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EX-99.1 - EXHIBIT 99.1 - Global Brokerage, Inc.v462046_ex99-1.htm














Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of Report (Date of Earliest Event Reported): March 20, 2017


Global Brokerage, Inc.


(Exact Name of Registrant as Specified in its Charter)


Delaware   001-34986   27-3268672
(State or Other Jurisdiction of   (Commission File Number)   (IRS Employer
Incorporation)       Identification No.)


55 Water Street, FL 50, New York, NY, 10041

(Address of Principal Executive Offices) (Zip Code)


(646) 432-2986

(Registrant’s Telephone Number, Including Area Code)


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:


 ¨   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 2.02Results of Operations and Financial Condition


On March 20, 2017, Global Brokerage, Inc. (“the Company”) issued a press release announcing financial results for its fourth quarter and year ended December 31, 2016. A copy of this press release is furnished as Exhibit 99.1 to this Form 8-K and is hereby incorporated by reference in this Item 2.02.


The information in this Current Report on Form 8-K and the Exhibit attached hereto is furnished pursuant to the rules and regulations of the Securities and Exchange Commission and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, except as expressly set forth by specific reference in such a filing. 


Item 7.01Regulation FD Disclosure


The information set forth under Item 2.02, “Results of Operations and Financial Condition”, is incorporated herein by reference.


Item 9.01.Financial Statements and Exhibits.


(a)Financial statements of businesses acquired: None
(b)Pro forma financial information: None
(c)Shell company transactions: None
(d)Exhibits: Press release, dated March 20, 2017, issued by Global Brokerage, Inc.


Exhibit No.   Exhibit Description
99.1**   Press Release dated March 20, 2017





**       Furnished herewith.







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.




  By:   /s/ David S. Sassoon  
    Name:   David S. Sassoon  
    Title:   General Counsel  
Date: March 20, 2017        





Exhibit Index


Exhibit No.   Description
99.1   Press Release dated as of March 20, 2017