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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM 8-K
</B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant
to Section&nbsp;13 or 15(d) of the </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of earliest event reported): September&nbsp;30, 2013 </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>KCG HOLDINGS, INC. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>DELAWARE</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>000-54991</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B>38-3898306</B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or other jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of incorporation)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(IRS Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>545 Washington Boulevard, Jersey City, NJ 07310 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Address of principal executive offices) (Zip Code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(201) 222-9400 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Registrant&#146;s telephone number, including area code) </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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): </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></TD>
<TD ALIGN="left" VALIGN="top">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></TD>
<TD ALIGN="left" VALIGN="top">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></TD>
<TD ALIGN="left" VALIGN="top">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </TD></TR></TABLE> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>

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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;7.01</B></TD>
<TD ALIGN="left" VALIGN="top"><B>Regulation FD Disclosure </B></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">KCG Holdings, Inc. (the &#147;Company&#148;) announced today
that it has commenced a consent solicitation (the &#147;Consent Solicitation&#148;) with respect to its outstanding 8.250% Senior Secured Notes due 2018 (CUSIP Nos.: U24478AA4, 48244BAA8 and 48244BAB6<B>)</B> (the &#147;Notes&#148;). </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company is soliciting consents from registered holders (&#147;Holders&#148;) of the Notes as of 5:00 p.m., New York City time,
September&nbsp;27, 2013 (the &#147;Record Date&#148;) to amend the terms of (i)&nbsp;the Indenture, dated as of June&nbsp;5, 2013 (as amended and supplemented, the &#147;Indenture&#148;), between the Company, The Bank of New York Mellon, as trustee
and collateral agent (the &#147;Trustee&#148;), and certain subsidiary guarantors (the &#147;Guarantors&#148;), (ii)&nbsp;the Security Agreement, dated July&nbsp;1, 2013, by and among the Company, the Guarantors, and the Trustee (the &#147;Security
Agreement&#148;) and (iii)&nbsp;the Cash Collateral Agreement (the &#147;Cash Collateral Agreement&#148;), dated July&nbsp;1, 2013, by and among the Company, The Bank of New York Mellon, as account custodian , Jefferies Finance LLC, as collateral
agent for the Secured Parties (as defined in the Credit Agreement, defined below) and as gratuitous agent for the Trustee, and acknowledged and agreed to by the Trustee. The Company is seeking Holders&#146; consent to these amendments (the
&#147;Proposed Amendments&#148;) in order to (i)&nbsp;permit the Company to use the funds (the &#147;Collateralized Cash Proceeds&#148;) on deposit in a cash collateral account subject to the Cash Collateral Agreement previously set aside to
purchase, or cause to be purchased, the 3.50% Cash Convertible Senior Subordinated Notes due 2015 (the &#147;2015 Convertible Notes&#148;), issued by Knight Capital Group, Inc., to prepay a portion of the principal amount of borrowings under the
Company&#146;s Credit Agreement (the &#147;Credit Agreement&#148;), dated July&nbsp;1, 2013, with the lenders party thereto, Jefferies Finance LLC, as documentation agent, administrative agent, collateral agent and syndication agent, and Jefferies
Finance LLC and Goldman Sachs Bank USA, as joint lead arrangers and joint book managers from time to time, for a period of 60 days following the effective time of the Proposed Amendments (the &#147;Effective Time&#148;), after which period the
remaining Collateralized Cash Proceeds will be required to be used to prepay a portion of the principal amount of borrowings under the Credit Agreement or (ii)&nbsp;allow the purchase, redemption or repayment of 2015 Convertible Notes in the
Company&#146;s discretion, at any price, including at a premium or at a discount from the face value thereof, with any available cash, including (but only within the period of 60 days following the Effective Time) the Collateralized Cash Proceeds.
