K  OLD  — Press Releases & Conference Calls  — Financial Reports	174
					8-K Items:
4/15/13	OLD		Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01  OLD  — ↓‘EX-10’	21
3/19/10	OLD		"			•	Termination of a Material Definitive Agreement — Item 1.02  OLD  — ↓‘EX-10’	1
6/28/13	OLD		Financial Info:			•	Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ↓‘EX-2’	3
5/1/13	OLD		"			•	Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports	38
7/8/13	OLD		"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ↓‘EX-10’	7
6/28/13	OLD		"			•	Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ↓‘EX-2’	5
7/8/13	OLD		Securities & Trading:			•	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD	2
8/6/12	OLD		"			•	Unregistered Sales of Equity Securities — Item 3.02  OLD  — ↓‘EX-1’	5
7/8/13	OLD		"			•	Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ↓‘EX-4’	2
7/11/05	OLD		Accountants & Accounting:			•	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD	1
7/8/13	OLD		Governance & Management:			•	Changes in Control of Registrant — Item 5.01  OLD	1
7/8/13	OLD		"			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02  OLD  — List of Directors & Officers	22
8/6/12	OLD		"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ↓‘EX-3’	3
6/26/13	OLD		"			•	Submission of Matters to a Vote of Security Holders — Item 5.07  OLD	5
6/10/13	OLD		Disclosures:			•	Regulation FD Disclosure — Item 7.01  OLD  — ↓‘EX-99’	86
7/8/13	OLD		Events:			•	Other Events — Item 8.01  OLD	13
7/8/13	OLD		Financials:			•	Financial Statements and Exhibits — Item 9.01  OLD  — Financial Reports	120
7/1/13	OLD		S-8 POS		Registration:		Post-Effective Amendments of Form S-8 Registrations  OLD	16
7/1/13	OLD		POSASR		Registration:		Post-Effective Amendment of an Automatic Shelf Registration Statement — Form S-3/F-3ASR  OLD	1
6/14/13	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	11
5/28/13	OLD		DEFM14A		Proxy:		Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD	1
5/10/13	OLD		10-Q		Update:		Quarterly Reports — Form 10-Q  OLD  — Financial Reports	47
4/16/13	OLD		10-K		Update:		Annual Reports — Form 10-K  OLD  — Financial Reports	19
4/15/13	OLD		CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC	11
1/30/13	OLD		S-8		Registration:		Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD	8
11/19/12	OLD		DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A  OLD	15
9/7/12	OLD		424B7		Registration:		Prospectuses – Selling Security Holders – Info Previously Omitted  OLD	2
8/7/12	OLD		424B3		Registration:		Prospectus – New Facts or Events  OLD	1
8/6/12	OLD		S-3ASR		Registration:		Automatic Shelf Registration Statement by a Well-Known Issuer — Form S-3  OLD	1
7/16/12	OLD		D		Registration:		Notices of Exempt Offerings of Securities — Form D  OLD	4
4/25/12	OLD		ARS		Update:		Annual Reports to Security Holders  OLD	11
5/25/10	OLD		CERTNYS		Trading:		Certification by the NYSE Approving a Listing — Form CERT  OLD	1
5/24/10	OLD		25		Trading:		Notice by an Issuer of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities — Form 25  OLD	1
5/20/10	OLD		8-A12B		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A  OLD	2
7/24/08	OLD		REGDEX		Registration:		Notices of Exempt Offerings of Securities — Form D  OLD	2
3/23/05	OLD		PRE 14A		Proxy:		Preliminary Proxy Statements — Schedule 14A  OLD	2
3/11/03	OLD		SC TO-I		Ownership:		Tender-Offer Statements by Issuers — Schedule TO  OLD	3
7/20/00	OLD		S-3		Registration:		Registration Statement – Securities for a Transaction — Form S-3  OLD	1
2/26/99	OLD		424B1		Registration:		Prospectuses – Info Previously Omitted  OLD	2
2/25/99	OLD		S-1		Registration:		Registration Statements (General Form) — Form S-1  OLD	11
7/7/98	OLD		8-A12G		Registration:		Registration Statement for a Class of Securities — Form 8-A  OLD	1
					Form-Specific Documents:
8/8/13	OLD		INFO-TABLE		Portfolio Securities Holdings Info Table  OLD  — Assets Under Management			1
					General Exhibits:
6/28/13	OLD		EX-10		Material Contracts  OLD			90
5/13/13	OLD		EX-23		Consents of Experts and Counsel  OLD			32
4/15/13	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			7
3/1/13	OLD		EX-21		Subsidiaries Lists  OLD			11
1/30/13	OLD		EX-5		Opinions of Counsel re: Legality  OLD			12
8/6/12	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			13
11/29/10	OLD		EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders  OLD			5
2/7/08	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			4
					Additional Exhibits:
6/28/13	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases & Conference Calls			140
					Financials:
5/13/13	OLD		XML  &  R#		IDEA Financial Reports Info  OLD  — Financial Reports			1,068
5/13/13	OLD		EXCEL		IDEA Workbooks of Financial Reports Info  OLD  — Workbooks of Financial Reports			14
5/13/13	OLD		EX-101.*		XBRL Data  (XBRL Files)  OLD			84
5/13/13	OLD		ZIP		XBRL Zipped Folders   (Folders of XBRL Files)  OLD			14
5/10/13	OLD		EX-31		Certifications — §302 – SOA’02  OLD			88
5/10/13	OLD		EX-32		Certifications — §906 – SOA’02  OLD			88
3/30/01	OLD		EX-27		Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports			19
					Graphics:
6/26/13	OLD		GRAPHIC		Photos, Images and Graphs  OLD			195

History as a Money Manager:  Assets Under Management

Forms , Documents & Exhibits  in  468 Filings  Filed re:  Issuer / Subject Company

        

        

Latest Filing			Type		Category	Description		Documents
7/5/13	OLD		4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4  OLD	345
7/5/13	OLD		25-NSE		Trading:		Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD	1
7/3/13	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	20
6/14/13	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	15
1/10/13	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	41
9/6/12	OLD		3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD	28
3/11/03	OLD		SC TO-I		Ownership:		Tender-Offer Statements by Issuers — Schedule TO  OLD	3
					Letters:
9/26/13	OLD		LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC			15
					General Exhibits:
4/15/13	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			2
12/21/12	OLD		EX-10		Material Contract  OLD			1
9/6/12	OLD		EX-24		Powers of Attorney  OLD			3
8/16/12	OLD		EX-1		Underwriting Agreement or Conflict Minerals Report  (or mislabeled “1st Exhibit”)  OLD			1
					Additional Exhibits:
7/5/13	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			22
					Financials:
8/16/12	OLD		EX-7		Correspondence from Accountants re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews  OLD			6
					Graphics:
4/15/13	OLD		GRAPHIC		Photos, Images and Graphs  OLD			23

        

Filings History

Year		# of Filings
2016		8
⇑
2013		101
2012		101
2011		46
2010		73
2009		67
2008		66
2007		69
2006		60
2005		62
2004		68
2003		53
2002		17
2001		8
2000		11
1999		12
1998		12