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 <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="4"><B>UNITED STATES </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:ARIAL" SIZE="4"><B>SECURITIES AND EXCHANGE COMMISSION </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>Washington, D.C. 20549 </B></FONT></P>
<P STYLE="font-size:18px;margin-top:0px;margin-bottom:0px">&nbsp;</P> <P STYLE="line-height:0px;margin-top:0px;margin-bottom:2px;border-bottom:0.5pt solid #000000">&nbsp;</P> <P STYLE="margin-top:10px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:ARIAL" SIZE="4"><B>FORM 8-K </B></FONT></P> <P STYLE="font-size:18px;margin-top:0px;margin-bottom:0px">&nbsp;</P> <P STYLE="margin-top:10px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>CURRENT
REPORT </B></FONT></P> <P STYLE="margin-top:10px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>Pursuant to Section&nbsp;13 or 15(d) of the </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:ARIAL" SIZE="2"><B>Securities Exchange Act of 1934 </B></FONT></P> <P STYLE="margin-top:10px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>Date of Report (Date of earliest event reported): October
15, 2013 </B></FONT></P> <P STYLE="font-size:10px;margin-top:0px;margin-bottom:0px">&nbsp;</P> <P STYLE="margin-top:4px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="5"><B>KCG HOLDINGS, INC. </B></FONT></P>
<P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>(Exact name of registrant as specified in its charter) </B></FONT></P> <P STYLE="font-size:18px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
<P STYLE="font-size:10px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>DELAWARE</B></FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>000-54991</B></FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>38-3898306</B></FONT></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>(State or other jurisdiction</B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:1px" ALIGN="center"><FONT
STYLE="font-family:ARIAL" SIZE="1"><B>of incorporation)</B></FONT></P></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="bottom" ALIGN="center"> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>(Commission</B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:1px" ALIGN="center"><FONT
STYLE="font-family:ARIAL" SIZE="1"><B>File Number)</B></FONT></P></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="bottom" ALIGN="center"> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>(IRS Employer</B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:1px" ALIGN="center"><FONT
STYLE="font-family:ARIAL" SIZE="1"><B>Identification No.)</B></FONT></P></TD></TR>
</TABLE> <P STYLE="margin-top:14px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>545 Washington Boulevard, Jersey City, NJ 07310 </B></FONT></P>
<P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>(Address of principal executive offices) (Zip Code) </B></FONT></P> <P STYLE="margin-top:10px;margin-bottom:0px" ALIGN="center"><FONT
STYLE="font-family:ARIAL" SIZE="1"><B>(201) 222-9400 </B></FONT></P> <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="1"><B>(Registrant&#146;s telephone number, including area code) </B></FONT></P>
<P STYLE="font-size:18px;margin-top:0px;margin-bottom:0px">&nbsp;</P> <P STYLE="margin-top:10px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="1">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): </FONT></P> <P STYLE="font-size:10px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:ARIAL" SIZE="2"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT><FONT STYLE="font-family:ARIAL" SIZE="2"></FONT></FONT></TD>

<TD WIDTH="1%" VALIGN="top"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:ARIAL" SIZE="2">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </FONT></P></TD></TR></TABLE>
<P STYLE="font-size:10px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:ARIAL" SIZE="2"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT><FONT STYLE="font-family:ARIAL" SIZE="2"></FONT></FONT></TD>

<TD WIDTH="1%" VALIGN="top"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:ARIAL" SIZE="2">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) </FONT></P></TD></TR></TABLE>
<P STYLE="font-size:10px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
<TR>
<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:ARIAL" SIZE="2"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT><FONT STYLE="font-family:ARIAL" SIZE="2"></FONT></FONT></TD>

<TD WIDTH="1%" VALIGN="top"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:ARIAL" SIZE="2">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) </FONT></P></TD></TR></TABLE>
<P STYLE="font-size:10px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
<TABLE STYLE="BORDER-COLLAPSE:COLLAPSE" BORDER="0" CELLPADDING="0" CELLSPACING="0" WIDTH="100%">