These Proposed Amendments will permit the Company to reduce its overall level of indebtedness and debt service costs. The Company will pay each Holder of record as of the Record Date who validly delivers and does not validly revoke its consent on or
prior to the Expiration Time (as defined below) a cash payment of $5.00 for each $1,000 in aggregate principal amount of Notes upon satisfaction or waiver of certain conditions. These conditions (&#147;Conditions&#148;) include but are not limited
to: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">the receipt of the requisite consents (the &#147;Requisite Consents&#148;) of a majority in aggregate principal amount of the then outstanding Notes; </TD></TR></TABLE>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="5%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">the execution and delivery of a supplemental indenture to the Indenture and an amendment to the Security Agreement; </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="5%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">the execution and delivery of an amendment to the Cash Collateral Agreement; and </TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="5%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
<TD WIDTH="1%" VALIGN="top">&nbsp;</TD>
<TD ALIGN="left" VALIGN="top">the execution and delivery of an amendment to the Credit Agreement. </TD></TR></TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Consent Solicitation
will expire at 5:00 p.m., New York City time, on October&nbsp;14, 2013 (the &#147;Expiration Time&#148;), unless terminated or extended by the Company. Consents may be revoked at any time prior to the date on which the Conditions are satisfied or
waived. The Company expects that, promptly after receipt of the Requisite Consents at or prior to the Expiration Time, the Conditions will be satisfied, after which Holders will not be able to revoke their consents. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company may terminate the Consent Solicitation without the obligation to make any cash payment at any time, whether or not the Requisite
Consents have been received. Except for the Proposed Amendments, all of the existing terms of the Notes and the Indenture under which the Notes were issued will remain unchanged. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Consent Solicitation is being made pursuant to a consent solicitation statement (&#147;Consent Solicitation Statement&#148;) dated today,
which sets forth a more comprehensive description of the terms of the Consent Solicitation. This Report on Form 8-K does not set forth all of the terms and Conditions of the Consent Solicitation and is not a solicitation of consents to the Proposed
Amendments. Holders of the Notes should carefully read the Company&#146;s Consent Solicitation Statement, dated September&nbsp;30, 2013, and the accompanying materials for a complete description of all terms and conditions before making any decision
with respect to the Consent Solicitation. The Company does not make any recommendation as to whether or not any Holder should consent to the Proposed Amendments. The solicitation of consents is not being made in any jurisdiction in which, or to or
from any person to or from whom, it is unlawful to make such solicitation under applicable state or foreign securities or &#147;blue sky&#148; laws. </P>

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 <P STYLE="margin-top:0pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Copies of the Consent Solicitation Statement and the consent form may be obtained by Holders of
the Notes from the information and tabulation agent for the Consent Solicitation, i-Deal LLC, 65 Broadway, 16th Floor, New York, New York 10006, Attn: Aaron Dougherty, at (888)&nbsp;593-9546 (toll-free), (212)&nbsp;849-3880 (collect) or by email:
consent@ipreo.com. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Jefferies LLC is the solicitation agent for the Consent Solicitation. Questions may be directed to The Metro Center,
One Station Place, Three North, Stamford, Connecticut 06902, Attention: Justin Polselli, at (888)&nbsp;708-5831 (toll-free) or (203)&nbsp;363-8273 (collect). </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">In accordance with general instruction B.2. of Form 8-K, the disclosure above is being furnished pursuant to Item&nbsp;7.01 and the
information contained herein shall not be deemed &#147;filed&#148; for purposes of Section&nbsp;18 of the Securities and Exchange Act of 1934. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Certain statements contained herein may constitute &#147;forward-looking statements&#148; within the meaning of the safe harbor provisions of
the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words such as &#147;believe,&#148; &#147;expect,&#148; &#147;anticipate,&#148; &#147;intend,&#148; &#147;target,&#148;
&#147;estimate,&#148; &#147;continue,&#148; &#147;positions,&#148; &#147;prospects&#148; or &#147;potential,&#148; by future conditional verbs such as &#147;will,&#148; &#147;would,&#148; &#147;should,&#148; &#147;could&#148; or &#147;may,&#148; or
by variations of such words or by similar expressions. These &#147;forward-looking statements&#148; are not historical facts and are based on current expectations, estimates and projections about the Company&#146;s industry, management beliefs and
certain assumptions made by management, many of which, by their nature, are inherently uncertain and beyond our control. Any forward-looking statement contained herein speaks only as of the date on which it is made. We undertake no obligation to
