NYFX » Topics » SECURITIES EXCHANGE ACT OF 1934

This excerpt taken from the NYFX 8-K filed Oct 9, 2007.
SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): October 2, 2007

NYFIX, INC.
(Exact name of registrant as specified in its charter)

Delaware 0-21324 06-1344888
(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)

100 Wall Street, 26th Floor, New York, New York 10005
(Address of principal executive offices)

Registrant’s telephone number, including area code: 646-525-3000

______________________________________________________
(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 (see General Instruction A.2.
below):

o      Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o      Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 

o

o      

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))

 



 


This excerpt taken from the NYFX 8-K filed Aug 10, 2007.

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): August 6, 2007

NYFIX, INC.

(Exact name of registrant as specified in its charter)

Delaware
(State or other jurisdiction of incorporation)

0-21324
(Commission File Number)

06-1344888
(IRS Employer
Identification No.)

100 Wall Street, 26th Floor, New York, New York  10005

(Address of principal executive offices)

Registrant’s telephone number, including area code: 646-525-3000

______________________________________________________

(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 (see General Instruction A.2. below):

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Item 2.02.

Results of Operations and Financial Condition

On August 6, 2007, NYFIX, Inc. (the “Company”) issued a press release, a copy of which is furnished as Exhibit 99.1 to this Report (the “Press Release”), which includes certain information with respect to the Company’s results of operations for the twelve-month period ended December 31, 2006. The information in the Press Release with respect to “Financial Highlights from the audited full-year 2006” is hereby incorporated by reference in this Item 2.02.

 

Item 8.01.

Other Events.

The Press Release also announces the filing of the Company’s Annual Report on Form 10-K for the year ended December 31, 2006 and the filing of the Company’s three Quarterly Reports on Form 10-Q for the quarters ended March 31, 2006, June 30, 2006 and September 30, 2006, respectively. Additionally, the Press Release includes an update on the anticipated filing of the Company’s Quarterly Reports on Form 10-Q for the first and second quarters of 2007, and certain information with respect to pending option exercises.

This excerpt taken from the NYFX 8-K filed Apr 16, 2007.

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): April 10, 2007

NYFIX, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

0-21324

06-1344888

 

(State or other jurisdiction

(Commission

(IRS Employer

 

of incorporation)

File Number)

Identification No.)

100 Wall Street, 26th Floor, New York, New York  10005

(Address of principal executive offices)

Registrant’s telephone number, including area code: 212 809-3542

______________________________________________________

(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 (see General Instruction A.2. below):

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

Item 5.02.

Departure of Directors or Principal Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(b)          On April 10, 2007, Peter Kilbinger Hansen informed NYFIX, Inc. (the “Company”) of his resignation from the Company’s Board of Directors, effective April 10, 2007.

 

 

2

 

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.

 

NYFIX, INC.

 

 

 

By:

                  /s/ Scott A. Bloom            

 

Name:

Scott A. Bloom

 

Title:

Executive Vice President,

Corporate Development

Dated: April 16, 2007

 

 

 

3

 

 

This excerpt taken from the NYFX 8-K filed Apr 16, 2007.

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): November 29, 2006

NYFIX, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

0-21324

06-1344888

 

(State or other jurisdiction

(Commission

(IRS Employer

 

of incorporation)

File Number)

Identification No.)

100 Wall Street, 26th Floor, New York, New York  10005

(Address of principal executive offices)

Registrant’s telephone number, including area code: 212 809-3542

______________________________________________________

(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 (see General Instruction A.2. below):

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

This excerpt taken from the NYFX 8-K filed Mar 8, 2007.

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): March 6, 2007

NYFIX, INC.

(Exact name of registrant as specified in its charter)

Delaware
(State or other jurisdiction of incorporation)

0-21324
(Commission File Number)

06-1344888
(IRS Employer
Identification No.)

100 Wall Street, 26th Floor, New York, New York  10005

(Address of principal executive offices)

Registrant’s telephone number, including area code: 212 809-3542

______________________________________________________

(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 (see General Instruction A.2. below):

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

Item 2.02.

Results of Operations and Financial Condition

On March 6, 2007, NYFIX, Inc. (the “Company”) issued a press release, a copy of which is filed as Exhibit 99.1 to this Report (the “Press Release”), which includes certain information with respect to the Company’s results of operations during the three month and twelve month periods ended December 31, 2006. The information contained under the headings “Unaudited Divisional Revenues for the Three Months and Twelve Months Ended December 31, 2006”, “Unaudited Revenues for the Three Months Ended December 31, 2006” and “Unaudited Revenues for the Twelve Months Ended December 31, 2006” in the Press Release is hereby incorporated by reference in this Item 2.02.

Item 8.01.

Other Events.

The Press Release also announces the filing of the Company’s Annual Report on Form 10-K for the year ended December 31, 2005.

This excerpt taken from the NYFX 8-K filed Feb 28, 2007.

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): February 28, 2007

NYFIX, INC.