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<TD WIDTH="3%" VALIGN="top" ALIGN="left"><FONT STYLE="font-family:ARIAL" SIZE="2"><FONT STYLE="font-family:Times New Roman" SIZE="2"><FONT STYLE="FONT-FAMILY:WINGDINGS">&#168;</FONT></FONT><FONT STYLE="font-family:ARIAL" SIZE="2"></FONT></FONT></TD>

<TD WIDTH="1%" VALIGN="top"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD ALIGN="left" VALIGN="top"> <P ALIGN="left"><FONT STYLE="font-family:ARIAL" SIZE="2">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) </FONT></P></TD></TR></TABLE>

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 <P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>Item&nbsp;1.01 Entry into a Material Definitive Agreement </B></FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">As previously announced, on September&nbsp;30, 2013, KCG Holdings, Inc. (the &#147;Company&#148;) 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;) pursuant to a Consent Solicitation Statement (the &#147;Consent Solicitation
Statement&#148;) dated as of September&nbsp;30, 2013. The Company was 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,
among other things, the terms of the Indenture, dated as of June&nbsp;5, 2013 (as amended and supplemented, the &#147;Indenture&#148;), among 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;). As a condition to the effectiveness of the amendment to the Indenture and as stated in the Consent Solicitation Statement, the Company also intended to enter into an amendment to its Credit
Agreement (the &#147;Credit Agreement&#148;), dated as of July&nbsp;1, 2013, with the lenders party thereto, Jefferies Finance LLC (the &#147;Credit Agreement Agent&#148;), 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. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">On October 15, the Company
announced that it had received, as of 5:00 p.m., New York City time, on October&nbsp;14, 2013, valid consents from the Holders of $304,022,000 in aggregate principal amount of the Notes, representing 99.68% of the total aggregate principal amount of
the Notes. Therefore the Company has received the requisite consents to amend the Indenture. </FONT></P> <P STYLE="margin-top:18px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2"><I>Third Supplemental Indenture </I></FONT></P>
<P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">On October 15, 2013, the Company entered into the Third Supplemental Indenture (the &#147;Third Supplemental Indenture&#148;) with the Trustee to amend the
Indenture to allow the purchase, redemption or repayment of the 3.50% Cash Convertible Senior Subordinated Notes due 2015 (the &#147;2015 Convertible Notes&#148;), issued by Knight Capital Group, Inc., 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. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">The Third Supplemental Indenture took effect on
October&nbsp;15, 2013 in accordance with its terms. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">The foregoing description of the Third Supplemental Indenture is qualified in its entirety by
reference to the complete copy of that agreement that is filed as Exhibit 4.1 to this Current Report on Form 8-K and is incorporated by reference herein. </FONT></P>
<P STYLE="margin-top:18px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2"><I>First Amendment and Consent to Credit Agreement </I></FONT></P> <P STYLE="margin-top:6px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">On October
15, 2013, the Company and Guarantors entered into the First Amendment and Consent to Credit Agreement (the &#147;Credit Agreement Amendment&#148;) with the lenders party thereto and the Credit Agreement Agent. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">The Credit Agreement Amendment requires the Company to prepay a portion of the principal amount of borrowings under the Credit Agreement on the first business day
(the &#147;Cash Collateral Prepayment Date&#148;) after the 60th day from October&nbsp;15, 2013 by using any remaining funds (all such funds, the &#147;Collateralized Cash Proceeds&#148;) on deposit in a cash collateral account previously set aside
to purchase, or cause to be purchased, the 2015 Convertible Notes. The Company may also prepay a portion of the principal amount of borrowings under the Credit Agreement out of the Collateralized Cash Proceeds prior to the Cash Collateral Prepayment
Date by giving no less than 3 business days&#146; prior notice to the Credit Agreement Agent. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">The Credit Agreement Amendment also permits the purchase,
redemption or repayment of the 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. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">The Credit Agreement Amendment took effect on October&nbsp;15, 2013 in accordance with its terms. </FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT
