KNIGHT CAPITAL GROUP LLC

Delisted

CIK 0001060749Large AcceleratedWell Known Seasoned IssuerSecurity Brokers, Dealers & Flotation CompaniesDelawareFY ends Dec 31

Period

FY 2012

Revenue

$736.09M

Net Income

$-347.07M

Total Assets

$9.78B

Equity

$1.25B

Shares Out

375.13M

Op. Cash Flow

$-339.47M

+ 13F Filer

Business

KNIGHT CAPITAL GROUP LLC is a former operating company in Security Brokers, Dealers & Flotation Companies, incorporated in Delaware. Securities are no longer actively traded on a major U.S. exchange.

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Financials

Consolidated Statement of Income

Year Ended · In millions, except per-share amounts

Concept	FY 2012 2012-12-31	FY 2011 2011-12-31	FY 2010 2010-12-31	FY 2009 2009-12-31	FY 2008 2008-12-31
Commissions and fees	653	750	661	670	478
Net trading revenue	50	632	489	487	447
Interest, net	25	5	2	−2	—
Investment income (loss) and other, net	8	18	−3	—	—
Total revenues	736	1,405	1,149	1,162	939
Employee compensation and benefits	525	584	547	527	331
Execution and clearance fees	200	229	176	170	107
Communications and data processing	98	87	70	61	45
Payments for order flow	91	85	38	72	44
Interest	53	42	26	5	5
Depreciation and amortization	50	54	43	34	27
Professional fees	32	21	17	13	15
Occupancy and equipment rentals	27	28	27	23	—
Business development	21	23	19	19	17
Writedown of assets and lease loss accrual	143	3	1	−10	—
Restructuring	—	29	17	—	—
Other	32	32	19	15	9
Total expenses	1,273	1,217	999	930	621
(Loss) Income from continuing operations before income taxes	−537	187	150	233	—
Income tax (benefit) expense	−190	71	58	81	140
(Loss) Income from continuing operations, net of tax	−347	116	92	152	194
Loss from discontinued operations, net of tax	—	−404,000	−359,000	−35	−16
Net (loss) income	−347	115	92	117	178
Dividend on convertible preferred shares	−2	—	—	—	—
Deemed dividend related to beneficial conversion feature of convertible preferred shares	−373	—	—	—	—
Net (loss) income attributable to common stockholders	−723	115	92	—	—
Basic (loss) earnings per share from continuing operations	−6.05	1.26	1.02	1.7	2.19
Diluted (loss) earnings per share from continuing operations	−6.05	1.22	0.97	1.6	2.11
Basic (loss) earnings per share	−6.05	1.26	1.02	1.31	2.01
Diluted (loss) earnings per share	−6.05	1.21	0.97	1.24	1.94
Shares used in computation of basic earnings per share	119	91	90	89	88
Shares used in computation of diluted earnings per share	119	95	94	95	92

Consolidated Balance Sheet

As of · In millions, except per-share amounts

Concept	FY 2012 2012-12-31	FY 2011 2011-12-31	FY 2010 2010-12-31	FY 2009 2009-12-31	FY 2008 2008-12-31
Cash and cash equivalents	414	468	376	427	417
Cash and securities segregated under federal and other regulations	167	11	—	—	—
Equities	1,464	1,416	1,299	—	—
Debt securities	250	135	77	—	—
Listed equity options	202	280	42	—	—
Loan inventory	192	207	146	—	—
Other financial instruments	237,000	21	38	—	—
Securitized HECM loan inventory	4,055	1,723	0	—	—
Total financial instruments owned, at fair value	6,163	3,782	1,603	927	—
Securities borrowed	1,009	1,495	1,361	394	—
Receivable from brokers, dealers and clearing organizations	1,150	624	476	500	—
Fixed assets and leasehold improvements, at cost, less accumulated depreciation and amortization	108	111	118	99	—
Investments	78	83	81	119	—
Goodwill	214	338	339	266	—
Intangible assets, less accumulated amortization	65	93	110	93	—
Income taxes receivable	153	10	—	—	—
Other assets	258	139	207	190	—
Total assets	9,778	7,153	4,666	3,014	—
Equities	1,165	1,370	1,165	—	—
Debt securities	318	63	61	—	—
Listed equity options	156	255	41	—	—
Other financial instruments	6	35	45	—	—
Total financial instruments sold, not yet purchased, at fair value	1,645	1,722	1,311	639	—
Securities loaned	504	698	528	550	—
Financial instruments sold under agreements to repurchase	466	420	485	—	—
Other secured financings	146	59	36	—	—
Liability to GNMA trusts, at fair value	4,003	1,711	—	—	—
Total collateralized financings	5,120	2,888	—	—	—
Payable to brokers, dealers and clearing organizations	403	323	337	155	—
Payable to customers	389	24	—	—	—
Accrued compensation expense	154	189	186	205	—
Accrued expenses and other liabilities	198	121	114	110	—
Long-term debt	389	424	311	—	—
Total liabilities	8,296	5,691	3,309	1,800	—
Commitments and Contingent Liabilities (Note 22)	—	—	—	—	—
Class A Common stock Shares authorized: 500,000 at December 31, 2012 and 2011; Shares issued: 274,821 at December 31, 2012 and 166,361 at December 31, 2011; Shares outstanding: 202,056 at December 31, 2012 and 96,645 at December 31, 2011	3	2	2	2	—
Additional paid-in capital	1,400	851	807	747	—
Retained earnings Retained earnings	711	1,433	1,317	1,229	—
Treasury stock, at cost; 72,765 at December 31, 2012 and 69,717 shares at December 31, 2011	−859	−823	−766	−764	—
Accumulated other comprehensive (loss)	−2	−773,000	−265,000	—	—
Total equity	1,253	1,462	1,361	1,214	—
Total liabilities, convertible preferred stock and equity	9,778	7,153	4,670	3,014	—