(Exact name of registrant as specified in its charter)

Delaware
(State or other jurisdiction of incorporation)

0-21324
(Commission File Number)

06-1344888
(IRS Employer
Identification No.)

100 Wall Street, 26th Floor, New York, New York  10005

(Address of principal executive offices)

Registrant’s telephone number, including area code: 212 809-3542

______________________________________________________

(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 (see General Instruction A.2. below):

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

Item 8.01.

Other Events.

At a special meeting of stockholders held on February 27, 2007, the stockholders of NYFIX, Inc. (“NYFIX” or the “Company”) approved an amendment to the Company’s Restated Certificate of Incorporation to increase the number of authorized shares of common stock from 60,000,000 to 100,000,000 shares.

 

2

 

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.

 

NYFIX, INC.

 

 

 

By:

/s/ Brian Bellardo
__________________________

Name: Brian Bellardo

 

Title:

Secretary

Dated: February 28, 2007

 

 

3

 

 

This excerpt taken from the NYFX 8-K filed Jan 6, 2006.

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): December 31, 2005

 

 

NYFIX, INC.

(Exact name of registrant as specified in its charter)

 

 

 

 

 

 

Delaware

0-21324

06-1344888

(State or other jurisdiction
of incorporation)

(Commission
File Number)

(IRS Employer
Identification No.)

 

 

 

 

 

 

333 Ludlow Street, Stamford, Connecticut 06902

(Address of principal executive offices)

 

 

Registrant's telephone number, including area code: 203-425-8000

 

 

(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 (see General Instruction A.2. below):

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 



 

 

 

Item 1.02.

Termination of a Material Definitive Agreement.

Effective December 31, 2005, the Employee Agreement of Keith Jamaitis with NYFIX, Inc. (the “Company”) terminated. Beginning January 1, 2006, the Company is paying Mr. Jamaitis severance pay equal to 16 weeks of his base salary and is paying for 16 weeks of continued medical and dental coverage for Mr. Jamaitis and his family. The Company is negotiating additional severance payments to Mr. Jamaitis in exchange for certain commitments on his part.

 

 



 

 

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.

 

 

NYFIX, INC.

 

 

 

 

 

 

 

 

 

By:

/s/ Brian Bellardo

 

 

Name:  Brian Bellardo

 

Title:    Secretary

Dated: January 6, 2006

 

 

3

 

 

 

 

This excerpt taken from the NYFX 8-K filed Nov 8, 2005.

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): November 7, 2005

 

NYFIX, INC.

(Exact name of registrant as specified in its charter)

 

 

 

 

 

 

Delaware

0-21324

06-1344888

(State or other jurisdiction

(Commission

(IRS Employer

of incorporation)

File Number)

Identification No.)

 

 

 

333 Ludlow Street, Stamford, Connecticut 06902

(Address of principal executive offices)

 

Registrant's telephone number, including area code: 203-425-8000

 

 

(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 (see General Instruction A.2. below):

o           Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o           Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o           Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o           Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 



 

 

Item 8.01.

Other Events.

On November 7, 2005, NYFIX, Inc. (the “Company”) announced that NYFIX Millennium had executed a record number of shares of NYSE- and AMEX-listed securities on November 2, 2005. The text of a press release issued by the Company is furnished as Exhibit 99.1.

Item 9.01.

Financial Statements and Exhibits.

(c)

Exhibits

 

 

Exhibit No.

Exhibits

 

 

 

99.1

Press release of NYFIX, Inc. dated November 7, 2005.

 

 

2

 

 



 

 

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.

NYFIX, INC.

 

 

By: /s/ Brian Bellardo                                      

Name: Brian Bellardo

Title: Secretary

Dated: November 7, 2005

 

 

3

 

 

 

 

This excerpt taken from the NYFX 8-K filed Nov 2, 2005.

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): November 1, 2005

 

NYFIX, INC.

(Exact name of registrant as specified in its charter)

 

 

 

 

 

 

Delaware

0-21324

06-1344888

(State or other jurisdiction

(Commission

(IRS Employer

of incorporation)

File Number)

Identification No.)

 

 

 

333 Ludlow Street, Stamford, Connecticut 06902

(Address of principal executive offices)

 

Registrant's telephone number, including area code: 203-425-8000

 

 

(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 (see General Instruction A.2. below):

o           Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o           Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o           Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o           Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 



 

 

Item 8.01        Other Events.

On November 1, 2005, NYFIX, Inc. announced that effective on that date its common stock is quoted on the Pink Sheets, under the symbol NYFX. The full text of the press release is attached hereto as Exhibit 99.1.

Item 9.01.

Financial Statements and Exhibits.

 

(c)

Exhibits

 

 

Exhibit No.

Exhibits

 

 

99.1

Press release of NYFIX, Inc. dated November 1, 2005.

 

 

 

2

 

 



 

 

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.

NYFIX, INC.

 

 

By: /s/ Brian Bellardo                                      

Name: Brian Bellardo

Title: Secretary

Dated: November 2, 2005

 

 

3

 

 

 

 

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