publicly update any forward-looking statement, whether written or oral, that may be made from time to time, whether as a result of new information, future developments or otherwise. Accordingly, readers are cautioned that any such forward-looking
statements are not guarantees of future performance and are subject to certain risks, uncertainties and assumptions that are difficult to predict including, without limitation, risks associated with: (i)&nbsp;the strategic combination of Knight
Capital Group, Inc. (&#147;Knight&#148;) and GETCO Holding Company, LLC (&#147;GETCO&#148;), including, among other things, (a)&nbsp;difficulties and delays in integrating the Knight and GETCO businesses or fully realizing cost savings and other
benefits, (b)&nbsp;the inability to sustain revenue and earnings growth, and (c)&nbsp;customer and client reactions; (ii)&nbsp;the August&nbsp;1, 2012 technology issue at Knight that resulted in Knight&#146;s broker-dealer subsidiary sending
numerous erroneous orders in NYSE-listed and NYSE Arca securities into the market and the impact to Knight&#146;s capital structure and business as well as actions taken in response thereto and consequences thereof; (iii)&nbsp;the costs and risks
associated with Knight&#146;s sale of its institutional fixed income sales and trading business, the Company&#146;s pending sale of its reverse mortgage origination and securitization business and the departures of the managers of the Company&#146;s
listed derivatives group; (iv)&nbsp;the ability of the Company&#146;s broker-dealer subsidiary to recover all or a portion of the damages that are attributable to the manner in which NASDAQ OMX handled the Facebook IPO; (v)&nbsp;changes in market
structure, legislative, regulatory or financial reporting rules, including the continuing legislative and regulatory scrutiny of high-frequency trading; (v)&nbsp;past or future changes to organizational structure and management; (vi)&nbsp;the
Company&#146;s ability to develop competitive new products and services in a timely manner and the acceptance of such products and services by the Company&#146;s customers and potential customers; (vii)&nbsp;the Company&#146;s ability to keep up
with technological changes; (viii)&nbsp;the Company&#146;s ability to effectively identify and manage market risk, operational risk, legal risk, liquidity risk, reputational risk, counterparty risk, international risk, regulatory risk, and
compliance risk; (ix)&nbsp;the cost and other effects of material contingencies, including litigation contingencies, and any adverse judicial, administrative or arbitral rulings or proceedings; and (x)&nbsp;the effects of increased competition and
the Company&#146;s ability to maintain and expand market share. The list above is not exhaustive.&nbsp;Readers should carefully review the risks and uncertainties disclosed in the Company&#146;s and Knight&#146;s reports with the SEC, including,
without limitation, those detailed under the heading &#147;Certain Factors Affecting Results of Operations&#148; in the Company&#146;s Quarterly Report on Form 10-Q for the period ended June&nbsp;30, 2013, under the heading &#147;Risk Factors&#148;
in Knight&#146;s Annual Report on Form 10-K for the year ended December&nbsp;31, 2012, under the heading &#147;Risk Factors&#148; in Exhibit 99.3 to the Company&#146;s Current Report on Form 8-K filed by the Company on August&nbsp;9, 2013, and in
other reports or documents the Company files with, or furnishes to, the SEC from time to time. </P>

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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURE </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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&#146;s duly authorized signatory. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Dated: September&nbsp;30, 2013 </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3">KCG HOLDINGS, INC.</TD></TR>
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<TD HEIGHT="16" COLSPAN="2"></TD></TR>
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<TD VALIGN="top">By:</TD>
<TD VALIGN="bottom"><FONT STYLE="font-size:8pt">&nbsp;</FONT></TD>
<TD VALIGN="bottom"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;/s/ John McCarthy</P></TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Name:</TD>
<TD VALIGN="bottom"><FONT STYLE="font-size:8pt">&nbsp;</FONT></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;&nbsp;&nbsp;John McCarthy</TD></TR>
<TR STYLE="font-family:Times New Roman; font-size:10pt">
<TD VALIGN="top">Title:</TD>
<TD VALIGN="bottom"><FONT STYLE="font-size:8pt">&nbsp;</FONT></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;&nbsp;&nbsp;General Counsel and Corporate Secretary</TD></TR>
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8-K
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): September 30, 2013
KCG HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
DELAWARE
000-54991
38-3898306
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
545 Washington Boulevard, Jersey City, NJ 07310
(Address of principal executive offices) (Zip Code)
(201) 222-9400
(Registrant's 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):
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 7.01
Regulation FD Disclosure
KCG Holdings, Inc. (the "Company") announced today
that it has commenced a consent solicitation (the "Consent Solicitation") with respect to its outstanding 8.250% Senior Secured Notes due 2018 (CUSIP Nos.: U24478AA4, 48244BAA8 and 48244BAB6
)
(the "Notes").