STYLE="font-family:ARIAL" SIZE="2">The foregoing description of the Credit Agreement Amendment is qualified in its entirety by reference to the complete copy of that agreement that is filed as Exhibit 10.1 to this Current Report on Form 8-K and is
incorporated by reference herein. </FONT></P>

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 <P STYLE="margin-top:0px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>Item&nbsp;9.01 Financial Statements and Exhibits</B> <B> </B></FONT></P>
<P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:ARIAL" SIZE="2">Exhibit&nbsp;4.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:ARIAL" SIZE="2">Third Supplemental Indenture, dated as of October 15, 2013, by and among the Company, the Guarantors and the Trustee in connection with the Indenture governing the Company&#146;s 8.250%
senior secured notes due 2018 in the aggregate principal amount of $305,000,000, filed as Exhibit 4.7 to KCG&#146;s Form 8-K filed on July&nbsp;1, 2013 (File No. 000-54991) and incorporated herein by reference.</FONT></TD></TR>
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<TD HEIGHT="8" COLSPAN="2"></TD></TR>
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<TD VALIGN="top" NOWRAP><FONT STYLE="font-family:ARIAL" SIZE="2">Exhibit&nbsp;10.1</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:ARIAL" SIZE="2">First Amendment and Consent to Credit Agreement, dated as of October 15, 2013, by and among the Company, the Guarantors, the lenders party thereto and the Credit Agreement Agent amending the
Credit Agreement filed as Exhibit 10.1 to KCG&#146;s Form 8-K filed on July 1, 2013 (File No. 000-54991) and incorporated herein by reference.</FONT></TD></TR>
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 <P STYLE="margin-top:0px;margin-bottom:0px" ALIGN="center"><FONT STYLE="font-family:ARIAL" SIZE="2"><B>SIGNATURE </B></FONT></P> <P STYLE="margin-top:12px;margin-bottom:0px"><FONT
STYLE="font-family:ARIAL" SIZE="2">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. </FONT></P>
<P STYLE="margin-top:12px;margin-bottom:0px"><FONT STYLE="font-family:ARIAL" SIZE="2">Dated: October 16, 2013 </FONT></P> <P STYLE="font-size:12px;margin-top:0px;margin-bottom:0px">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"><FONT STYLE="font-family:ARIAL" SIZE="2">KCG HOLDINGS, INC.</FONT></TD></TR>
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<TD HEIGHT="16"></TD>
<TD HEIGHT="16" COLSPAN="2"></TD></TR>
<TR>
<TD VALIGN="top"><FONT STYLE="font-family:ARIAL" SIZE="2">By:</FONT></TD>
<TD VALIGN="bottom" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top" STYLE="BORDER-BOTTOM:1px solid #000000"><FONT STYLE="font-family:ARIAL" SIZE="2">&nbsp;&nbsp;/s/ John McCarthy</FONT></TD></TR>
<TR>
<TD VALIGN="top"><FONT STYLE="font-family:ARIAL" SIZE="2">Name:</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:ARIAL" SIZE="2">&nbsp;&nbsp;John McCarthy</FONT></TD></TR>
<TR>
<TD VALIGN="top"><FONT STYLE="font-family:ARIAL" SIZE="2">Title:</FONT></TD>
<TD VALIGN="bottom"><FONT SIZE="1">&nbsp;</FONT></TD>
<TD VALIGN="top"><FONT STYLE="font-family:ARIAL" SIZE="2">&nbsp;&nbsp;General Counsel and Corporate &nbsp;&nbsp;Secretary</FONT></TD></TR>
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{"company-data": {"conformed-name": "KCG Holdings, Inc.", "cik": "0001569391", "assigned-sic": "6211", "irs-number": "000000000", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "000-54991", "film-number": "131153211"}, "business-address": {"street1": "545 WASHINGTON BOULEVARD", "city": "JERSEY CITY", "state": "NJ", "zip": "07310", "phone": "201-222-9400"}, "mail-address": {"street1": "545 WASHINGTON BOULEVARD", "city": "JERSEY CITY", "state": "NJ", "zip": "07310"}, "former-company": {"former-conformed-name": "Knight Holdco, Inc.", "date-changed": "20130211"}}
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): October
15, 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 1.01 Entry into a Material Definitive Agreement
As previously announced, on September 30, 2013, KCG Holdings, Inc. (the "Company") 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") pursuant to a Consent Solicitation Statement (the "Consent Solicitation
Statement") dated as of September 30, 2013. The Company was 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,
among other things, the terms of the Indenture, dated as of June 5, 2013 (as amended and supplemented, the "Indenture"), among the Company, The Bank of New York Mellon, as trustee and collateral agent (the "Trustee"), and
certain subsidiary guarantors (the "Guarantors"). As a condition to the effectiveness of the amendment to the Indenture and as stated in the Consent Solicitation Statement, the Company also intended to enter into an amendment to its Credit
Agreement (the "Credit Agreement"), dated as of July 1, 2013, with the lenders party thereto, Jefferies Finance LLC (the "Credit Agreement Agent"), 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.