Consolidated Statement of Cash Flows

Year Ended · In millions, except per-share amounts

Concept	FY 2012 2012-12-31	FY 2011 2011-12-31	FY 2010 2010-12-31	FY 2009 2009-12-31	FY 2008 2008-12-31
Stock-based compensation	52	48	52	48	28
Debt discount accretion and other debt related expenses	17	16	11	—	—
Unrealized loss on investments	1	363,000	8	−3	37
Non-cash restructuring charges	—	12	—	—	—
Deferred income taxes	−72	−2	−8	−5	7
Deferred rent	−1	328,000	5	—	—
Operating activities from discontinued operations	—	−1	−1	−6	8
Cash and securities segregated under federal and other regulations	−35	−5	27	—	—
Financial instruments owned, at fair value	−2,398	−2,195	−643	−450	−64
Securities borrowed	486	−134	−967	−383	29
Receivable from brokers, dealers and clearing organizations	−166	−148	24	−171	18
Income taxes receivable	−143	20	−27	—	—
Other assets	−48	32	−6	−56	−65
Financial instruments sold, not yet purchased, at fair value	−60	427	638	254	50
Securities loaned	−194	170	−22	550	—
Financial instruments sold under agreements to repurchase	46	−65	485	—	—
Other secured financings	87	24	36	—	—
Liability to GNMA trusts, at fair value	2,292	1,711	—	—	—
Payable to brokers and dealers and clearing organizations	80	−15	182	57	−19
Payable to customers	−107	—	—	—	—
Accrued compensation expense	−33	1	−18	33	59
Accrued expenses and other liabilities	9	31	2	−26	—
Net cash (used in) provided by operating activities	−339	100	−87	20	264
Distributions from investments	33	24	38	64	—
Purchases of investments	−28	−27	−8	−8	−13
Purchases of fixed assets and leasehold improvements	−32	−38	−49	−42	−37
Purchase of referral rights	—	—	−3	—	—
Purchase of customer list	—	—	−1	—	—
Purchase of intangible asset	−50,000	—	—	—	—
Purchase of noncontrolling interest	—	—	−1	—	—
Payment of contingent consideration	−625,000	−625,000	—	—	—
Purchases of business, net of cash acquired	−3	−625,000	−48	—	−77
Net cash used in investing activities	−30	−41	−73	14	13
Proceeds of convertible preferred stock offering, net of issuance costs of $40,519	359	—	—	—	—
Proceeds from term credit agreement	—	98	—	—	70
Proceeds from revolving credit agreement	200	—	—	—	—
Repayment of revolving credit agreement	−200	—	—	—	—
Proceeds from issuance of cash convertible notes	—	—	364	—	—
Repayment of credit facility	—	—	−140	—	—
Purchase of call options	—	—	−74	—	—
Proceeds from issuance of warrants	—	—	15	—	—
Stock options exercised	1	1	6	11	10
Income tax provision related to stock-based compensation	−6	−6	−3	4	6
Cost of common stock repurchased	−36	−59	−60	−33	−138
Payment of dividend related to convertible preferred shares	−1	—	—	—	—
Net cash provided by financing activities	318	34	108	−24	−51
Effect of exchange rate changes on cash and cash equivalents	−1	−508,000	−265,000	—	—
(Decrease) increase in cash and cash equivalents	−54	92	−52	10	226
Cash paid for interest	50	24	22	5	5
Cash paid for income taxes	45	62	59	87	115

Filings

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Holdings (13F)

Portfolio as of 2013-06-30 · 3,276 positions

Reported AUM

$5.40B

Holdings

3.3K

Top sector

$5.40B

Top sectors

Sector	Value	% of portfolio
Uncategorized	$5.40B	100.0%

Top holdings

Issuer	Ticker	Shares	Value	%
GOOGLE INC	—	150.0K	$132.06M	2.5%
APPLE INC	—	316.1K	$125.34M	2.3%
SPDR TR	—	661.2K	$106.07M	2.0%
APPLE INC	—	247.2K	$98.02M	1.8%
GOOGLE INC	—	110.5K	$97.28M	1.8%
SPDR TR	—	372.8K	$59.80M	1.1%
SPDR GOLD TRUST	—	454.8K	$54.17M	1.0%
RYDEX S&P EQUAL WEIGHT ETF	—	856.0K	$52.45M	1.0%
ISHARES HIGH DIVIDEND EQUITY F	—	769.1K	$51.02M	0.9%
APPLE INC	—	126.2K	$49.99M	0.9%

Frequently asked questions

What is KNIGHT CAPITAL GROUP LLC's CIK number?

KNIGHT CAPITAL GROUP LLC's SEC CIK number is 0001060749 (1060749). The CIK (Central Index Key) is the permanent identifier the SEC assigns to every EDGAR filer — unlike a ticker symbol, it never changes.

Where can I find KNIGHT CAPITAL GROUP LLC's SEC filings?

All of KNIGHT CAPITAL GROUP LLC's EDGAR filings — 10-K annual reports, 10-Q quarterly reports, 8-K material events, and insider transactions — are listed on this page, sourced live from SEC EDGAR.

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