Filing Details
- Accession Number:
- 0001181431-12-040663
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-07-13 17:29:31
- Reporting Period:
- 2012-07-12
- Filing Date:
- 2012-07-13
- Accepted Time:
- 2012-07-13 17:29:31
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1444363 | Gain Capital Holdings Inc. | GCAP | Commodity Contracts Brokers & Dealers (6221) | 204568600 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1472938 | Henry Glenn Stevens | C/O Gain Capital Holdings, Inc. 135 U.s. Highway 202/206 Bedminster NJ 07921 | President And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-07-12 | 4,400 | $2.43 | 721,476 | No | 4 | M | Direct | |
Common Stock | Disposition | 2012-07-12 | 4,400 | $4.79 | 717,076 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to Buy) | Disposition | 2012-07-12 | 4,400 | $0.00 | 4,400 | $2.43 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
108,665 | No | 4 | M | Direct |
Footnotes
- Reflects shares acquired upon exercise of stock options listed in Table II below.
- Includes 43,000 shares acquired through a restricted stock award on March 23, 2011 and 95,000 shares acquired through a restricted stock unit grant on March 1, 2012. Such shares vest 25% per year on each of the first four anniversaries of the grant date. As of the date of this report, of such restricted stock awards and restricted stock units, 10,750 shares are vested and 127,250 remain unvested.
- Such stock options were granted on December 30, 2005 and vested ratably over three years, with one-third of the options vesting on each of the first three anniversaries of the grant date. The stock options have a term of ten years. As of the date of this report, 108,665 options remain outstanding.