On October 15, the Company
announced that it had received, as of 5:00 p.m., New York City time, on October 14, 2013, valid consents from the Holders of $304,022,000 in aggregate principal amount of the Notes, representing 99.68% of the total aggregate principal amount of
the Notes. Therefore the Company has received the requisite consents to amend the Indenture.
Third Supplemental Indenture
On October 15, 2013, the Company entered into the Third Supplemental Indenture (the "Third Supplemental Indenture") with the Trustee to amend the
Indenture to allow the purchase, redemption or repayment of the 3.50% Cash Convertible Senior Subordinated Notes due 2015 (the "2015 Convertible Notes"), issued by Knight Capital Group, Inc., 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.
The Third Supplemental Indenture took effect on
October 15, 2013 in accordance with its terms.
The foregoing description of the Third Supplemental Indenture is qualified in its entirety by
reference to the complete copy of that agreement that is filed as Exhibit 4.1 to this Current Report on Form 8-K and is incorporated by reference herein.
First Amendment and Consent to Credit Agreement
On October
15, 2013, the Company and Guarantors entered into the First Amendment and Consent to Credit Agreement (the "Credit Agreement Amendment") with the lenders party thereto and the Credit Agreement Agent.
The Credit Agreement Amendment requires the Company to prepay a portion of the principal amount of borrowings under the Credit Agreement on the first business day
(the "Cash Collateral Prepayment Date") after the 60th day from October 15, 2013 by using any remaining funds (all such funds, the "Collateralized Cash Proceeds") on deposit in a cash collateral account previously set aside
to purchase, or cause to be purchased, the 2015 Convertible Notes. The Company may also prepay a portion of the principal amount of borrowings under the Credit Agreement out of the Collateralized Cash Proceeds prior to the Cash Collateral Prepayment
Date by giving no less than 3 business days' prior notice to the Credit Agreement Agent.
The Credit Agreement Amendment also permits the purchase,
redemption or repayment of the 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.
The Credit Agreement Amendment took effect on October 15, 2013 in accordance with its terms.
The foregoing description of the Credit Agreement Amendment is qualified in its entirety by reference to the complete copy of that agreement that is filed as Exhibit 10.1 to this Current Report on Form 8-K and is
incorporated by reference herein.
Item 9.01 Financial Statements and Exhibits
Exhibit 4.1
Third Supplemental Indenture, dated as of October 15, 2013, by and among the Company, the Guarantors and the Trustee in connection with the Indenture governing the Company's 8.250%
senior secured notes due 2018 in the aggregate principal amount of $305,000,000, filed as Exhibit 4.7 to KCG's Form 8-K filed on July 1, 2013 (File No. 000-54991) and incorporated herein by reference.
Exhibit 10.1
First Amendment and Consent to Credit Agreement, dated as of October 15, 2013, by and among the Company, the Guarantors, the lenders party thereto and the Credit Agreement Agent amending the
Credit Agreement filed as Exhibit 10.1 to KCG's Form 8-K filed on July 1, 2013 (File No. 000-54991) and incorporated herein by reference.
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: October 16, 2013
KCG HOLDINGS, INC.
By:
/s/ John McCarthy
Name:
John McCarthy
Title:
General Counsel and Corporate   Secretary