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
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| Date of Report (Date of Earliest Event Reported): | | April 28, 2009 |
TradeStation Group, Inc.
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(Exact name of registrant as specified in its charter)
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| Florida | 000-31049 | 650977576 |
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(State or other jurisdiction | _____________
(Commission | ______________
(I.R.S. Employer |
| of incorporation) | File Number) | Identification No.) |
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| 8050 SW 10th Street, Suite 4000, Plantation, Florida | | 33324 |
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(Address of principal executive offices) | | ___________
(Zip Code) |
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| Registrant’s telephone number, including area code: | | (954) 652-7000 |
Not Applicable
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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 8.01 Other Events.
The Company issued a press release on April 28, 2009 announcing that separate family limited partnerships beneficially owned by each of William Cruz and Ralph Cruz, the Company's non-executive Co-Chairmen, will be each entering into a Rule 10b5-1 plan to each sell up to 1,500,000 shares over the period ending December 31, 2009, subject to minimum price limits. Currently, William Cruz beneficially owns 4,104,688 shares and Ralph Cruz beneficially owns 3,966,468 shares of Company common stock. Under each of the two plans, no more than 750,000 shares (excluding privately negotiated sales, if any) may be sold during any calendar-quarterly period, subject to any Rule 144 volume limitations. Sales under each of the Rule 10b5-1 plans will not commence earlier than May 11, 2009. The press release announcing the Rule 10b5-1 plans is attached as Exhibit 99.1 to this report.
Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, permits corporate officers and directors to adopt written pre-arranged s tock trading plans when they are not in possession of material, non-public information. To the extent required, proposed and actual transactions will be disclosed publicly through Form 144 and Form 4 filings, respectively, with the Securities and Exchange Commission. The Form 4 filings also will be posted in the investor relations section of the Company's Web site.
Item 9.01 Financial Statements and Exhibits.
Ex-99.1: Press Release dated April 28, 2009 concerning 10b5-1 Plan
SIGNATURES
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.
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| | | TradeStation Group, Inc. |
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| April 28, 2009 | | By: | | /s/ David Fleischman
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| | | | | Name: David Fleischman |
| | | | | Title: Chief Financial Officer, Vice President of Finance and Treasurer |
Exhibit Index
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| Exhibit No. | | Description |
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|
99.1 | | Press Release dated April 28, 2009 concerning 10b5-1 Plan |
