** **

**UNITED STATES SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

 

**FORM 10-K/A**

 

**(Amendment No. 1)**

** **

**x****      ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**

** **

**For the fiscal year ended December 31, 2013**

** **

**OR**

 

**o****         TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**

** **

**For the transition period from to**

**Commission file number: 001-34897**

 

**GFI Group Inc.**

(Exact name of registrant as specified in its charter)

 

| **Delaware**   (State or other jurisdiction of   incorporation or organization) | ** ** | **80-0006224**   (I.R.S.   Employer   Identification   No.) |
|---------------------------------------------------------------------------------|------------|-------------------------------------------------------------|

 

| **55 Water Street, New York, NY**   (Address of principal executive   offices) |   | **10041**   (Zip Code) |
|--------------------------------------------------------------------------------|--------|------------------------|

 

**(212) 968-4100** (Registrant’s telephone number, including area code)

 

Securities registered pursuant to Section 12(b) of the Act:

 

| **Title of each class**  | ** ** | **Name of each exchange on   which registered** |
|-----------------------------------------|------------|--------------------------------------------------------------------------|
| Common Stock, $0.01 par value per share |       | New York Stock Exchange Euronext                                         |

 

Securities registered pursuant to Section 12(g) of the Act: **None**

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes o No x

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Exchange Act. Yes o No x

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x No o

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. x

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See definitions of “large accelerated filer”, “accelerated filer”, and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

 

| Large accelerated filer o                       |   | Accelerated filer x         |
|-------------------------------------------------|--------|-----------------------------|
| Non-accelerated filer o                         |   | Smaller reporting company o |
| (Do not check if a   smaller reporting company) |   |                        |

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x

 

As of June 30, 2013, the aggregate market value of the registrant’s common stock held by non-affiliates of the registrant was $276,393,169 based upon the closing sale price of $3.91 as reported on the New York Stock Exchange Euronext.

 

Indicate the number of shares outstanding of each of the registrant’s classes of common stock, as of the latest practicable date.

 

| **Class**                               | ** ** | **Outstanding   at February 28, 2014** |
|-----------------------------------------|------------|---------------------------------------------|
| Common Stock, $0.01 par value per share |       | 123,691,235 shares                          |

 

 

 

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** **

**EXPLANATORY NOTE**

 

GFI Group Inc. (the “Company” or “GFI”) filed its Annual Report on Form 10-K for the fiscal year ended December 31, 2013 (the “Original Form 10-K”) with the U.S. Securities and Exchange Commission (the “SEC”) on March 13, 2014.  The Company is filing this Amendment No. 1 to the Original Form 10-K (this “Form 10-K/A”) solely to include a report of the Company’s independent registered public accounting firm on the financial statement schedule listed in Item 15(a)(2) (the “Financial Statement Schedule”) that was omitted from the Original Form 10-K.  This Form 10-K/A hereby amends the Original Form 10-K by including such report presented below.

 

No modification or update of the other disclosures presented in the Original Form 10-K, including, without limitation, the financial statements is made in this Form 10-K/A. This Form 10-K/A does not reflect events occurring after the filing of the Original Form 10-K or modify or update the disclosures in the Original Form 10-K, except as set forth in this Form 10-K/A, and should be read in conjunction with the Original Form 10-K and the Company’s other filings with the SEC.

 

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** **

**Report of Independent Registered Public Accounting Firm on**

**Financial Statement Schedule**

 

To the Board of Directors and Stockholders

of GFI Group Inc.

 

Our audits of the consolidated financial statements and of the effectiveness of internal control over financial reporting referred to in our report dated March 13, 2014 appearing in the 2013 Annual Report to Shareholders of GFI Group Inc. on Form 10-K also included an audit of the financial statement schedules listed in Item 15(a)(2) of this Form 10-K/A.  In our opinion, this  financial statement schedule presents fairly, in all material respects, the information set forth therein when read in conjunction with the related consolidated financial statements.

 

 
| /s/ PricewaterhouseCoopers LLP |   |
|--------------------------------|--------|
|                           |   |
| New York, New York,            |   |
| March 13, 2014            |   |

 

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PART IV

 

ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

 

(a)(2) Financial Statement Schedules.

 

**GFI GROUP INC. AND SUBSIDIARIES VALUATION AND QUALIFYING ACCOUNTS**

 
| ** **                        | ** ** | **Balance at   Beginning of   Period** | ** ** | **Charged to   Cost/   Expense** | ** ** | **Charged to   Other   Accounts(a)** | ** ** | **Deductions(b)** | ** ** | **Balance at   End of   Period** | ** ** |
|-----------------------------------|------------|--------------------------------------------------|------------|---------------------------------------|------------|-------------------------------------------|------------|-------------------|------------|--------------------------------------------|------------|
| ** **                        | ** ** | **(in thousands)**                          | ** ** |
| Allowance for Doubtful Accounts:  |       |                                             |       |                                  |       |                                      |       |              |       |                                       |       |
| Year ended December 31, 2013 |       | $                                                | 1,710      |                                  | $          | 773                                       |       | $                 | (33        | )                                          | $          | (492 | ) | $ | 1,958 |   |
| Year ended December 31, 2012 |       | 1,453                                            |       | 319                                   |       | (5                                        | )          | (57               | )          | 1,710                                      |       |
| Year ended December 31, 2011 |       | 1,591                                            |       | 250                                   |       | 1                                         |       | (389              | )          | 1,453                                      |       |
|                                   |            |                                                  |            |                                       |            |                                           |            |                   |            |                                            |            |  |  |  |  |  |

 

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(a)           For all periods it includes the effects for exchange rate changes.

 

(b)           Net adjustments to the reserve accounts for write-offs and credits issued during the years.

 

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**SIGNATURES**

 

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this Amendment No. 1 to the Annual Report on Form 10-K/A for the fiscal year ended December 31, 2013 to be signed on its behalf by the undersigned, thereunto duly authorized, on the 5th day of December, 2014.

 

 
|   | GFI   GROUP INC. |
|--------|------------------|
|   |             |
|   | By:              | /s/   JAMES A. PEERS |
|   |             |   |
|   |             | Name: | James   A. Peers |
|   |             | Title: | *Chief   Financial Officer* |

 

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**EXHIBIT INDEX**

 
| **Number** | ** ** | **Description**                                                                        |
|------------|------------|----------------------------------------------------------------------------------------|
| 23.1       |       | Consent   of Independent Registered Public Accounting Firm- PricewaterhouseCoopers LLP |
|       |       |                                                                                   |
| 31.1       |       | Certification   of Principal Executive Officer.                                        |
|       |       |                                                                                   |
| 31.2       |       | Certification   of Principal Financial Officer.                                        |

 

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