The Company is soliciting consents from registered holders ("Holders") of the Notes as of 5:00 p.m., New York City time,
September 27, 2013 (the "Record Date") to amend the terms of (i) the Indenture, dated as of June 5, 2013 (as amended and supplemented, the "Indenture"), between the Company, The Bank of New York Mellon, as trustee
and collateral agent (the "Trustee"), and certain subsidiary guarantors (the "Guarantors"), (ii) the Security Agreement, dated July 1, 2013, by and among the Company, the Guarantors, and the Trustee (the "Security
Agreement") and (iii) the Cash Collateral Agreement (the "Cash Collateral Agreement"), dated July 1, 2013, by and among the Company, The Bank of New York Mellon, as account custodian , Jefferies Finance LLC, as collateral
agent for the Secured Parties (as defined in the Credit Agreement, defined below) and as gratuitous agent for the Trustee, and acknowledged and agreed to by the Trustee. The Company is seeking Holders' consent to these amendments (the
"Proposed Amendments") in order to (i) permit the Company to use the funds (the "Collateralized Cash Proceeds") on deposit in a cash collateral account subject to the Cash Collateral Agreement previously set aside to
purchase, or cause to be purchased, the 3.50% Cash Convertible Senior Subordinated Notes due 2015 (the "2015 Convertible Notes"), issued by Knight Capital Group, Inc., to prepay a portion of the principal amount of borrowings under the
Company's Credit Agreement (the "Credit Agreement"), dated July 1, 2013, with the lenders party thereto, Jefferies Finance LLC, as documentation agent, administrative agent, collateral agent and syndication agent, and Jefferies
Finance LLC and Goldman Sachs Bank USA, as joint lead arrangers and joint book managers from time to time, for a period of 60 days following the effective time of the Proposed Amendments (the "Effective Time"), after which period the
remaining Collateralized Cash Proceeds will be required to be used to prepay a portion of the principal amount of borrowings under the Credit Agreement or (ii) allow the purchase, redemption or repayment of 2015 Convertible Notes in the
Company's discretion, at any price, including at a premium or at a discount from the face value thereof, with any available cash, including (but only within the period of 60 days following the Effective Time) the Collateralized Cash Proceeds.
These Proposed Amendments will permit the Company to reduce its overall level of indebtedness and debt service costs. The Company will pay each Holder of record as of the Record Date who validly delivers and does not validly revoke its consent on or
prior to the Expiration Time (as defined below) a cash payment of $5.00 for each $1,000 in aggregate principal amount of Notes upon satisfaction or waiver of certain conditions. These conditions ("Conditions") include but are not limited
to:
•
the receipt of the requisite consents (the "Requisite Consents") of a majority in aggregate principal amount of the then outstanding Notes;
•
the execution and delivery of a supplemental indenture to the Indenture and an amendment to the Security Agreement;
•
the execution and delivery of an amendment to the Cash Collateral Agreement; and
•
the execution and delivery of an amendment to the Credit Agreement.
The Consent Solicitation
will expire at 5:00 p.m., New York City time, on October 14, 2013 (the "Expiration Time"), unless terminated or extended by the Company. Consents may be revoked at any time prior to the date on which the Conditions are satisfied or
waived. The Company expects that, promptly after receipt of the Requisite Consents at or prior to the Expiration Time, the Conditions will be satisfied, after which Holders will not be able to revoke their consents.
The Company may terminate the Consent Solicitation without the obligation to make any cash payment at any time, whether or not the Requisite
Consents have been received. Except for the Proposed Amendments, all of the existing terms of the Notes and the Indenture under which the Notes were issued will remain unchanged.
The Consent Solicitation is being made pursuant to a consent solicitation statement ("Consent Solicitation Statement") dated today,
which sets forth a more comprehensive description of the terms of the Consent Solicitation. This Report on Form 8-K does not set forth all of the terms and Conditions of the Consent Solicitation and is not a solicitation of consents to the Proposed
Amendments. Holders of the Notes should carefully read the Company's Consent Solicitation Statement, dated September 30, 2013, and the accompanying materials for a complete description of all terms and conditions before making any decision
with respect to the Consent Solicitation. The Company does not make any recommendation as to whether or not any Holder should consent to the Proposed Amendments. The solicitation of consents is not being made in any jurisdiction in which, or to or
from any person to or from whom, it is unlawful to make such solicitation under applicable state or foreign securities or "blue sky" laws.
