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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): July 29, 2022

INTERACTIVE BROKERS GROUP, INC.

(Exact Name of Registrant as Specified in its Charter)

Delaware

001-33440

30-0390693

(State or Other Jurisdiction
of Incorporation)

(Commission File Number)

(I.R.S. Employer Identification

Number)

One Pickwick Plaza, Greenwich, CT 06830

(Address of Principal Executive Offices) (Zip Code)

(203) 618-5800

(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))

Title of each class

Trading Symbol

Name of the exchange on which registered

Common Stock, par value $.01 per share

  IBKR  

  The Nasdaq Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.


Item 8.01. Other Events.

On July 29, 2022, Mr. Thomas Peterffy, founder and Chairman Interactive Brokers Group, Inc. (the “Company”), adopted a Rule 10b5-1 trading plan to sell 1,000,000 of the Company’s Class A common stock received in partial redemption of his interests in IBG Holdings LLC, as more fully described in the prospectus supplement filed on Form 424b5 (File No. 333-240121) (the “Prospectus Supplement”) with the Securities and Exchange Commission (“SEC”) on August 1, 2022, and other personally held shares. Mr. Peterffy entered into the plan as part of his personal long-term investment strategy for tax, asset diversification and liquidity.

Under the terms of the plan, Mr. Peterffy intends to sell up to 20,000 shares of the Company’s Class A common stock per day at prevailing market prices, subject to the terms of the plan and SEC Rule 144. Mr. Peterffy will not have any control over the timing of the stock sales under the plan. The transactions will occur until the earlier of the date on which all shares are sold, January 28, 2023, or the plan is terminated in accordance with its terms and applicable laws. All transactions under the plan will be disclosed in accordance with applicable securities laws, rules and regulations through appropriate filings with the SEC, as applicable.

Item 9.01. Financial Statements and Exhibits

 (d) Exhibits

Exhibit

Number

 

Description

 

 

 

104

Cover Page Interactive Data File (the cover page XBRL tags are embedded within the Inline XBRL Document).

(*) Filed herewith.

***



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 hereunto duly authorized.

Dated: August 2, 2022

 

 

 

 

INTERACTIVE BROKERS GROUP, INC.

 

 

 

 

By:

/s/ Paul J. Brody

 

Name:

Paul J. Brody

 

Title:

Chief Financial Officer, Treasurer
and Secretary

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