Item 9.01
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Financial Statements and Exhibits
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Exhibit 99.1 KCG Shareholder Document.
Certain statements contained herein and the documents incorporated by reference herein may constitute forward-looking statements within the
meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements are typically identified by words such as believe, expect, anticipate,
intend, target, estimate, continue, positions, prospects or potential, by future conditional verbs such as will, would, should,
could or may, or by variations of such words or by similar expressions. These forward-looking statements are not historical facts and are based on current expectations, estimates and projections about KCGs industry,
managements beliefs and certain assumptions made by management, many of which, by their nature, are inherently uncertain and beyond KCGs control. Accordingly, readers are cautioned that any such forward-looking statements are not
guarantees of future performance and are subject to certain risks, uncertainties and assumptions that are difficult to predict including, without limitation, risks associated with: (i) the inability to manage trading strategy performance and grow
revenue and earnings (ii) the receipt of additional payments from the sale of KCG Hotspot that are subject to certain contingencies; (iii) changes in market structure, legislative, regulatory or financial reporting rules, including the increased
focus by Congress, federal and state regulators, the SROs and the media on market structure issues, and in particular, the scrutiny of high frequency trading, best execution, internalization, alternative trading systems, market fragmentation,
colocation, access to market data feeds, and remuneration arrangements such as payment for order flow and exchange fee structures; (iv) past or future changes to KCGs organizational structure and management; (v) KCGs ability to develop
competitive new products and services in a timely manner and the acceptance of such products and services by KCGs customers and potential customers; (vi) KCGs ability to keep up with technological changes; (vii) KCGs ability to
effectively identify and manage market risk, operational and technology risk, cybersecurity risk, legal risk, liquidity risk, reputational risk, counterparty and credit risk, international risk, regulatory risk, and compliance risk; (viii) the cost
and other effects of material contingencies, including litigation contingencies, and any adverse judicial, administrative or arbitral rulings or proceedings; (ix) the effects of increased competition and KCGs ability to maintain and expand
market share; (x) the announced plan to relocate KCGs global headquarters from Jersey City, NJ to New York, NY; and (xi) KCGs ability to complete the sale or disposition of any or all of the assets or businesses that are classified as
held for sale. The list above is not exhaustive. Because forward-looking statements involve risks and uncertainties, the actual results and performance of KCG may materially differ from the results expressed or implied by such statements. Given
these uncertainties, readers are cautioned not to place undue reliance on such forward-looking statements. Unless otherwise required by law, KCG also disclaims any obligation to update its view of any such risks or uncertainties or to announce
publicly the result of any revisions to the forward-looking statements made herein. Readers should carefully review the risks and uncertainties disclosed in KCGs reports with the U.S. Securities and Exchange Commission (SEC),
including those detailed in Risk Factors in Part II, Item 1A of KCGs Annual Report on Form 10-K for the year ended December 31, 2015 and in other reports or documents KCG files with, or furnishes to, the SEC from time to time. This
information should be read in conjunction with the KCGs Consolidated Financial Statements and the Notes thereto contained in its Annual Report on Form 10-K, Quarterly Report on Form 10-Q, and in other reports or documents KCG files with, or
furnishes to, the SEC from time to time.