Copies of the Consent Solicitation Statement and the consent form may be obtained by Holders of
the Notes from the information and tabulation agent for the Consent Solicitation, i-Deal LLC, 65 Broadway, 16th Floor, New York, New York 10006, Attn: Aaron Dougherty, at (888) 593-9546 (toll-free), (212) 849-3880 (collect) or by email:
consent@ipreo.com.
Jefferies LLC is the solicitation agent for the Consent Solicitation. Questions may be directed to The Metro Center,
One Station Place, Three North, Stamford, Connecticut 06902, Attention: Justin Polselli, at (888) 708-5831 (toll-free) or (203) 363-8273 (collect).
In accordance with general instruction B.2. of Form 8-K, the disclosure above is being furnished pursuant to Item 7.01 and the
information contained herein shall not be deemed "filed" for purposes of Section 18 of the Securities and Exchange Act of 1934.
Certain statements contained herein may constitute "forward-looking statements" within the meaning of the safe harbor provisions of
the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words such as "believe," "expect," "anticipate," "intend," "target,"
"estimate," "continue," "positions," "prospects" or "potential," by future conditional verbs such as "will," "would," "should," "could" or "may," or
by variations of such words or by similar expressions. These "forward-looking statements" are not historical facts and are based on current expectations, estimates and projections about the Company's industry, management beliefs and
certain assumptions made by management, many of which, by their nature, are inherently uncertain and beyond our control. Any forward-looking statement contained herein speaks only as of the date on which it is made. We undertake no obligation to
publicly update any forward-looking statement, whether written or oral, that may be made from time to time, whether as a result of new information, future developments or otherwise. Accordingly, readers are cautioned that any such forward-looking
statements are not guarantees of future performance and are subject to certain risks, uncertainties and assumptions that are difficult to predict including, without limitation, risks associated with: (i) the strategic combination of Knight
Capital Group, Inc. ("Knight") and GETCO Holding Company, LLC ("GETCO"), including, among other things, (a) difficulties and delays in integrating the Knight and GETCO businesses or fully realizing cost savings and other
benefits, (b) the inability to sustain revenue and earnings growth, and (c) customer and client reactions; (ii) the August 1, 2012 technology issue at Knight that resulted in Knight's broker-dealer subsidiary sending
numerous erroneous orders in NYSE-listed and NYSE Arca securities into the market and the impact to Knight's capital structure and business as well as actions taken in response thereto and consequences thereof; (iii) the costs and risks
associated with Knight's sale of its institutional fixed income sales and trading business, the Company's pending sale of its reverse mortgage origination and securitization business and the departures of the managers of the Company's
listed derivatives group; (iv) the ability of the Company's broker-dealer subsidiary to recover all or a portion of the damages that are attributable to the manner in which NASDAQ OMX handled the Facebook IPO; (v) changes in market
structure, legislative, regulatory or financial reporting rules, including the continuing legislative and regulatory scrutiny of high-frequency trading; (v) past or future changes to organizational structure and management; (vi) the
Company's ability to develop competitive new products and services in a timely manner and the acceptance of such products and services by the Company's customers and potential customers; (vii) the Company's ability to keep up
with technological changes; (viii) the Company's ability to effectively identify and manage market risk, operational risk, legal risk, liquidity risk, reputational risk, counterparty risk, international risk, regulatory risk, and
compliance risk; (ix) the cost and other effects of material contingencies, including litigation contingencies, and any adverse judicial, administrative or arbitral rulings or proceedings; and (x) the effects of increased competition and
the Company's ability to maintain and expand market share. The list above is not exhaustive. Readers should carefully review the risks and uncertainties disclosed in the Company's and Knight's reports with the SEC, including,
without limitation, those detailed under the heading "Certain Factors Affecting Results of Operations" in the Company's Quarterly Report on Form 10-Q for the period ended June 30, 2013, under the heading "Risk Factors"
in Knight's Annual Report on Form 10-K for the year ended December 31, 2012, under the heading "Risk Factors" in Exhibit 99.3 to the Company's Current Report on Form 8-K filed by the Company on August 9, 2013, and in
other reports or documents the Company files with, or furnishes to, the SEC from time to time.
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
undersigned's duly authorized signatory.
Dated: September 30, 2013
KCG HOLDINGS, INC.
By:
/s/ John McCarthy
Name:
John McCarthy
Title:
General Counsel and Corporate Secretary