UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options (1) | 09/30/2009 | 06/13/2016 | Common Stock | 4,425 | $ 18.64 | D | Â |
Stock Options (1) | 09/30/2009 | 03/16/2017 | Common Stock | 15,930 | $ 54.23 | D | Â |
Stock Options | 11/30/2011(2) | 11/30/2014 | Common Stock | 3,000 | $ 23.49 | D | Â |
Stock Options (3) | 12/16/2016(5) | 12/16/2021 | Common Stock | 80,000 | $ 25.91 (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nessler Peter J. Jr. 2829 WESTOWN PARKWAY SUITE 100 WEST DES MOINES, IA 50266 |
 |  |  Executive Vice President |  |
Peter J. Nessler, Jr. | 06/01/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Replacement options granted upon the merger of FCStone Group, Inc. and International Assets Holding Corporation (now known as INTL FCStone Inc.) pursuant to the merger agreement. |
(2) | On 11/30/2011 the Optionee became entitled to exercise 1000 shares of the Options. Commencing on 11/30/2012 the Optionee shall be entitled to exercise 1000 shares of the Options. Commencing on 11/30/2013 the Optionee shall be entitled to exercise 1000 shares of the Options. |
(3) | The option grant was approved by the Company's Board of Directors on December 12, 2011, subject to shareholder approval of an Amendment to the Stock Option Plan under which the options were granted. The Company's shareholders approved the Amendment on February 23, 2012. The Amendment increased the number of shares that could be granted under the plan. |
(4) | The strike price of the grant was set by the Company's Board of Directors at 110% of the closing price on December 16, 2012. |
(5) | The options vest in equal tranches on each of the fifth, sixth, seventh, eighth and ninth anniversaires of the grant date. |